| Dec. 16, 2024 | Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Trading and Markets | Final Rule
Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report 33-11342; 34-101925; IC-3542 |
| Sept. 27, 2024 | EDGAR Filer Access and Account Management EDGAR Business Office | Final Rule
EDGAR Filer Access and Account Management 33-11313; 34-101209; 39-2557; IC-35343 |
| Sept. 18, 2024 | Tick Sizes – A Small Entity Compliance Guide Trading and Markets | Final Rule
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better 34-101070 |
| Jan. 24, 2024 | Special Purpose Acquisition Companies, Shell Companies, and Projections; Corporation Finance; Investment Management | Final Rule
Special Purpose Acquisition Companies, Shell Companies, and Projections 33-11265; 34-99418; IC-35096 |
| Nov. 27, 2023 | Prohibition Against Conflicts of Interest in Certain Securitizations Corporation Finance | Final Rule
Prohibition Against Conflicts of Interest in Certain Securitizations 33-11254 |
| July 26, 2023 | Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Corporation Finance | Final Rule
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure 33-11216; 34-97989 |
| Dec. 14, 2022 | Insider Trading and Related Disclosures Corporation Finance | Final Rule
Insider Trading Arrangements and Related Disclosures 33-11138; 34-96492 |
| Nov. 2, 2022 | Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers Investment Management | Final Rule
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers 33-11131; 34-96206; IC-34745 |
| Nov. 2, 2022 | Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets Corporation Finance; Investment Management | Final Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets 33-10884; 34-90300; IC-34082 |
| Oct. 26, 2022 | Listing Standards for Recovery of Erroneously Awarded Compensation Corporation Finance; Investment Management | Final Rule
Listing Standards for Recovery of Erroneously Awarded Compensation 33-11126; 34-96159; IC-34732 |
| Oct. 26, 2022 | Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; fee information in investment company advertisements Investment Management | Final Rule
Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements 33-11125; 34-96158; IC-34731 |
| Oct. 12, 2022 | Amendments to Electronic Recordkeeping Requirements for Broker-Dealers Trading and Markets | Final Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers 34-96034 |
| Aug. 25, 2022 | Pay Versus Performance Corporation Finance | Final Rule
Pay Versus Performance 34-95607 |
| July 13, 2022 | Proxy Voting Advice Corporation Finance; Investment Management | Final Rule
Proxy Voting Advice 34-95266; IA-6068 |
| June 2, 2022 | Updating EDGAR Filing Requirements and Form 144 Filings Corporation Finance | Final Rule
Updating EDGAR Filing Requirements and Form 144 Filings 33-11070; 34-95025 |
| Nov. 17, 2021 | Universal Proxy Corporation Finance | Final Rule
Universal Proxy 34-93596; IC-34419 |
| Oct. 13, 2021 | Filing Fee Disclosure and Payment Methods Modernization Corporation Finance; Investment Management | Final Rule
Filing Fee Disclosure and Payment Methods Modernization 33-10997; 34-93285; IC-34396 |
| Dec. 22, 2020 | Investment Adviser Marketing Investment Management | Final Rule
Investment Adviser Marketing IA-5653 |
| Dec. 3, 2020 | Good Faith Determination of Fair Value Investment Management | Final Rule
Good Faith Determinations of Fair Value IC-34128 |
| Nov. 2, 2020 | Rule 504 of Regulation D: A Small Entity Compliance Guide for Issuers Corporation Finance | Final Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets 33-10884; 34-90300; IC-34082 |
| Oct. 28, 2020 | Use of Derivatives by Registered Investment Companies and Business Development Companies Investment Management | Final Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies IC-34084 |
| Sept. 23, 2020 | Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Corporation Finance; Investment Management | Final Rule
Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 34-89964 |
| Aug. 26, 2020 | Amendments to Accredited Investor Definition Corporation Finance; Investment Management | Final Rule
Accredited Investor Definition 33-10824; 34-89669 |
