SEC Final Rules

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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
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
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
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
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
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
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
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; Notice of Appeal; Court of Appeals Decision Affirming in Part, Reversing in Part, and Remanding; Statement of the Division of Corporation Finance on the Conflict Minerals Decision; and Order Issuing Stay Federal Register (77 FR 56273): HTML | PDF | text
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
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
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
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 | 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
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
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
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
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
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
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
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
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
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

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