SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


SEC Final Rules: 2004

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
33-8518 Dec. 22, 2004 Asset-Backed Securities
File No.:   S7-21-04
Effective Date:  March 8, 2005
Compliance Date:  see release
Comments Due:   Comments should be received on or before March 8, 2005.
Federal Register PDF
* Click to submit comments on S7-21-04
See also Technical Amendments, Rel. No. 33-8518A; Proposed Rule, Rel. No. 33-8419; comments
IA-2333 Dec. 2, 2004 Registration Under the Advisers Act of Certain Hedge Fund Advisers
File No.:   S7-30-04
Effective Date:  see release
Compliance Date:  see release
Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins
Federal Register PDF
See also: Proposed Rule, Rel. No. IA-2266;
comments;
Transcript of the Commission's Open Meeting on this item;
Notice of OMB Approval of Collection of Information
34-50781 Dec. 2, 2004 Disposal of Consumer Report Information
File No.: S7-33-04
Effective Date:  January 11, 2005
Compliance Date:  see release
Federal Register PDF
See also Proposed Rule, Rel. No. 34-50361; comments
34-50758A Dec. 7, 2004 Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries
Note: Corrected to conform to Federal Register version
File No.: S7-24-04
Effective Date:  March 7, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. 34-49804; correction; and comments
33-8507 Nov. 17, 2004 Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates
Other Release No.: 34-50684
File No.: S7-32-04
Effective Date:  December 23, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8477; comments
Summary of Comments on this proposal
34-50486 Oct. 4, 2004 Proposed Rule Changes of Self-Regulatory Organizations
File No.: S7-18-04
Effective Date:  November 8, 2004, except 240.11Aa3-2(b)(8) and 240.19b-4(m), shall be effective May 9, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. 34-49505; comments
Third Quarter
IC-26591 Sep. 2, 2004 Prohibition on the Use of Brokerage Commissions to Finance Distribution
File No.: S7-09-04
Effective Date:  October 14, 2004
Compliance Date:  December 13, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. IC-26356; comments
34-50295 Aug. 31, 2004 Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products
File No.: S7-34-02
Effective Date:  October 7, 2004
Compliance Date:  See Section II.I. of this release.
Federal Register PDF
See also Proposed Rule, Rel. No. 34-46492; comments
33-8458 Aug. 23, 2004 Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
Other Release Nos.: 34-50227; IC-26533
File No.: S7-12-04
Effective Date:  Oct. 1, 2004
Compliance Date:  See Section II.I. of this release.
Comments Due:  Comments should be received on or before October 1, 2004
Federal Register PDF
* Click to submit comments on S7-12-04
See also Proposed Rule, Rel. No. 33-8396; comments
Notice of OMB Approval of Collection of Information
33-8454 Aug. 6, 2004 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-50160; 35-27881; 39-2424; IC-26525
Effective Date:  August 23, 2004
Federal Register PDF
33-8393A Aug. 9, 2004 Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies; Technical Amendment
Other Release Nos.: 34-49333A; IC-26372A
File No.: S7-51-02
Effective Date:  August 12, 2004
Federal Register PDF
See also Final Rule, Rel. No. 33-8393
33-8400A Aug. 4, 2004 Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date; Correction
Other Release No.: 34-49424A
File No.: S7-22-04
Effective Date:  August 23, 2004
Federal Register PDF
34-50103 Jul. 28, 2004 Short Sales
File No.: S7-23-03
Effective Date:  see release
Compliance Date:  see release
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48709; comments;
Pilot Order;
Additional Pilot Order
Order Extending Pilot Term
IC-26520 Jul. 27, 2004 Investment Company Governance
File No.: S7-03-04
Effective Date:  September 7, 2004.
Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins
Federal Register PDF
See also Proposed Rule, Rel. No. IC-26323; comments;
Response to Request for Stay;
Staff Study: Exemptive Rule Amendments of 2004: The Independent Chair Condition;
Letter from Commissioners Glassman and Atkins
 
Court of Appeals Decision
Letters in Response to Court Decision
 
Commission Response to Remand by Court of Appeals (Rel. No. IC-26985, June 30, 2005)
Federal Register PDF
Concurring Views of Chairman Donaldson
Concurring Views of Commissioner Goldschmid
Concurring Views of Commissioner Campos
Dissent of Commissioner Glassman
Dissent of Commissioner Atkins

