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SEC Final Rules: 2003
Archive of older SEC Final Rules available include:
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| Release No. |
Date |
Details |
| Fourth Quarter |
| 34-48949 |
Dec. 18, 2003 |
Recordkeeping Requirements for Registered Transfer Agents
File No.: S7-13-03
Effective Date: January 28, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48036 and comments
|
| IA-2204 |
Dec. 17, 2003 |
Compliance Programs of Investment Companies and Investment Advisers
Release No.: IC-26299
File No.: S7-03-03
Effective Date: February 5, 2004
Compliance Dates: (see text of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. IC-25925; comments; and Summary of Comments
Notice of OMB Approval of Collections of Information
|
| 34-48931 |
Dec. 16, 2003 |
Processing Requirements for Cancelled Security Certificates
File No.: S7-18-00
Effective Date: January 22, 2004
Federal Register PDF
See also Proposed Rule and comments |
| 33-8340 |
Nov. 24, 2003 |
Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors
Release Nos.: 34-48825; IC-26262
File No.: S7-14-03
Effective Date: January 1, 2004
Compliance Date: (see Compliance Dates section of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48301 and comments
|
| 33-8335 |
Nov. 10, 2003 |
Purchases of Certain Equity Securities by the Issuer and Others
Release Nos.: 34-48766; IC-26252
File No.: S7-50-02
Effective Date: December 17, 2003, except §§ 270.23c-1(a)(11) and 274.201 are effective July 15, 2004.
Compliance Date: (see Compliance Dates section of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8160; comments; and comment summary |
| Third Quarter |
| 33-8294 |
Sep. 29, 2003 |
Amendments to Investment Company Advertising Rules
Release Nos.: 34-48558; IC-26195
File No.: S7-17-02
Effective Date: November 15, 2003.
Compliance Date: (see section II.F. of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. 34-45953; comments; and comment summary |
| IA-2176 |
Sep. 25, 2003 |
Custody of Funds or Securities of Clients by Investment Advisers
File No.: S7-28-02
Effective Date: November 5, 2003.
Compliance Date: April 1, 2004.
Federal Register PDF
See also Proposed Rule, Rel. No. IA-2044
Staff Responses to Questions About Amended Custody Rule |
| 33-8255A |
Sep. 4, 2003 |
Adoption of Updated EDGAR Filer Manual; Correction
Release No.: 34-48204A; 35-27700A; 39-2409A; IC-26103A
Federal Register PDF
See also Final Rule, Rel. No. 33-8255 |
| 33-8267 |
Aug. 19, 2003 |
Adoption of Filing Fee Account Rule
Release No.: 34-48361; 35-27714; 39-2410; IC-26153
Effective Date: October 21, 2003
Federal Register PDF |
| 34-48272 |
Aug. 1, 2003 |
Broker-Dealer Exemption from Sending Certain Financial Information to Customers
Release No.: 34-48272
File No.: S7-48-02
Effective Date: September 5, 2003
Federal Register PDF
|
| 33-8255 |
July 22, 2003 |
Adoption of Updated EDGAR Filer Manual
Release No.: 34-48204; 35-27700; 39-2409; IC-26013
Effective Date: July 31, 2003
Federal Register PDF |
| 34-48167 |
July 11, 2003 |
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
Release No.: IA-2144
File No.: S7-10-00
Effective Date: July 31, 2003
Federal Register PDF
See also IA-1897; Proposed Rule, Rel. No. 34-42620 and comments
|
| Second Quarter |
| IC-26077 |
June 16, 2003 |
Certain Research and Development Companies
File No.: S7-47-02
Effective Date: August 19, 2003
See also Proposed Rule, Rel. No. IC-25835 and comments
|
| 33-8240 |
June 11, 2003 |
Rules of Practice
Release Nos.: 34-48018; 35-27686; 39-2408; IA-2137; IC-26074
File No.: S7-04-03
Effective Date: July 17, 2003
See also Proposed Rule, Rel. No. 33-8190 and comments
|
| 33-8238 |
June 5, 2003 |
Management's Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Release Nos.: 34-47986; IC-26068
File Nos.: S7-40-02; S7-06-03
Effective Date: August 14, 2003.
Compliance Dates: See release for details.
