SEC Final Rules

Final rules currently available include:

  Second Quarter |  First Quarter

Release No. Date Details
Second Quarter
33-10506 June 5, 2018 Optional Internet Availability of Investment Company Shareholder Reports
Effective Date: January 1, 2019 with exceptions (see rule)
File No:  S7-08-15
See also: Final Rule Rel. Nos. 33-10442 and 33-10231; Proposed Rule Rel. No. 33-9776
34-83325 May 24, 2018 Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
Effective Date: June 1, 2018
Federal Register version (83 FR 25365)
33-10486 Apr. 25, 2018 Amendments to Forms and Schedules to Remove Provision of Certain Personally Identifiable Information
(Conformed to Federal Register version)
Effective Date: May 14, 2018
Other Release Nos.: 34-83097; IC-33077
Federal Register version (83 FR 22190)
First Quarter
33-10467 Mar. 8, 2018 Adoption of Updated EDGAR Filer Manual
Effective Date: March 16, 2018
Other Release Nos.: 34-82830; 39-2520; IC-33041
Federal Register version (83 FR 11637)
33-7424A Jan. 24, 2018 Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers
Effective Date: January 30, 2018
See also: Final Rule Rel. No. 33-7479
Federal Register version (83 FR 4138)
33-10450 Jan. 5, 2018 Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants
Effective Date: January 16, 2018
File No:  S7-09-14
See also: Proposed Rule Rel. No. 33-9643
Federal Register version (83 FR 2046)
IA-4839 Jan. 5, 2018 Exemptions from Investment Adviser Registration for Advisers to Small Business Investment Companies (Conformed to Federal Register version)
Effective Date: March 12, 2018
File No:  S7-05-17
See also: Small Entity Compliance Guide; Proposed Rule Rel. No. IA-4697
Federal Register version (83 FR 1296)