Commission Order on Stay Request (Rel. No. IC-26989, July 15, 2005)
33-8442 Jul. 14, 2004 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-17-04
Effective Date:  August 19, 2004
Federal Register PDF
34-49973 Jul. 7, 2004 Delegations of Authority to the Director of the Division of Market Regulation, the Director of the Division of Investment Management and the Director of the Office of Compliance Inspections and Examinations
Other Release No.: IC-26493
Effective Date:  July 13, 2004
Federal Register PDF
IA-2256 Jul. 2, 2004 Investment Adviser Codes of Ethics
File No.: S7-04-04
Effective Date:  August 31, 2004
Compliance Date:  Feburary 1, 2005 (see extension indicated in Release No. IA-2333, footnote 274)
Federal Register PDF
See also Proposed Rule, Rel. No. IA-2209; and comments
Second Quarter
34-49928 Jun. 28, 2004 Collection Practices under Section 31 of the Exchange Act
File No.: S7-05-04
Effective Date:  August 6, 2004, except 240.31T is effective August 6, 2004 to January 1, 2005
Compliance Date:  see release
Federal Register PDF
See also Proposed Rule, Rel. No. 34-49104; and comments
Notice of OMB Approval of Collection of Information
Comments Due:   Comments should be received on or before August 6, 2004
* Click to submit comments on S7-05-04
33-8433 Jun. 23, 2004 Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies
Other Release Nos.: 34-49909; IC-26486
File No.: S7-08-04
Effective Date:  August 5, 2004, except that the amendments to Item 12 of Form N-1A, Item 18 of Form N-2, and Item 20 of Form N-33 are effective January 31, 2006
Compliance Date:  see release
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8364; and comments
34-49831 Jun. 8, 2004 Supervised Investment Bank Holding Companies
File No.: S7-22-03
Effective Date:  August 20, 2004. Federal Register PDF
See also Proposed Rule, Rel. No. 34-48694; and comments
Note: Correct version posted June 14, 2004.
34-49830 Jun. 8, 2004 Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
File No.: S7-21-03
Effective Date:  August 20, 2004.
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48690; and comments
33-8427 Jun. 7, 2004 Disclosure of Breakpoint Discounts by Mutual Funds
Other Release Nos.: 34-49817; IC-26464
File No.: S7-28-03
Effective Date: July 23, 2004
Compliance Date: See Release, esp. Section II.G.
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8347; and comments
Notice of OMB Approval of Collections of Information
34-49616 Apr. 26, 2004 Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k)
Release No.: 34-49616
File No.: S7-15-03
Effective Date: April 30, 2004, except that § 249.220f is effective June 1, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48481; and comments
33-8410 Apr. 21, 2004 Mandated Electronic Filing for Form ID
Release No.: 34-49585, 35-27837, 39-2420, IC-26241
File No.: S7-14-04
Effective Date: April 26, 2004
Federal Register PDF
See also Correction;
Proposed Rule, Rel. No. 33-8399; and comments
33-8409 Apr. 19, 2004 Adoption of Updated EDGAR Filer Manual
Release No.: 34-49580; 35-27836; 39-2419; IC-26420
Effective Date: April 26, 2004
Federal Register PDF
33-8408 Apr. 19, 2004 Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
Release No.: 33-8408
File No.: S7-26-03
Effective Date: May 28, 2004
Federal Register PDF
34-49562 Apr. 14, 2004 Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company Transactions
Release No.: 34-49562
Effective Date:  May 20, 2004
Federal Register PDF
First Quarter
33-8400 Mar. 16, 2004 Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
Release No.: 34-49424
File No.: S7-22-02
Effective Date:  August 23, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8106 and comments
Amended Rule
34-49412 Mar. 12, 2004 Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission
File No.: S7-25-03
Effective Date:  April 19, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48832 and comments
33-8393 Feb. 27, 2004 Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
Release Nos.: 33-8393; 34-49333; IC-26372
File No.: S7-51-02
Effective Date:  May 10, 2004
Compliance Dates: See release
Federal Register PDF
See also: Proposed Rule, Rel. No. IC-25870; comments; and summary of comments
Technical Amendment
33-8392 Feb. 24, 2004 Management's Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Release Nos.: 34-49313; IC-26357
File Nos.: S7-40-02; S7-06-03
Effective Date:  August 14, 2004
Compliance Dates: See release
Federal Register PDF
See also
S7-06-03:Proposed Rule, Rel. No. 33-8212 and comments
S7-40-02:Final Rules, Rel. Nos. 33-8238, 33-8177A, 34-47262, 33-8177
Proposed Rule, Rel. No. 33-8138 and comments
34-49259 Feb. 17, 2004 Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: February 19, 2004
Federal Register PDF

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2004.shtml


Modified: 01/15/2009