See also Final Rules, Rel. Nos. 33-8177A, 33-8177, 34-47262;
Proposed Rules, Rel. Nos. 33-8212 and comments; 33-8138 and comments
|
| 34-47890 |
May 20, 2003 |
Improper Influence on Conduct of Audits
Release No.: IC-26050
File No.: S7-39-02
Effective Date: June 27, 2003
See also: Proposed Rule Rel. No. 34-46685 and comments |
| 33-8230 |
May 7, 2003 |
Mandated Electronic Filing and Website Posting for Forms 3, 4 and 5
Release No.: 34-47809, 35-27674, IC-26044
File No.: S7-52-02
Effective Date: June 30, 2003.
Compliance Date: June 30, 2003. See release for additional information.
See also: Proposed Rule Rel. No. 33-8170 and comments;
Summary of Comments |
| 33-8224 |
Apr. 30, 2003 |
Adoption of Updated EDGAR Filer Manual
Release Nos: 34-47766; 35-27672; 39-2407; IC-26032
Effective Date: May 7, 2003; See Release for further information. |
| IC-26031 |
Apr. 29, 2003 |
Customer Identification Programs for Mutual Funds
File No.: S7-26-02
Effective Date: June 9, 2003
Compliance Date: October 1, 2003. See release for additional information.
See also: Proposed Rule Rel. No. IC-25667, comments and Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule |
| 34-47752 |
Apr. 29, 2003 |
Customer Identification Programs For Broker-Dealers
File No.: S7-25-02
Effective Date: June 9, 2003
Compliance Date: October 1, 2003.
See also: Proposed Rule Rel. No. 34-46192 and comments |
| 33-8220 |
Apr. 9, 2003 |
Standards Relating to Listed Company Audit Committees
Release Nos: 34-47654; IC-26001
File No.: S7-02-03
Effective Date: April 25, 2003
Compliance Dates: Please see release.
See also: Proposed Rule Rel. No. 33-8173 and comments |
| 33-8128A |
Apr. 8, 2003 |
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
Release No.: 34-46464A; FR-63A
File No.: S7-08-02
Effective Date: April 14, 2003
See also: Final Rule Rel. No. 33-8128;
Proposed Rule Rel. No. 33-8089 and comments
|
| First Quarter |
| 33-8216 |
Mar. 27, 2003 |
Filing Guidance Related To: Conditions for Use of Non-GAAP Financial Measures; and Insider Trades During Pension Fund Blackout Periods
Release Nos: 34-47583; IC-25983; FR-69
File Nos.: S7-43-02 and S7-44-02
Effective Date: March 28, 2003
See also: Final Rules, Rel. Nos. 34-47225 and 33-8176;
Proposed Rules, Rel. Nos. 34-46778 and comments; 33-8145 and comments
|
| 33-8177A |
Mar. 26, 2003 |
Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Release No.: 34-47235A
File No.: S7-40-02
Effective Date: March 31, 2003
See also: Final Rule Rel. No. 33-8177;
Final Rule Rel. No. 34-47262;
Proposed Rule Rel. No. 33-8138 and comments |
| 33-8183A |
Mar. 26, 2003 |
Strengthening the Commission's Requirements Regarding Auditor Independence
Release Nos: 34-47265A; 35-27642A; IC-25915A; IA-2103A, FR-68
File No.: S7-49-02
Effective Date: March 31, 2003
See also: Final Rule Rel. No. 33-8183;
Proposed Rule Rel. No. 33-8154 and comments
|
| 34-44992A |
Mar. 26, 2003 |
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
Notice of OMB Approval of Collections of Information
See also: Final Rule Rel. No. 34-44992; Proposed Rule Rel. No. 34-40518 and comments
|
| 34-47480 |
Mar. 11, 2003 |
Customer Protection — Reserves and Custody of Securities:
Delegation of Authority to the Director of the Division of Market Regulation
File No.: S7-20-02
Effective Date: April 16, 2003
See also: Release No. 34-47683;
Proposed Rule Rel. No. 34-46019 and comments
|
| 33-8193 |
Feb. 20, 2003 |
Regulation Analyst Certification
Release No.: 34-47384
File No.: S7-30-02
Effective Date: April 14, 2003
Notice of OMB Approval of Collections of Information
See also: Proposed Rule Rel. No. 33-8119 and comments; Other Rule, Rel. No.34-47591
|
| 34-47364 |
Feb. 14, 2003 |
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.: S7-41-02
Effective Date: March 26, 2003
Compliance Date: September 30, 2003
See also: Order Extending Temporary Exemption;
Proposed Rule Rel. No. 34-46745 and comments
See also Bank Dealer Compliance Guide
|
| IC-25934 |
Feb. 13, 2003 |
Custody of Investment Company Assets with a Securities Depository
File No.: S7-22-01
Effective Date: March 28, 2003
See also: Proposed Rule Rel. No. IC-25266 and comments
|
| 33-8188 |
Jan. 31, 2003 |
Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
Release Nos.: 34-47304, IC-25922
File No.: S7-36-02
Effective Date: April 14, 2003
Compliance Date: See Section III of this Release.
