SEC Final Rules

Final rules currently available include:

Third Quarter |  Second Quarter |  First Quarter

Release No. Date Details
Third Quarter
33-10709 Sep. 27, 2019 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-87148; 39-2529; IC-33650
Effective Date: Date of publication in the Federal Register
33-10699 Sep. 25, 2019 Solicitations of Interest Prior to a Registered Public Offering (Conformed to Federal Register version)
Effective Date: December 3, 2019
File No.: S7-01-19
See also: Proposed Rule Rel. No. 33-10607
Federal Register version (84 FR 53011)
33-10695 Sep. 25, 2019 Exchange-Traded Funds
File No.: S7-15-18
Other Release No.: IC-33646
Effective Date: 60 days after publication in the Federal Register
Compliance Date: The applicable compliance dates are discussed in section II.L. of this final rule.
See also: Exemptive Order Rel. No. 34-87110; Proposed Rule Rel. No. 33-10515
34-87005 Sep. 19, 2019 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
Effective Date: 60 days after publication in the Federal Register
Compliance Date: The compliance dates are discussed in section III.B. of this release.
File No.: S7-05-14
See also: Proposed Rule Rel. No. 34-71958
BHCA-7 Sep. 18, 2019 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Effective Date: January 1, 2020
Compliance Date: see Release
File No.: S7-14-18
See also: Proposed Rule Rel. Nos. BHCA-4; BHCA-3
34-86982 Sep. 17, 2019 Technical Amendments to Update Cross-References to Commission’s FOIA Regulations (Conformed to Federal Register version)
Effective Date: September 26, 2019
File No.: S7-09-17
See also: Final Rule Rel. No. 34-83506; Proposed Rule Rel. No. 34-82373
Federal Register version (84 FR 50737)
34-86590 Aug. 7, 2019 Amendments to Rules for Nationally Recognized Statistical Rating Organizations (Conformed to Federal Register version)
Effective Date: September 13, 2019
File No.: S7-22-18
See also: Proposed Rule Rel. No. 34-84289
Federal Register version (84 FR 40247)
33-10618A Aug. 6, 2019 FAST Act Modernization and Simplification of Regulation S-K (Technical Correction) (Conformed to Federal Register version)
Effective Date: August 13, 2019
File No.: S7-08-17
Other Release Nos.: 34-85381A; IA-5206A; IC-33426A
See also: Final Rule Rel. No. 33-10618; Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 39966)
BHCA-6 Jul. 5, 2019 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
File No.: S7-30-18
See also: Proposed Rule Release No. BHCA-5
Effective Date: Date of publication in the Federal Register
Second Quarter
34-86175 Jun. 21, 2019 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers (Conformed to Federal Register version)
File No.: S7-08-12
Effective Date: October 21, 2019
See also: Proposed Rules Release No. 34-84409, Release No. 34-69491, Release No. 34-68660, Release No. 34-68071; Technical Amendment (Conformed to Federal Register version)
Federal Register version (84 FR 43872)
33-10648 Jun. 18, 2019 Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships (Conformed to Federal Register version)
File No.: S7-10-18
Other Release Nos.: 34-86127; FR-85; IA-5255; IC-33511
Effective Date: October 3, 2019
See also: Proposed Rule Release No. 33-10491; Small Entity Compliance Guide
Federal Register version (84 FR 32040)
34-86073 Jun. 10, 2019 Amendment to Single Issuer Exemption for Broker-Dealers
File No.: S7-21-18
Effective Date: August 13, 2019
See also: Proposed Rule Release No. 34-84225
Federal Register version (84 FR 27708)
33-10645 Jun. 7, 2019 Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Other Release Nos.: 34-86070; 39-2526, IC-33504
Effective Date: Date of publication in the Federal Register
Federal Register version (84 FR 31192)
34-86032 Jun. 5, 2019 Form CRS Relationship Summary; Amendments to Form ADV (Conformed to Federal Register version)
File No.: S7-08-18
Effective Date: September 10, 2019
Other Release No.: IA-5247
See also: Proposed Rule Release No. 34-83063
Appendix A: Form ADV General Instructions (Conformed to Federal Register version)
Appendix B: Instructions to Form CRS (Conformed to Federal Register version)
Appendix C: Feedback Forms Comment Summary
Small Entity Compliance Guide
Federal Register version (84 FR 33492)
34-86031 Jun. 5, 2019 Regulation Best Interest: The Broker-Dealer Standard of Conduct (Conformed to Federal Register version)
File No.: S7-07-18
Effective Date: September 10, 2019
See also: Proposed Rule Release No. 34-83062
Interpretative Release Release No. IA-5248
Interpretative Release Release No. IA-5249
Small Entity Compliance Guide
Federal Register version (84 FR 33669)
34-85714 Apr. 24, 2019 Disclosure of Order Handling Information (extension of compliance date for certain requirements)
File No.: S7-14-16
Effective Date: The effective date for this release is April 30, 2019. The effective date for the amendments to Rules 600, 605, and 606 of Regulation NMS remains January 18, 2019. The compliance date for the recently adopted amendments to Rule 606 is extended, as discussed below. The compliance date remains May 20, 2019 for all other amendments not subject to this extension.
See also: Final Rule Release No. 34-84528; Proposed Rule Release No. 34-78309
Federal Register version (84 FR 18136)
First Quarter
34-85437 Mar. 28, 2019 Public Company Accounting Oversight Board Hearing Officers
Effective Date: April 3, 2019
Federal Register version (84 FR 12906)
33-10618 Mar. 20, 2019 FAST Act Modernization and Simplification of Regulation S-K (Conformed to Federal Register version)
Effective Date: May 2, 2019
File No.: S7-08-17
Other Release Nos.: 34-85381; IA-5206; IC-33426
See also: Final Rule (Technical Correction) Rel. No. 33-10618A;Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 12674)
33-10615 Mar. 12, 2019 Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Effective Date: April 1, 2019
Other Release Nos.: 34-85296; 39-2525; IC-33398
Federal Register version (84 FR 12073)