SEC Final Rules

Final rules currently available include:

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Release No. Date Details
Fourth Quarter
34-90244 Oct. 22, 2020 Customer Margin Rules Relating to Security Futures
Effective Date: 30 days after publication in the Federal Register
File No.: S7-09-19
See Also: Press Release No. 2020-264, Proposed Rule Rel. No. 34-86304
33-10876 Oct. 16, 2020 Qualifications of Accountants
Effective Date: 180 days after publication in the Federal Register
Compliance Date: See Section II.G for further information on transitioning to the final amendments.
File No.: S7-26-19
Other Release No.: 34-90210; FR-88; IA-5613; IC-34052
See Also: Proposed Rule Rel. No. 33-10738
33-10871 Oct. 7, 2020 Fund of Funds Arrangements
Effective Date: 60 days after publication in the Federal Register
File No.: S7-27-18
Other Release No.: IC-34045
See Also: Press Release No. 2020-247, Proposed Rule Rel. No. 33-10590
Third Quarter
34-89964 Sep. 23, 2020 Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8
Effective Date: 60 days after publication in the Federal Register
File No.: S7-23-19
See Also: Press Release No. 2020-220, Proposed Rule Rel. No. 34-87458
34-89963 Sep. 23, 2020 Whistleblower Program Rules
Effective Date: 30 days after publication in the Federal Register
File No.: S7-16-18
See Also: Press Release No. 2020-219, Proposed Rule Rel. No. 34-83557
33-10845 Sep. 18, 2020 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-89920; 39-2533; IC-34015
Effective Date: date of publication in the Federal Register
33-10842 Sep. 16, 2020 Publication or Submission of Quotations Without Specified Information
Effective Date: 60 days after publication in the Federal Register
File No.: S7-14-19
Other Release No.: 34-89891
See Also: Press Release No. 2020-212, Proposed Rule Rel. No. 34-87115
33-10835 Sep. 11, 2020 Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Effective Date: November 16, 2020
File No.: S7-02-17
Other Release No.: 34-89835
See Also: Press Release No. 2020-205, Proposed Rule Rel. No. 33-10688 and Request for Comment Rel. No. 33-10321
Federal Register version (85 FR 66108)
33-10825 Aug. 26, 2020 Modernization of Regulation S-K Items 101, 103, and 105 (Conformed to Federal Register version)
Effective Date: November 9, 2020
File No.: S7-11-19
Other Release No.: 34-89670
See Also: Proposed Rule Rel. No. 33-10668
Federal Register version (85 FR 63726)
33-10824 Aug. 26, 2020 Amending the “Accredited Investor” Definition (Conformed to Federal Register version)
Effective Date: December 8, 2020
File No.: S7-25-19
See Also: Proposed Rule Rel. No. 33-10734; Order Rel. No. 33-10823 (Conformed to Federal Register version [85 FR 64234]).
Federal Register version (85 FR 64234)
34-89618 Aug. 19, 2020 Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments (Conformed to Federal Register version)
Effective Date: November 16, 2020
File No.: S7-15-19
See Also: Proposed Rule Rel. No. 34-87193
Federal Register version (85 FR 65470)
34-89394 Jul. 24, 2020 Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Effective Date: October 30, 2020
File No.: S7-02-16
See Also: Proposed Rule Rel. No. 34-77157
Federal Register version (85 FR 53645)
34-89372 Jul. 22, 2020 Exemptions from the Proxy Rules for Proxy Voting Advice (Conformed to Federal Register version)
Effective Date: November 2, 2020
File No.: S7-22-19
See Also: Supplemental Guidance Rel. No. IA-5547; Proposed Rule Rel. No. 34-87457
IC-33921 Jul. 6, 2020 Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 (Conformed to Federal Register version)
Effective Date: June 14, 2021
File No.: S7-19-19
See Also: Proposed Rule Rel. No. IC-33658; Small Entity Compliance Guide
Federal Register version (85 FR 57089)
Second Quarter
BHCA-9 Jun. 25, 2020 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Effective Date: October 1, 2020
File No.: S7-02-20
See Also: Proposed Rule Rel. No. BHCA-8; Correction, Rel. No. BHCA-9A
Federal Register version (85 FR 46422)
33-10786 May 20, 2020 Amendments to Financial Disclosures about Acquired and Disposed Businesses (Conformed to Federal Register version)
Effective Date: January 1, 2021
Other Release Nos.: 34-88914; IC-33872
File No.: S7-05-19
See Also: Proposed Rule Rel. No. 33-10635; Technical Correction, Rel. No. 33-10762A
Federal Register version (85 FR 54002)
34-88890 May 15, 2020 Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Effective Date: June 22, 2020
File No.: S7-07-19
See Also: Proposed Rule Rel. No. 34-78963
Federal Register version (85 FR 31322)
34-88616 Apr. 9, 2020 Definition of "Covered Clearing Agency" (Conformed to Federal Register version)
Effective Date: July 13, 2020
File No.: S7-23-16
See Also: Proposed Rule Rel. No. 34-78963
Federal Register version (85 FR 28853)
33-10771 Apr. 8, 2020 Securities Offering Reform for Closed-End Investment Companies (Conformed to Federal Register version)
Effective Date: Effective as defined in the rule
Other Release Nos.: 34–88606; IC–33836
File No.: S7-03-19
See Also: Final Rule Correction, Rel No. 33-10771A (Conformed to Federal Register version); Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10619
Form N-2 (effective as defined in the rule)
Federal Register version (85 FR 33290)
First Quarter
34-88365 Mar. 12, 2020 Accelerated Filer and Large Accelerated Filer Definitions (Conformed to Federal Register version)
Effective Date: April 27, 2020
File No.: S7-06-19
See Also: Small Entity Compliance Guide; Correction to the Final Rule; Proposed Rule Rel. No. 34-85814
Federal Register version (85 FR 17178)
33-10765 Mar. 11, 2020 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (Conformed to Federal Register version)
Other Release No.: 34-88358; IC-33814
Effective Date: July 1, 2020 except as defined in the rule
File No.: S7-23-18
Federal Register version (85 FR 25964)
See Also: Proposed Rule Rel. No. 33-10569; Technical Correction, Rel. No. 33-10765A (Conformed to Federal Register version; dated June 10, 2020; effective date July, 1, 2020)
Form N-3 (effective as defined in the rule)
Form N-4 (effective as defined in the rule)
Form N-6 (effective as defined in the rule)
33-10762 Mar. 2, 2020 Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities (Conformed to Federal Register version)
Other Release No.: 34-88307
Effective Date: January 4, 2021
File No.: S7-19-18
See also: Technical Correction, Rel. No. 33-10762A and Small Entity Compliance Guide
Federal Register version (85 FR 21940)
IA-5454 Mar. 2, 2020 Exemptions from Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies (Conformed to Federal Register version)
Effective Date: March 10, 2020
Federal Register version (85 FR 13734)
33-10757 Feb. 19, 2020 Delegation of Authority to the General Counsel of the Commission
Other Release Nos.: 34-88245; IA-5446; IC-33802
Effective Date: March 2, 2020
Federal Register version (85 FR 12221)
33-10749 Jan. 27, 2020 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-88040; 39-2530; IC-33792
Effective Date: February 19, 2020
Federal Register version (85 FR 9365)