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SEC Final Rules

Final rules currently available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
IA-3522 Dec. 20, 2012 Temporary Rule Regarding Principal Trades with Certain Advisory Clients (Corrected to Conform to the Federal Register Version)
File No.: S7-23-07
Effective Date:  December 28, 2012; for other dates, see Release
See also:  Final Rule Release Nos. IA-3128, IA-2965, IA-2965A; Proposed Rule Release Nos. IA-3483, IA-3118; Interim Final Temporary Rule Release No. IA-2653; Comments; and Small Entity Compliance Guide
Federal Register (77 FR 76854): HTML | PDF | text | XML
34-68357 Dec. 5, 2012 Extension of Dates for Certain Requirements of Rule 19b-4(n)(1) and Rule 19b-4(o)(2) and Amendment of Form 19b-4
File No.: S7-44-10
Effective Date:  December 10, 2012
See also:  Final Rule Release Nos. 34-67286 and Corrections, 34-68357A and 34-67286A; Proposed Rule Release No. 34-63557 and Comments
Federal Register (77 FR 73302): HTML | PDF | text | XML
IC-30268 Nov. 19, 2012 Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
File No.: S7-07-11
Effective Date:  December 24, 2012
See also:  Proposed Rule Release No. 33-9193; comments and Small Entity Compliance Guide
Federal Register (77 FR 70117): HTML | PDF | text | XML
34-68080 Oct. 22, 2012 Clearing Agency Standards
File No.: S7-08-11
Effective Date:  January 2, 2013
See also:  Proposed Rule Release Nos. 34-64017; Security-Based Swaps Implementation Policy Statement; comments
Federal Register (77 FR 66219): HTML | PDF | text | XML
33-9364 Oct. 4, 2012 Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-67978; 39-2486; IC-30227
Effective Date:  October 15, 2012
Federal Register (77 FR 62431): HTML | PDF | text | XML
Third Quarter
33-9353 Aug. 30, 2012 Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-67747; 39-2485; IC-30185
Effective Date:  September 6, 2012
Federal Register (77 FR 54806): HTML | PDF | text | XML
34-67717 Aug. 22, 2012 Disclosure of Payments by Resource Extraction Issuers (Corrected to Conform to Federal Register Version)
File No.: S7-42-10
Effective Date:  November 13, 2012
Compliance Date:  see Release
See also:  Correction: Release No. 34-67717A; Proposed Rule Release Nos. 34-63549; 34-63795; Motion for Stay and Related Materials; Comments on Motion for Stay; Order Denying Stay; Court Decision Dismissing Petition; Court Decision Vacating Rule; and Small Entity Compliance Guide
Federal Register (77 FR 56365): HTML | PDF | text | XML
34-67716 Aug. 22, 2012 Conflict Minerals
File No.: S7-40-10
Effective Date:  November 13, 2012
Compliance Date:  Issuers must comply with the final rule for the calendar year beginning January 1, 2013 with the first reports due May 31, 2014
See also:  Proposed Rule Release Nos. 34-63547 and 34-63793; Small Entity Compliance Guide; District Court Decision Upholding Rule and Notice of Appeal
Federal Register (77 FR 56273): HTML | PDF | text | XML
34-67457 Jul. 18, 2012 Consolidated Audit Trail
File No.: S7-11-10
Effective Date:  October 1, 2012
See also:  Proposed Rule Release No. 34-62174 and Comments
Federal Register (77 FR 45721): HTML | PDF | text | XML
33-9338 Jul. 18, 2012 Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Other Release No.: 34-67453
File No.: S7-16-11
Effective Date:  October 12, 2012
See also:  Proposed Rule Release No. 33-9204; Release No. 33-9204A (correction) and Comments
Federal Register (77 FR 48207): HTML | PDF | text | XML
Second Quarter
34-67286 Jun. 28, 2012 Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
File No.: S7-44-10
Effective Dates:  August 13, 2012 for §§ 240.3Ca-1, 240.3Ca-2, and the amendments to 240.19b-4; December 10, 2012 for all amendments to § 249.819 and Form 19b-4.