| Aug. 26, 2020 | Modernization of Regulation S-K Items 101, 103, and 105 Corporation Finance | Final Rule
Modernization of Regulation S-K Items 101, 103, and 105 33-10825; 34-89670 |
| July 22, 2020 | Exemptions from the Proxy Rules for Proxy Advice Corporation Finance; Investment Management | Final Rule
Exemptions from the Proxy Rules for Proxy Voting Advice 33-10825; 34-89670 |
| May 20, 2020 | Financial Disclosures about Acquired and Disposed Businesses Corporation Finance; Investment Management | Final Rule
Amendments to Financial Disclosures about Acquired and Disposed Businesses 33-10786; 34-88914; IC-33872 |
| Apr. 8, 2020 | Securities Offering Reform for Closed-End Investment Companies Investment Management | Final Rule
Securities Offering Reform for Closed-End Investment Companies 33–10771; 34–88606; IC–33836; File No. S7–03–19 |
| Mar. 12, 2020 | Accelerated Filer and Large Accelerated Filer Definitions Corporation Finance; Investment Management | Final Rule
Accelerated Filer and Large Accelerated Filer Definitions 34-88365 |
| Mar. 2, 2020 | Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities Corporation Finance | Final Rule
Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities 33-10762; 34-88307 |
| Sept. 26, 2019 | Solicitations of Interest Prior to a Registered Public Offering Corporation Finance; Investment Management | Final Rule
Solicitations of Interest Prior to a Registered Public Offering 33-10699; File No. S7-01-19 |
| June 18, 2019 | Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships Office of the Chief Accountant | Final Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships 33-10648; 34-86127; FR-85; IA-5255; IC-33511 |
| June 5, 2019 | Form CRS Relationship Summary; Amendments to Form ADV Investment Management; Trading and Markets | Final Rule
Form CRS Relationship Summary; Amendments to Form ADV 34-86032; IA-5247 |
| June 5, 2019 | Regulation Best Interest Trading and Markets | Final Rule
Regulation Best Interest: The Broker-Dealer Standard of Conduct 34-86031 |
| Mar. 20, 2019 | FAST Act Modernization and Simplification of Regulation S-K Corporation Finance; Investment Management | Final Rule
FAST Act Modernization and Simplification of Regulation S-K 33-10618; 34-85381; IA-5206; IC-33426 |
| Dec. 20, 2018 | Disclosure of Hedging by Employees, Officers and Directors Corporation Finance | Final Rule
Disclosure of Hedging by Employees, Officers and Directors 33-10593; 34-84883; IC-33333 |
| Nov. 30, 2018 | Covered Investment Fund Research Reports Investment Management | Final Rule
Covered Investment Fund Research Reports 33-10580; 34-84710; IC-33311 |
| Aug. 17, 2018 | Disclosure Update and Simplification Corporation Finance | Final Rule
Disclosure Update and Simplification 33-10532; 34-83875; IC-33203 |
| June 28, 2018 | Operating Company Inline XBRL Filing of Tagged Data Corporation Finance; Economic and Risk Analysis | Final Rule
Inline XBRL Filing of Tagged Data 33-10514; 34-83551; IC-33139 |
| June 28, 2018 | Open-End Management Investment Company Inline XBRL Filing of Tagged Data Investment Management; Economic and Risk Analysis | Final Rule
Inline XBRL Filing of Tagged Data 33-10514; 34-83551; IC-33139 |
| June 28, 2018 | Amendments to the Smaller Reporting Company Definition Corporation Finance | Final Rule
Smaller Reporting Company Definition 33-10513; 34-83550 |
| June 5, 2018 | Optional Internet Availability of Investment Company Shareholder Reports Rules Investment Management | Final Rule
Optional Internet Availability of Investment Company Shareholder Reports 33-10506; 34-83380; IC-33115; File No. S7-08-1 |
| Mar. 22, 2017 | Amendment to Securities Transaction Settlement Cycle Trading and Markets | Final Rule
Securities Transaction Settlement Cycle 34-80295 |
| Mar. 1, 2017 | Exhibit Hyperlinks and HTML Format Corporation Finance | Final Rule
Exhibit Hyperlinks and HTML Format 33-10322; 34-80132 |
| Oct. 26, 2016 | Intrastate Offering Exemptions Corporation Finance | Final Rule
Exemptions to Facilitate Intrastate and Regional Securities Offerings 33-10238; 34-79161 |
| Oct. 13, 2016 | Investment Company Liquidity Risk Management Program Rules Investment Management | Risk Management: Final Rule
