SEC Final Rules

Final rules currently available include:

Third Quarter |  Second Quarter |  First Quarter

Release No. Date Details
Third Quarter
34-78321 Jul. 14, 2016 Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information
File No.: S7-03-15
Effective Date: 60 days after publication in the Federal Register
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
34-78319 Jul. 13, 2016 Amendments to the Commission’s Rules of Practice
File No.: S7-18-15
Effective Date: 60 days after publication in the Federal Register
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
Second Quarter
34-78167 Jun. 27, 2016 Disclosure of Payments by Resource Extraction Issuers
File No.: S7-25-15
Effective Date: 60 days after publication in the Federal Register
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:  Proposed Rule Release Nos. 34-76958 and 34-76620; and Order, Release No. 34-78169
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