Comments Due: March 14, 2003
See also: Proposed Rule Rel. No. 33-8131 and comments
|
| IA-2106 |
Jan. 31, 2003 |
Proxy Voting by Investment Advisers
File No.: S7-38-02
Effective Date: March 10, 2003
Compliance Date: August 6, 2003
See also: Proposed Rule Rel. No. IA-2059 and comments
|
| 33-8185 |
Jan. 29, 2003 |
Implementation of Standards of Professional Conduct for Attorneys
Release Nos: 34-47276; IC-25919
File No.: S7-45-02
Effective Date: August 5, 2003
See also: Proposed Rule Rel. No. 33-8150 and comments
|
| 33-8183 |
Jan. 28, 2003 |
Strengthening the Commission's Requirements Regarding Auditor Independence
Release Nos: 34-47265; 35-27642; IC-25915; IA-2103, FR-68
File No.: S7-49-02
Effective Date: May 6, 2003.
Transition Dates: See text of Release.
Notice of OMB Approval of Collections of Information
See also Correction to Final Regulations, Release No. 33-8183a; Proposed Rule Rel. No. 33-8154 and comments
|
| 33-8182 |
Jan. 28, 2003 |
Disclosure in Management's Discussion and Analysis about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations
Release Nos: 34-47264; FR-67; International Series No. 1266
File No.: S7-42-02
Effective Date: April 7, 2003
Compliance Date: See text of Release.
See also: Proposed Rule Rel. No. 33-8144 and comments
|
| 34-47262 |
Jan. 27, 2003 |
Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms; Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Release No.: IC-25914
File No.: S7-33-02 and S7-40-02
Effective Date: March 1, 2003.
Compliance Date: See Section III of this Release.
See also: Final Rules, Rel. Nos. 33-8238, 33-8177A; 33-8177;
Proposed Rules, Rel. Nos. 33-8138 and comments; 34-46441 and comments
|
| 33-8180 |
Jan. 24, 2003 |
Retention of Records Relevant to Audits and Reviews
Release Nos.: 34-47241; IC-25911; FR-66
File No.: S7-46-02
Effective Date: March 3, 2003
Compliance Date: October 31, 2003
See also: Proposed Rule Rel. No. 33-8151 and comments
|
| 33-8177 |
Jan. 23, 2003 |
Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Release Nos.: 34-47235
File No.: S7-40-02
Effective Date: March 3, 2003.
Comments Due: February 18, 2003; see text for details
Compliance Date: See text of release.
(Note: Text of release corrected Jan. 24, 2003, 9:35 am)
See also: Correction to Final Regulations, Rel. No. 33-8177a; Final Rule Rule Rel. No. 34-47262; Proposed Rule Rel. No. 33-8138 and comments
|
| 34-47225 |
Jan. 22, 2003 |
Insider Trades During Pension Fund Blackout Periods
Release Nos.: IC-25909
File No.: S7-44-02
Effective Date: January 26, 2003
Compliance Date: March 31, 2003
See also: Final Rule Rel. No. 33-8216;
Proposed Rule Rel. No. 34-46778 and comments
|
| 33-8176 |
Jan. 22, 2003 |
Conditions for Use of Non-GAAP Financial Measures
Release Nos.: 34-47226; FR-65
File No.: S7-43-02
Effective Date: March 28, 2003
Compliance Date: See text of release.
See also: Final Rule Rel. No. 33-8216;
Proposed Rule Rel. No. 33-8145 and comments
|
| IC-25888 |
Jan. 14, 2003 |
Transactions of Investment Companies with Portfolio and Subadviser Affiliates
File No.: S7-13-02
Effective Date: February 24, 2003
Compliance Date: April 23, 2003. Section II of this document contains more information on transition prior to the compliance date.
See also: Proposed Rule Rel. No. IC-25557 and comments
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http://www.sec.gov/rules/final/finalarchive/finalarchive2003.shtml
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