Investment Company Liquidity Risk Management Programs 33- 10233; IC- 32315 Risk Disclosure: Final Rule
Investment Company Liquidity Disclosure IC-33142 |
| Oct. 13, 2016 | Investment Company Reporting Modernization Rules Investment Management | Final Rule
Investment Company Reporting Modernization 33-10231; 34-79095; IC-32314 |
| Oct. 13, 2016 | Investment Company Swing Pricing Investment Management | Final Rule
Investment Company Swing Pricing 33-10234; IC-32316 |
| July 20, 2016 | Disclosure of Payments by Resource Extraction Issuers Corporation Finance | Final Rule Disclosure of Payments by Resource Extraction Issuers 34-78167 |
| May 24, 2016 | Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act Corporation Finance | Final Rule Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act 33-10075; 34-77757 |
| May 13, 2016 | Regulation Crowdfunding: A Small Entity Compliance Guide for Issuers Corporation Finance | Final Rule
Crowdfunding 33-9974; 34-76324 |
| Nov. 16, 2015 | Registration of Funding Portals Trading and Markets | Final Rule
Crowdfunding 33-9974; 34-76324 |
| Oct. 30, 2015 | Regulation Crowdfunding for Crowdfunding Intermediaries Corporation Finance | Final Rule
Crowdfunding 33-9974; 34-76324 |
| May 20, 2015 | Form ADV and Investment Advisers Act Rules Investment Management | Proposed Rule
Form ADV and Investment Advisers Act Rules IA-4091 |
| May 25, 2015 | Amendments to Regulation A Corporation Finance | Final Rule
2015: Amendments for Small and Additional Issues Exemptions under the Securities Act Nos. 33-9741; 34-74578; 39-2501 33-10591 |
| Aug. 27, 2014 | August 2014 Amendments to Existing Rules and New Rules That Apply to Nationally Recognized Statistical Rating Organizations, Providers of Due Diligence Services for Asset-Backed Securities, and Issuers and Underwriters of Asset-Backed Securities in Accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act Office of Credit Ratings | Final Rule
Nationally Recognized Statistical Rating Organizations 34-72936 |
| Dec. 27, 2013 | References to Ratings of Nationally Recognized Statistical Rating Organizations Investment Management | Final Rule
Removal of Certain References to Credit Ratings Under the Investment Company Act 33-9506; IC-30847; File No. S7-7-11 |
| Oct. 21, 2013 | Amendments to Financial Responsibility Rules for Broker-Dealers Trading and Markets | Final Rule
Financial Responsibility Rules for Broker-Dealers 34-70072 |
| Sept. 20, 2013 | Registration of Municipal Advisors Office of Municipal Securities | Final Rule
Registration of Municipal Advisors 34-70072 |
| July 30, 2013 | Broker-Dealer Reports Trading and Markets | Final Rule
Broker-Dealer Reports 34-70073 |
| July 10, 2013 | Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings Corporation Finance | Final Rule
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings 33-9415; No. 34-69959; No. IA-3624 |
| July 10, 2013 | Disqualification of Felons and Other "Bad Actors" from Rule 506 Offerings and Related Disclosure Requirements Corporation Finance | Final Rule
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings 33-9415; No. 34-69959; No. IA-3624 |
| April 10, 2013 | Identity Theft Red Flags Rules Investment Management; Trading and Markets | Final Rule
Identity Theft Red Flags Rules 34-69359; IA-3582; IC-30456 |
| Nov. 19, 2012 | Rule 6a-5 Investment Management | Final Rule
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption IC-30268 |
| Aug. 22, 2012 | Conflict Minerals Disclosure Corporation Finance | Final Rule
Conflict Minerals 34-67716 |
| Dec. 21, 2011 | "Accredited Investor" Net Worth Standard Corporation Finance | Final Rule
Net Worth Standard for Accredited Investors 33-9287; IA-3341; IC-29891 |
| Nov. 3, 2010 | Rule 15c3-5 — Risk Management Controls for Brokers or Dealers with Market Access Trading and Markets | Final Rule
Risk Management Controls for Brokers or Dealers with Market Access 34-63241 |
| Aug. 25, 2010 | Facilitating Shareholder Director Nominations Corporation Finance; Investment Management | Final Rule
Facilitating Shareholder Director Nominations 33-9136; 34-62764; IC-29384 |
| Mar. 10, 2010 | Short Sale Price Test Restrictions | Final Rule
