SEC Final Rules

Final rules currently available include:

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Release No. Date Details
33-10593 Dec. 20, 2018 Disclosure of Hedging by Employees, Officers and Directors (Conformed to Federal Register version)
File No:  S7-01-15
Effective Date: March 8, 2019
Compliance Dates: see release
See also: Small Entity Compliance Guide; Proposed Rule Rel. No. 33-9723
Federal Register version (84 FR 2402)
34-84875 Dec. 19, 2018 Transaction Fee Pilot for NMS Stocks (Conformed to Federal Register version)
File No.: S7-05-18
Effective Date: April 22, 2019
See also: Proposed Rule Rel. No. 34-82873
Federal Register version (84 FR 5202)
33-10591 Dec. 19, 2018 Amendments to Regulation A (Conformed to Federal Register version)
File No.: S7-29-18
Effective Date: Date of publication in the Federal Register
Comments Due: 30 days after publication in the Federal Register
Comments received are available
Federal Register version (84 FR 520)
34-84858 Dec. 19, 2018 Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or be Involved in Effecting Security-Based Swaps (Conformed to Federal Register version)
File No.: S7-14-15
Effective Date: April 22, 2019
See also: Proposed Rule Rel. No. 34-75612
Federal Register version (84 FR 4906)
33-10585 Dec. 14, 2018 Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Effective Date: December 26, 2018
Other Release Nos.: 34-84825; 39-2524; IC-33324
Federal Register version (83 FR 66100)
33-10580 Nov. 30, 2018 Covered Investment Fund Research Reports (Conformed to Federal Register version)
File No.: S7-11-18
Other Release Nos.: 34-84710; IC-33311
Effective Date: January 14, 2019 except that amendatory instruction 4 amending Sec. 230.139b(a)(1)(i)(A)(1) is effective May 1, 2020.
Comments Due: Comments regarding the collection of information requirements within the meaning of the Paperwork Reduction Act of 1995 should be received on or before February 11, 2019
See also: Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10498 Federal Register version (83 FR 64180)
33-10577 Nov. 29, 2018 Form N-1A; Correction (Conformed to Federal Register version)
File Nos.: S7-08-15 and S7-04-18
Effective Date: see release
See also: Final Rule Rel. Nos. 33-10506; IC-33142; and 33-10231
Federal Register version (83 FR 62454)
34-84541 Nov. 6, 2018 Regulation of NMS Stock Alternative Trading Systems (Technical Correction) (Conformed to Federal Register version)
File No.:  S7-23-15
Effective Date: November 13, 2018
See also: Final Rule Rel. No. 34-83663, Proposed Rule Rel. No. 34-76474
Federal Register version (83 FR 56257)
34-84528 Nov. 2, 2018 Disclosure of Order Handling Information
File No.:  S7-14-16
Effective Date: January 18, 2019
Compliance Date: May 20, 2019
See also: Proposed Rule Rel. No. 34-78309
Federal Register version (83 FR 58338)
33-10570 Oct. 31, 2018 Modernization of Property Disclosures for Mining Registrants (Conformed to Federal Register version)
Other Release Nos.:  34-84509
Effective Date: The final rule amendments are effective February 25, 2019, except for the amendments to 17 CFR 229.801(g) and 229.802(g), which will be effective on January 1, 2021.
Compliance Date: Registrants engaged in mining operations must comply with the final rule amendments for the first fiscal year beginning on or after January 1, 2021. Industry Guide 7 will remain effective until all registrants are required to comply with the final rules, at which time Industry Guide 7 will be rescinded.
See also: Proposed Rule Rel. No. 33-10098 and Small Entity Compliance Guide
Federal Register version (83 FR 66344)
33-10566A Oct. 1, 2018 Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Effective Date: November 5, 2018
Other Release Nos.: 33-10566A; 34-84325A; 39-2522A; IC-33261A
Federal Register version (83 FR 55264)
Third Quarter
33-10537 Aug. 22, 2018 Delegation of Authority to General Counsel of the Commission (Conformed to Federal Register version)
Other Release Nos.:  34-83911, IA-4994, IC-33212
Effective Date: Aug. 31, 2018
Federal Register version (83 FR 44465)
34-83885 Aug. 20, 2018 Amendments to Municipal Securities Disclosure (Conformed to Federal Register version)
File No:  S7-01-17
Effective Date: Oct. 30, 2018
Compliance Date: Feb. 27, 2019
See also: Proposed Rule Rel. No. 34-80130
Federal Register version (83 FR 44700)
33-10532 Aug. 17, 2018 Disclosure Update and Simplification
File No:  S7-15-16
Effective Date: November 5, 2018
See also: Demonstration Version
See also: Proposed Rule Rel. Nos. 34-76474, 33-10110, and Small Entity Compliance Guide
Federal Register version (83 FR 50148)
34-83663 Jul. 18, 2018 Regulation of NMS Stock Alternative Trading Systems; Correction to page 530 to include legend on Form ATS-N (Conformed to Federal Register version)
File No:  S7-23-15
Effective Date: October 9, 2018
See also: Proposed Rule Rel. No. 34-76474
Federal Register version (83 FR 38768)
33-10520 Jul. 18, 2018 Rule 701 — Exempt Offerings Pursuant to Compensatory Arrangements (Conformed to Federal Register version)
File No:  S7-17-18
Effective Date: July 23, 2018
Comments Due: August 23, 2018 Federal Register version (83 FR 34940)
33-10518 Jul. 10, 2018 Adoption of Updated EDGAR Filer Manual
Effective Date: Upon Publication in the Federal Register
Other Release Nos.: 34-83614; 39-2521; IC-33153
Federal Register version (83 FR 33119)
Second Quarter
33-10514 Jun. 28, 2018 Inline XBRL Filing of Tagged Data (Conformed to Federal Register version)
Effective Date: September 17, 2018
File No:  S7-03-17
See also: Small Entity Compliance Guides:
    Operating Company Inline XBRL Filing of Tagged Data
    Open-End Management Investment Company Inline XBRL Filing of Tagged Data
Proposed Rule Rel. No. 33-10323
Federal Register version (83 FR 40846)
IC-33142 Jun. 28, 2018 Investment Company Liquidity Disclosure (Conformed to Federal Register version)
Effective Date: September 10, 2018
File No:  S7-04-18
See also: Final Rule Rel. No. 33-10577; Proposed Rule Rel. No. IC-33046; and Small Entity Compliance Guide
Federal Register version (83 FR 31859)
33-10513 Jun. 28, 2018 Amendments to Smaller Reporting Company Definition (Conformed to Federal Register version)
Effective Date: September 10, 2018
File No:  S7-12-16
Other Release No.:  34-83550
See also:  Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10107
Federal Register version (83 FR 31992)
34-83506 Jun. 25, 2018 Amendments to the Commission’s Freedom of Information Act Regulations (Conformed to Federal Register version)
Effective Date: July 30, 2018
File No:  S7-09-17
Other Release No.:  FOIA-193
See also: Proposed Rule Rel. No. 34-82373
Federal Register version (83 FR 30322)
33-10506 Jun. 5, 2018 Optional Internet Availability of Investment Company Shareholder Reports (Conformed to Federal Register version)
Effective Date: January 1, 2019 with exceptions (see rule)
File No:  S7-08-15
See also: Small Entity Compliance Guide; Final Rule Rel. Nos. 33-10577, 33-10442; and 33-10231; Proposed Rule Rel. No. 33-9776
Federal Register version (83 FR 29158)
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)