SEC Final Rules: 2006

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 |2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994-1962

Release No.	Date	Details
Fourth Quarter
33-8765	Dec. 22, 2006	Executive Compensation Disclosure Other Release No.: 34-55009 File No.: S7-03-06 Effective Date:  December 29, 2006 Federal Register version Comments Due:   January 29, 2007 Comments received are available. See also: Final Rule Release Nos. 33-8732A; Proposed Rule Release Nos. 33-8735 and 33-8655
33-8760	Dec. 15, 2006	Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies Other Release No.: 34-54942 File No.: S7-06-03 Effective Date:  February 20, 2007; see effective date section of the release for temporary item exceptions. Comments Due:   January 22, 2007 Comments received are available. Federal Register version See also: Final Rule Release Nos. 33-8730A; 33-8238; Proposed Rule Release Nos. 33-8212 and 33-8731 and comments
34-54867	Dec. 4, 2006	Delegation of Authority to Chief Administrative Law Judge Effective Date:  January 8, 2007 Federal Register version
34-54864	Dec. 4, 2006	Electronic Filing of Transfer Agent Forms File No.: S7-14-06 Effective Date:  January 11, 2007 Federal Register version See also:   Proposed Rule 34-54356 and comments
34-54684	Nov. 1, 2006	Amendments to the Tender Offer Best-Price Rules Other Release No.: IC-27542 File No.: S7-11-05 Effective Date:  December 8, 2006 Federal Register version See also:   Proposed Rule 34-52968 and comments
IC-27538	Oct. 25, 2006	Definition of Eligible Portfolio Company under the Investment Company Act of 1940 File No.: S7-37-04 Effective Date:  November 30, 2006 Federal Register version See also: Proposed Rules IC-27539; Release No. IC-26647; and comments
Third Quarter
IC-27504	Sep. 27, 2006	Mutual Fund Redemption Fees File Nos.: S7-06-06; File No. 4-512 Effective Date:  December 4, 2006 Compliance Date:  See Section III of Release Federal Register version See also: Proposed Rule Release No. IC-27255; comments on S7-06-06; and comments on 4-512
33-8732A	Aug. 29, 2006	Executive Compensation and Related Person Disclosure (conforming amendments) Release No. 33-8732A reflects revision of Release No. 33-8732 to conform with the publication of two releases in the Federal Register — Release No. 33-8732A and Release No. 33-8735. Release 33-8732A reflects the addition of cross references to proposing release No. 33-8735. Other Release Nos.: 34-54302A; IC-27444A File No.: S7-03-06 Effective Date:  November 7, 2006 Compliance Dates:  see Release, page 2. Comments Due:  October 23, 2006 Comments received are available for this proposal. Federal Register version See also: Proposed Rule Release Nos. 33-8735; 33-8655
33-8730A	Aug. 9, 2006	Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers [Corrected August 11, 2006] Other Release No.: 34-54294A File No.: S7-06-03 Effective Date:  September 14, 2006; except Temporary §210.2-02T, Temporary Item 15T of Form 20-F, and Temporary Instruction 2T of General Instruction B(6) of Form 40-F are effective from September 14, 2006 to December 31, 2007 Federal Register version See also: Proposed Rule Release Nos. 33-8731; 33-8212; and Final Rule Release No. 33-8238
33-8724	Jul. 18, 2006	Amendments to the Informal and Other Procedures; Public Company Accounting Oversight Board Budget Approval Process Other Release No.: 34-54168 Effective Date:  August 23, 2006 Federal Register version
34-54106	Jul. 6, 2006	Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities File No.: S7-07-06 Effective Date:  August 14, 2006 Federal Register version
Second Quarter
33-8713	Jun. 20, 2006	Fund of Funds Investments Other Release No.: IC-27399 File No.: S7-18-03 Effective Date:  July 31, 2006 Compliance Date:  January 2, 2007 Federal Register version See also:  FAQ re: Disclosure of Fund of Funds Expenses
34-53937	Jun. 5, 2006	Amendments to Plan of Organization and Operation Effective During Emergency Conditions File No.: S7-10-06 Effective Date: June 9, 2006 Federal Register version; see also Correction
34-53829	May 18, 2006	Regulation NMS: Extension of Compliance Dates File No.: S7-10-04 Effective Date: May 24, 2006 Federal Register version See also: Spotlight on Regulation NMS
34-53755	May 3, 2006	Description of Duties of the General Counsel Effective Date:  May 3, 2006 Federal Register version
First Quarter
IA-2504	Mar. 30, 2006	Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E Effective Date:  April 7, 2006 Federal Register version
33-8590A	Feb. 8, 2006	Rulemaking for EDGAR System (technical amendment) Other Release Nos.: 34-52052A; 35-28002A; 39-2437A; IC-26990A File No.: S7-16-04 Effective Date:  February 8, 2006 Federal Register version See also: Final Rule Release No. 33-8590; Proposed Rule Release No. 33-8401; Comments
33-8591A	Feb. 6, 2006	Securities Offering Reform; Correction (technical amendments) Other Release Nos.: 34-52056A; IC-26993A; FR-75A; International Series Release No. 1294A File No.: S7-38-04 Effective Date:  February 13, 2006 Federal Register version See also: Final Rule Release No. 33-8591; Proposed Rule Release No. 33-8501; Comments
33-8656	Jan. 27, 2006	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-53186; 35-28081; 39-2441; IC-27219 Effective Date:  February 6, 2006 Federal Register version

http://www.sec.gov/rules/final/finalarchive/finalarchive2006.shtml