Amendments to Regulation SHO 34-61595 |
| Dec. 31, 2009 | Final Model Privacy Form Under the Gramm-Leach-Bliley Act Investment Management; Trading and Markets | Final Rule
Final Model Privacy Form under the Gramm-Leach-Bliley Act 34-61003; IA-2950; IC-28997 |
| Dec. 23, 2009 | Advisers Act Rule 206(3)-3T (Temporary Rule Regarding Principal Trades with Certain Advisory Clients) Investment Management | Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients IA-3984 |
| Aug. 4, 2009 | Regulation S-AM: Limitations on Affiliate Marketing Trading and Markets; Investment Management | Final Rule
Regulation S-AM: Limitations on Affiliate Marketing 34-60423; IC-28842; IA-2911 |
| July 31, 2009 | Amendment to Regulation SHO to Adopt Exchange Act Rule 204T Trading and Markets | Final Rule
Amendments to Regulation SHO 34-58773 |
| July 27, 2009 | Amendment to Regulation SHO to Adopt Exchange Act Rule 204 Trading and Markets | Final Rule
Amendments to Regulation SHO 34-60388 |
| Jan. 30, 2009 | Interactive Data for Financial Reporting Corporation Finance | Final Rule
Interactive Data to Improve Financial Reporting 33-9002; 34-59324; 39-2461; IC-28609 |
| Oct. 14, 2008 | Amendment to Eliminate the Options Market Maker Exception in Exchange Act Rule 203(b)(3) of Regulation SHO Trading and Markets | Final Rule
Amendments to Regulation SHO 34-58775 |
| Oct. 14, 2008 | Adoption of "Naked" Short Selling Antifraud Rule, Exchange Act Rule 10b-21 Trading and Markets | Final Rule
“Naked” Short Selling Antifraud Rule 34-58774 |
| Aug. 27, 2008 | Revisions to the Cross-Border Tender Offer, Exchange Offer, Rights Offerings, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions Corporation Finance | Final Rule
Commission Guidance and Revisions to the Cross-Border Tender Offer, Exchange Offer, Rights Offerings, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions 33-8957; 34-58597 |
| April 11, 2008 | Regulation R: Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 Trading and Markets | Final Rule
Definitions of Terms and Exemptions Relating. to the "Broker" Exceptions for Banks 34-56501 |
| Apr. 10, 2008 | Revisions to Form S-11 to Permit Historical Incorporation by Reference Corporation Finance | Final Rule
Revisions to Form S-11 To Permit Historical Incorporation by Reference 33-8909 |
| Feb. 15, 2008 | Revisions to Rules 144 and 145 Corporation Finance | Final Rule
Revisions to Rules 144 and 145 33-8869 |
| Feb. 6, 2008 | Filing and Amending a Form D Notice Corporation Finance | Final Rule
Electronic Filing and Revision of Form D 33-8891; 34-57280; 39-2453; IC-28145 |
| Jan. 18, 2008 | Electronic Shareholder Forums: Amendment to Exchange Act Rule 14a-2 and New Exchange Act Rule 14a-17 Corporation Finance | Final Rule
Electronic Shareholder Forums 34-57172; IC-28124; File No. S7-16-0 |
| Dec. 19, 2007 | Eligibility of Smaller Companies to Use Form S-3 or F-3 for Primary Securities Offerings Corporation Finance | Final Rule
Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3 33-8878 |
| Dec. 19, 2007 | Changeover to the SEC's New Smaller Reporting Company System by Small Business Issuers and Non-Accelerated Filer Companies Corporation Finance | Final Rule
Smaller Reporting Company Regulatory Relief and Simplification 33-8876; 34 56994; 39-2451 |
| Dec. 6, 2007 | Exchange Act Rule 14a-8(i)(8) Corporation Finance | Final Rule
Shareholder Proposals Relating to the Election of Directors 34–56914; IC–28075 |
| Aug. 6, 2007 | Short Selling in Connection with a Public Offering: Amendments to Rule 105 of Regulation M Trading and Markets | Final Rule
Short Selling in Connection With a Public Offering 34-54888; 34-56206 |
| June 28, 2007 | Amendments to Exchange Act Rule 10a-1 and Rules 201 and 200(g) of Regulation SHO Trading and Markets | Final Rule
Regulation SHO and Rule 10a–1 34-55970; File No. S7–21–06 |
| Jan. 3, 2005 | Amendments to Exchange Act Rules 203(b)(3) and 200(e) of Regulation SHO Trading and Markets | Final Rule
Amendments to Regulation SHO 34-56212 |
| July 28, 1998 | Plain English Handbook (How to create clear SEC disclosure documents) Corporation Finance | Final Rule
Plain English Disclosure 33-7497; 34-38164 |