Compliance Dates:  August 13, 2012 for §§ 240.3Ca-1, 240.3Ca-2, and the amendments to § 240.19b-4, except for the compliance date for § 240.19b-4(o), which is discussed in the section of the release titled "II.G. Effective and Compliance Dates"; December 10, 2012 for all amendments to § 249.819 and Form 19b-4.
See also:  Correction: Final Rule Release No. 34-67286A and Extension: 34-68357; Proposed Rule Release No. 34-63557 and Comments
Federal Register (77 FR 41602): HTML | PDF | text | XML
33-9330 June 20, 2012 Listing Standards for Compensation Committees (Updated to include Effective and Compliance Dates)
Other Release No.: 34-67220
File No.: S7-13-11
Effective Date:  July 27, 2012
Compliance Dates:  see Release
See also:  Proposed Rule Release Nos. 33-9203 and 33-9199; Small Entity Compliance Guide; and Comments
Federal Register (77 FR 38421): HTML | PDF | text | XML | Correction
IA-3418 Jun. 8, 2012 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation (extension of compliance date) [Corrected to conform to Federal Register version]
File No.: S7-18-09
Effective Date:  June 11, 2012
See also:  Final Rule Release No. IA-3043; Proposed Rule Release No. IA-2910; Small Entity Compliance Guide; Staff Responses to Questions About the Pay to Play Rule
Federal Register (77 FR 35263): HTML | PDF | text | XML
IA-3403 May 8, 2012 Technical Amendment to Rule 206(4)-5: Political Contributions by Certain Investment Advisers
File No.: S7-36-10
Effective Date:  May 15, 2012
See also:  Proposed Rule Release No. IA-3110; Final Rule Release No. IA-3221
Federal Register (77 FR 28476): HTML | PDF | text | XML
34-66868 Apr. 27, 2012 Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant” (Joint Final Rule; Joint Interim Final Rule; Interpretation)
File No.: S7-39-10
Effective Date:  July 23, 2012
See also:  Corrections of Typographical Errors in Original Release (Jun. 29, 2012); Proposed Rule Release No. 34-63452; Security-Based Swaps Implementation Policy Statement
Federal Register (77 FR 30596): HTML | PDF | text | XML
First Quarter
33-9308 Mar. 30, 2012 Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Other Release No.: 34-66703; 39-2484
File No.: S7-22-11
Effective Date:  April 16, 2012
See also:  Proposed Rule Release No. 33-9222
Federal Register (77 FR 20536): HTML | PDF | text | XML
33-9303 Mar. 26, 2012 Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-66654, 39-2483, IC-30008
Effective Date:  March 30, 2012
Federal Register (77 FR 19077): HTML | PDF | text | XML
33-9287A Mar. 23, 2012 Technical Amendment to Net Worth Standard for Accredited Investors
Other Release No.: IA-3341A; IC-29891A
File No.: S7-04-11
Effective Date:  March 28, 2012
See also:  Final Rule Release No. 33-9287
Federal Register (77 FR 18684): HTML | PDF | text | XML
34-66502 Mar. 7, 2012 Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
Effective Date:  March 7, 2012
Federal Register (77 FR 13490): HTML | PDF | text | XML
IA-3372 Feb. 15, 2012 Investment Adviser Performance Compensation
File No.: S7-17-11
Effective Date:  May 22, 2012
See also:  Proposed Rule Release No. IA-3198
Federal Register (77 FR 10358): HTML | PDF | text | XML
34-66355 Feb. 8, 2012 Reporting Line for the Commission’s Inspector General
Effective Date:  February 14, 2012
Federal Register (77 FR 8094):
HTML | PDF | text | XML
33-9295 Jan. 20, 2012 Covered Securities of BATS Exchange, Inc. [Corrected]
File No.: S7-31-11
Effective Date:  February 24, 2012
Comment Due Date: 
See also:  Proposed Rule Release No. 33-9251
Federal Register (77 FR 3590):
HTML | PDF | text | XML

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2012.shtml


Modified: 03/19/2014