SEC Final Rules

Final rules currently available include:

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Release No. Date Details
Fourth Quarter
33-10238 Oct. 26, 2016 Exemptions to Facilitate Intrastate and Regional Securities Offerings
File No.: S7-22-15
Other Release No.: 34-79161
Effective Date: Revised 17 CFR 230.147 (Rule 147) and new 17 CFR 230.147A (Rule 147A) will be effective on April 20, 2017. The amendments to 17 CFR 230.504 (Rule 504) and 17 CFR 200.30-1 (Rule 30-1) will be effective on January 20, 2017. The removal of 17 CFR 230.505 (Rule 505) will be effective on May 22, 2017. All other amendments in this rule will be effective on May 22, 2017.
Comments Due:   January 20, 2017
See also:  Proposed Rule Release No. 33-9973
Comments received are available for this proposal. Federal Register version (81 FR 83494)
33-10234 Oct. 13, 2016 Investment Company Swing Pricing
File No.: S7-16-15
Other Release No.: IC-32316
Effective Date: November 19, 2018
Compliance Date: See section II.C of this final rule.
See also:  Small Entity Compliance Guide; Proposed Rule Release No. 33-9922
Federal Register version (81 FR 82084)
33-10233 Oct. 13, 2016 Investment Company Liquidity Risk Management Programs
File No.: S7-16-15
Other Release No.: IC-32315
Effective Date: January 17, 2017 except for the amendments to Form N-CEN (referenced in 17 CFR 274.101) which are effective June 1, 2018
Compliance Date: The applicable compliance dates are discussed in section III.M. of this final rule.
See also:  Small Entity Compliance Guide
Proposed Rule Release No. 33-9922
Federal Register version (81 FR 82142)
33-10231 Oct. 13, 2016 Investment Company Reporting Modernization
File No.: S7-08-15
Other Release Nos.: 34-79095; IC-32314
Effective Date: January 17, 2017 with exceptions listed in this final rule
Compliance Date: The applicable compliance dates are discussed in section II.H. of this final rule.
See also:  Small Entity Compliance Guide; Adopted Amendments to Regulation S-X; Proposed Rule Release No. 33-9776
Federal Register version (81 FR 81870)
Third Quarter
34-78961 Sep. 28, 2016 Standards for Covered Clearing Agencies
File No.: S7-03-14
Effective Date: December 12, 2016
Compliance Date: April 11, 2017
See also:  Proposed Rule Release No. 34-71699
Federal Register version (81 FR 70786)
33-10217 Sep. 20, 2016 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-78883; 39-2512; IC-32269
Effective Date: September 30, 2016
Federal Register version (81 FR 67118)
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
Form ADV Part 1A Summary of Changes Per IA 4509 To Be Implemented October 1, 2017
Small Entity Compliance Guide
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