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SEC Final Rules: 2001
Archive of older SEC Final Rules available include:
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
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| Release No. |
Date |
Details |
| Fourth Quarter |
| 33-8049 |
Dec. 21, 2001 |
Options Disclosure Document
File No.: S7-19-98
Effective Date: February 1, 2002 |
| 33-8048 |
Dec. 21, 2001 |
Disclosure of Equity Compensation Plan Information
File No.: S7-04-01
Effective Date: February 1, 2002
Compliance Dates: See release for details
See also Proposed Rule, Rel. No. 33-7944 and comments
|
| 34-44992 |
Oct. 26, 2001 |
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.: S7-26-98
Effective Date: May 2, 2003
Correction to Final Rule |
| 34-44965 |
Oct. 22, 2001 |
Debt Collection — Amendments to Collection Rules and Adoption of Wage Garnishment Rules
Effective Date: November 26, 2001 |
| Third Quarter |
| 34-44852 |
Sept. 26, 2001 |
Extension of Compliance Date, Firm Quote and Trade-Through Disclosure Rules for Options
File No.: S7-17-00
Effective Date: The effective date for Rule 11Ac1-7, published on December 1,2000 (65 FR 75439), remains February 1, 2001
See also Other Rule, Rel. No. 34-45654; Proposed Rule, Rel. No. 34-43085 and comments
|
| 33-8010 |
Sept. 26, 2001 |
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date
File No.: S7-09-00
Effective Date: The effective date published on February 5, 2001, remains April16, 2001
Other Release Nos.: 34-44850; IC-25175
See also Final Rule, Rel. No. 33-7941;
Proposed Rule, Rel. No. 33-7809 and comments
|
| 33-8007 |
Sept. 24, 2001 |
Adoption of Updated EDGAR Filer Manual
Release Nos.: 34-44834; 35-27443; 39-2393; IC-25168
Effective Date: October 1, 2001 |
| 34-44730 |
Aug. 21, 2001 |
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 (includes Appendix A: Form BD-N in PDF format)
File No.: S7-13-01
Effective Date: August 27, 2001
See also Proposed Rule, Rel. No. 34-44455 and comments
|
| 34-44724 |
Aug. 20, 2001 |
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
File No.: S7-11-01
Effective Date: August 21, 2001
See also Proposed Rules, Rel. Nos. 34-44475, 34-44288 and comments
|
| 34-44692 |
Aug. 13, 2001 |
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations (includes Appendix A: Form 1-N in PDF format and Appendix B: Form 19b-7)
File No.: S7-10-01
Effective Date: August 20, 2001
Comments Due: On or before September 4, 2001
See also Proposed Rule, Rel. No. 34-44279 and comments
|
| 34-44691 |
Aug. 13, 2001 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: August 20, 2001 |
| 33-7999 |
Aug. 7, 2001 |
Adoption of Updated EDGAR Filer Manual
Release Nos.: 34-44660; 35-27430; 39-2391; IC-25102
Effective Date: August 16, 2001 |
| 34-44626 |
Jul. 31, 2001 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: August 6, 2001 |
| IC-25058 |
Jul. 5, 2001 |
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
File No.: S7-21-99
Effective Date: August 15, 2001 |
| Second Quarter |
| 34-44494 |
Jun. 29, 2001 |
Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers
File No.: S7-12-00
Effective Date: Becomes effective 30 days after publication in the Federal Register, except §240.17a-25(b), which shall become effective 180 days after publication in the Federal Register
See also Proposed Rule, Rel. No. 34-42741 and comments
|
| 33-7983 |
Jun. 12, 2001 |
International Disclosure Standards; Correction
File No.: S7-03-99
Effective Date: Date of publication in the Federal Register
Other Release Nos.: 34-44406; IA-1249 |
| 34-44397 |
Jun. 7, 2001 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: Date of publication in the Federal Register |
| 35-27404 |
May 24, 2001 |
Electronic Recordkeeping by Public Utility Holding Companies
File No.: S7-07-01
Effective Date: May 31, 2001
See also Proposed Rule, Rel. No. 35-27357 and comments
|
| IC-24991 |
May 24, 2001 |
Electronic Recordkeeping by Investment Companies and Investment Advisers
Other Release Nos.: IA-1945
File No.: S7-06-01
Effective Date: May 31, 2001
See also Proposed Rule, Rel. No. IC-24890 and comments
|
| 34-44291 |
May 11, 2001 |
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
File No.: S7-12-01
Effective Date: May 11, 2001
Comments Due: July 17, 2001 (see rule summary for details)
See also Order Extending Temporary Exemption and Notice of Intent to Amend Rules and Extension of Comment Period (July 18, 2001); also Order Extending Temporary Exemption and Notice of Intent to Amend Rules (May 8, 2002)
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Dealer" (Oct. 30, 2002)
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Broker"; Notice of Intent to Amend Rules (April 8, 2003)
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Broker" under Section 3(a)(4) of the Securities Exchange Act of 1934 (November 1, 2004)
See also: Bank Dealer Compliance Guide
See also: Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of “Broker” under Section 3(a)(4) of the Securities Exchange Act of 1934 (September 9, 2005)
Comments received electronically are available for this proposal.
