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SEC Final Rules: 2013

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-71194 Dec. 27, 2013 Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
File No.: S7-15-11
Effective Date:  July 7, 2014
See also:  Correction, Release No. 34-71194A; Proposed Rule Release No. 34-64352; and comments
Federal Register (79 FR 1521): HTML | PDF | text | XML
33-9506 Dec. 27, 2013 Removal of Certain References to Credit Ratings Under the Investment Company Act
File No.: S7-07-11
Effective Date:  February 7, 2014 Compliance Date:  July 7, 2014
See also:  Small Entity Compliance Guide; Proposed Rule Release No. 33-9193; and comments
Federal Register (79 FR 1316): HTML | PDF | text | XML
33-9503 Dec. 24, 2013 Technical amendments; Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans
Other Release No.: IC-30845
Effective Date:  December 30, 2013
Federal Register (78 FR 79298): HTML | PDF | text | XML
BHCA-1 Dec. 10, 2013 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
File No.: S7-41-11
Effective Date:  April 1, 2014
See also:  Proposed Rule Release Nos. 34-66057; 34-65545; and comments
Federal Register (79 FR 5535): HTML | PDF | text | XML
Third Quarter
33-9457 Sep. 25, 2013 Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-70497; 39-2492; IC-30722
Effective Date:  October 2, 2013
Federal Register (78 FR 60684): HTML | PDF | text | XML
34-70462 Sep. 20, 2013 Registration of Municipal Advisors (Corrected to conform to Federal Register version)
File No.: S7-45-10
Effective Date:  January 13, 2014
Compliance Date:  The applicable compliance dates are discussed in the section of the release titled "V. Implementation and Compliance Dates".
See also:  Small Entity Compliance Guide; Interim Temporary Final Rule Release No. 34-70468, Extension of Temporary Registration of Municipal Advisors; Proposed Rule Release No. 34-63576
Federal Register (78 FR 67467): HTML | PDF | text | XML
34-70073 Jul. 30, 2013 Broker-Dealer Reports (Corrected to conform to Federal Register Version)
File No.: S7-23-11
Effective Date:  June 1, 2014, except the amendment to § 240.17a–5(e)(5) is effective October 21, 2013 and the amendments to § 240.17a–5(a) and (d)(6) and § 249.639 are effective December 31, 2013.
See also:  Frequently Asked Questions; Small Entity Compliance Guide; Proposed Rule Release No. 34-64676; and comments
Federal Register (78 FR 51909): HTML | PDF | text | XML
34-70072 Jul. 30, 2013 Financial Responsibility Rules for Broker-Dealers
File No.: S7-08-07
Effective Date:  October 21, 2013
See also:  Small Entity Compliance Guide; Exemptive Order Release No. 34-70701; Proposed Rule Release Nos. 34-55431; 34-55777 (extension of comment period); 34-66901 (reopening of comment period); Frequently Asked Questions; and comments
Federal Register (78 FR 51823): HTML | PDF | text | XML
34-70049 Jul. 26, 2013 Delegation of Authority to Director of the Division of Enforcement
Effective Date:  August 1, 2013
Federal Register (78 FR 46498): HTML | PDF | text | XML
33-9433 Jul. 25, 2013 Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-70040, 39-2491, IC-30629
Effective Date:  July 31, 2013
Federal Register (78 FR 46256): HTML | PDF | text | XML
34-69979 Jul. 12, 2013 Rescission of Supervised Investment Bank Holding Company Rules
Effective Date:  July 18, 2013
Federal Register (78 FR 42863): HTML | PDF | text | XML
34-69964 Jul. 11, 2013 Retail Foreign Exchange Transactions (Corrected to Conform to the Federal Register Version)
File No.: S7-30-11
Effective Date:  July 16, 2013; the expiration date of Rule 15b12-1 (17 CFR 240.15b12-1) is July 31, 2016.
See also:  Interim Final Temporary Rule Release No. 34-64874; Extension, Release No. 34-67405; and Correction, Release No. 34-67405A
Federal Register (78 FR 42439): HTML | PDF | text | XML
33-9415 Jul. 10, 2013 Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings (Corrected to Conform to the Federal Register Version)
Other Release No.: 34-69959; IA-3624
File No.: S7-07-12
Effective Date: September 23, 2013
See also:  Small Entity Compliance Guide; Proposed Rule Release No. 33-9354
Federal Register (78 FR 44771): HTML | PDF | text | XML
33-9414 Jul. 10, 2013 Disqualification of Felons and Other "Bad Actors" from Rule 506 Offerings (Corrected to Conform to the Federal Register Version)
File No.: S7-21-11
Effective Date: September 23, 2013
Comment Date: August 23, 2013
See also:  Small Entity Compliance Guide; Proposed Rule Release No. 33-9211
Federal Register (78 FR 44729): HTML | PDF | text | XML
Second Quarter
33-9403 May 14, 2013 Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-69568; 39-2490; IC-30515
Effective Date:  May 21, 2013
Federal Register (78 FR 29616): HTML | PDF | text | XML
34-69359 Apr. 10, 2013 Identity Theft Red Flags Rules (Joint Final Rules and Guidelines)
Other Release Nos.: IA-3582, IC-30456
File No.: S7-02-12
Effective Date:  May 20, 2013
Compliance Date:  November 20, 2013
See also:  Small Entity Compliance Guide; Proposed Rule Release No. IC-29969
Federal Register (78 FR 23637): HTML | PDF | text | XML
34-69284 Apr. 3, 2013 Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
File No.: S7-29-11
Effective Date:  June 10, 2013
See also:  Interim Final Temporary Rule Release No. 34-64832
Federal Register (78 FR 21046): HTML | PDF | text | XML
First Quarter
33-9387 Feb. 27, 2013 Adjustments to Civil Monetary Penalty Amounts
Other Release Nos.: 34-68994; IA-3557; IC-30408
Effective Date:  March 5, 2013
Federal Register (78 FR 14179): HTML | PDF | text | XML
34-68668 Jan. 16, 2013 Lost Securityholders and Unresponsive Payees
File No.: S7-11-11
Effective Date:  March 25, 2013
Compliance Date:  January 23, 2014
See also:  Proposed Rule Release No. 34-64099 and Comments
Federal Register (78 FR 4768): HTML | PDF | text | XML
33-9382 Jan. 14, 2013 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-68644; 39-2488; IC-30348
Effective Date:  January 23, 2013
Federal Register (78 FR 4766): HTML | PDF | text | XML

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2013.shtml


Modified: 10/16/2014