SEC Final Rules

Final rules currently available include:

Third Quarter |  Second Quarter |  First Quarter

Release No. Date Details
Third Quarter
34-78716 Aug. 29, 2016 Access to Data Obtained by Security-Based Swap Data Repositories
File No.: S7-15-15
Effective Date: November 1, 2016
See also:  Proposed Rule Release Nos. 34-76922, 34-75845
Federal Register version (81 FR 60585)
IA-4509 Aug. 25, 2016 Form ADV and Investment Advisers Act Rules
File No.: S7-09-15
Effective Date: October 31, 2016
Compliance Date: See Section III of this final rule
See also:  Proposed Rule Release No. IA-4091;
Appendix A: Form ADV: General Instructions;
Appendix B: Form ADV: Instructions for Part 1A;
Appendix C: Form ADV: Glossary of Terms;
Appendix D: Form ADV: Part 1A
Federal Register version (81 FR 60417)
Form ADV Part 1A Summary of Changes Per IA 4509 To Be Implemented October 1, 2017
Federal Register version (81 FR 60417)
34-78321 Jul. 14, 2016 Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information
File No.: S7-03-15
Effective Date: October 11, 2016
Compliance Date: For a discussion of the Compliance Dates for Regulation SBSR, see Section X of the Supplementary Information.
See also:  Proposed Rule Release No. 34-74245
Federal Register version (81 FR 53545)
34-78319 Jul. 13, 2016 Amendments to the Commission’s Rules of Practice (Corrected to Conform to Federal Register Version)
File No.: S7-18-15
Effective Date: September 27, 2016
Applicability Date: The applicability dates for proceedings pending as of the date of these final rules are discussed in Section Q of this release.
See also:  Proposed Rule Release No. 34-75976
Federal Register version (81 FR 50211)
Second Quarter
34-78167 Jun. 27, 2016 Disclosure of Payments by Resource Extraction Issuers (Corrected to conform to the Federal Register version)
File No.: S7-25-15
Effective Date: September 26, 2016
Compliance Date: A resource extraction issuer must comply with the final rule and form for fiscal years ending on or after September 30, 2018.
See also:  Small Entity Compliance Guide; Proposed Rule Release Nos. 34-76958 and 34-76620; and Order, Release No. 34-78169
Federal Register version (81 FR 49359)
33-10099 Jun. 16, 2016 Asset-Backed Securities Disclosure and Registration (Technical amendment)
Other Release Nos.: 34-78088
Effective Date: June 22, 2016
See also:  Proposed Rule Release Nos. 33-9117 and 33-9244 and Final Rule Release No. 33-9638
Federal Register version (81 FR 40511)
33-10095 Jun. 13, 2016 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-78044; 39-2510; IC-32145
Effective Date: July 1, 2016
Federal Register version (81 FR 43047)
34-78011 Jun. 8, 2016

Trade Acknowledgment and Verification of Security-Based Swap Transactions
File No.: S7-03-11
Effective Date: August 16, 2016
Compliance Date: The applicable compliance date is discussed in Section V of this final rule
See also:  Proposed Rule Release Nos. 34-69491; 34-63727
Federal Register version (81 FR 39807)

34-77874 May 20, 2016 Retail Foreign Exchange Transactions (Notice of expiration of 17 CFR 15b12-1)
File No.: S7-30-11
Effective Date: May 26, 2016
See also:  Final Rule Release No. 34-69964; Interim Final Temporary Rule No. 34-64874
Federal Register version (81 FR 33374)
33-10075 May 3, 2016 Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act (Corrected to Conform to the Federal Register Version)
Other Release No.: 34-77757
File No.: S7-12-14
Effective Date: June 9, 2016
See also:  Proposed Rule Release No. 33-9693; Small Entity Compliance Guide
Federal Register version (81 FR 28689)
33-10071 Apr. 22, 2016 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-77693; 39-2509; IC-32091
Effective Date: May 19, 2016
Federal Register version (81 FR 31501)
34-77617 Apr. 14, 2016

Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (Corrected to Conform to the Federal Register Version)
File No.: S7-25-11
Effective Date: July 12, 2016
Compliance Date: The compliance dates are discussed in Section IV.B of this release
See also:  Proposed Rule Release No. 34-64766; Correction (34-77617A)
Federal Register version (81 FR 29959)

First Quarter
34-77104 Feb. 10, 2016

Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception (Corrected to Conform to the Federal Register Version)
File No.: S7-06-15
Effective Date: April 19, 2016
Compliance Date: The later of (a) February 21, 2017 or (b) the SBS Entity Counting Date, as defined in Section VII.
See also:  Proposed Rule Release No. 34-74834
Federal Register version (81 FR 8597); Federal Register correction