SEC Final Rules

Final rules currently available include:

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Release No. Date Details
33-10580 Nov. 30, 2018 Covered Investment Fund Research Reports
File No.: S7-11-18
Other Release Nos.: 34-84710; IC-33311
Effective Date: 30 days after publication in the Federal Register
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 60 days after publication in the Federal Register
See also: Proposed Rule Rel. No. 33-10498
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
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
Other Release Nos.:  34-84509
Effective Date: 60 Days After Publication in the Federal Register
See also: Proposed Rule Rel. No. 33-10098 and Small Entity Compliance Guide
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)