See also summary of comments.
Note: Also Available in PDF Format: 34-44291 |
| 34-44227 |
Apr. 27, 2001 |
Record keeping Requirements for Transfer Agents
File No.: S7-17-99
Effective Date: May 31, 2001 |
| First Quarter |
| 34-44079 |
Mar. 15, 2001 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: Mar. 15, 2001 |
| 34-44078 |
Mar. 15, 2001 |
Firm Quote and Trade-Through Disclosure Rules for Options
Effective Date: The effective date for Rule 11Ac1-7, published on Dec. 1, 2000(65 FR 75439), remains Feb. 1, 2001
Compliance Date: The compliance date for Rule 11Ac1-7 is extended from Apr. 1,2001 to Oct. 1, 2001.
Release No.: 34-44078; File No.: S7-17-00 |
| 34-44060 |
Mar. 9, 2001 |
Disclosure of Order Execution and Routing Practices
File No.: S7-16-00
Effective Date: The effective date of Rule 11Ac1-5 published on Dec. 1, 2000 (65FR 75414) remains Jan. 30, 2001.
Compliance Date: The initial compliance date for the first phase-in of securities subject to Rule 11Ac1-5 is extended from Apr. 2, 2001, to May 1, 2001. While this order alters the initial compliance date for Rule 11Ac1-5, the subsequent phase-in dates of Rule 11Ac1-5 and the compliance date of Rule 11Ac1-6 are unchanged.
See also Final Rule, Rel. No. 34-43590; Proposed Rule, Rel. No. 34-43084 and comments
|
| IC-24828A |
Mar. 8, 2001 |
Investment Company Names: Correction
Effective Date: Mar. 14, 2001
|
| 33-7959 |
Mar. 5, 2001 |
Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities
Effective Date: Mar. 12, 2001.
Other Release Nos.: 33-7959; IC-24886 |
| 33-7932A |
Feb. 27, 2001 |
Role of Independent Directors of Investment Companies; Correction
File No.: S7-23-99
Effective Date: Mar. 5, 2001
Other Release Nos.: 34-43786A; IC-24816A; |
| 34-43985 |
Feb. 21, 2001 |
Delegation of Authority to the Director of the Division of Market Regulation.
Effective Date: Feb. 26, 2001 |
| 33-7946 |
Jan. 29, 2001 |
Adjustments to Civil Monetary Penalty Amounts.
Effective Date: Feb. 2, 2001
Other Release Nos. : 33-7946; 34-43897; IA-1921; IC-24846 |
| 33-7943 |
Jan. 26, 2001 |
Integration of Abandoned Offerings.
Effective Date: Mar. 7, 2001
Release No. : 33-7943; S7-30-98 |
| 33-7941 |
Jan. 18, 2001 |
Disclosure of Mutual Fund After-Tax Returns
File No.: S7-09-00
Effective Date: Apr. 16, 2001.
Compliance Date: Section II. J. of this release contains information on compliance dates.
Other Release Nos.: 34-43857; IC-24832
Note: Additional material is available for this release:
Frequently Asked Questions About Mutual Fund After-Tax Return Requirements
Final Rule, Rel. No. 33-8010;
Proposed Rule, Rel. No. 33-7809 and comments
|
| IC-24828 |
Jan. 17, 2001 |
Investment Company Names
File No.: S7-11-97
Effective Date: Mar. 31, 2001
Compliance Date: Registered investment companies must comply with §270.35d-1 by Jul. 31, 2002.
Note: Additional material is available for this release:
Frequently Asked Questions about Rule 35d-1 (Investment Company Names) |
| 33-7933 |
Jan. 17, 2001 |
Adoption of Updated EDGAR Filer Manual
Effective Date: Date of publication in the Federal Register
Other Release Nos.: 34-43843; 35-27338; 39-2388; IC-24827 |
| 33-7932 |
Jan. 2, 2001 |
Role of Independent Directors of Investment Companies
File No.: S7-23-99
Effective Date: Feb. 15, 2001, except that the rescission of§ 270.2a19-1 under the Investment Company Act will become Effective 12, 2001
Other Release Nos.: 34-43786; IC-24816 |
http://www.sec.gov/rules/final/finalarchive/finalarchive2001.shtml
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