SEC Final Rules: 2009

Final rules currently available include:

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Release No.	Date	Details
Fourth Quarter
IA-2965A	Dec. 31, 2009	Temporary Rule Regarding Principal Trades with Certain Advisory Clients (Correction) File No.: S7-23-07 Effective Date:  December 31, 2009. The DATES section for FR Doc. 2009-30877, published on December 30, 2009 (74 FR 69009) is corrected to read "DATES: The amendments in this document are effective December 30, 2009 and the expiration date for 17 CFR 275.206(3)-3T is extended to December 31, 2010". Note:  The amendments are effective December 31, 2009, and the expiration date for 17 CFR 275.206(3)-3T is now December 31, 2010. This is a technical correction only for purposes of Federal Register publication to provide clearly that final Rule 206(3)-3T remains in effect through December 31, 2010, consistent with Release No. IA-2965. See also:  Final Rule Release No. IA-2965; Interim Final Temporary Rule Release No. IA-2653; Small Entity Compliance Guide; Letter to SIFMA regarding expiration of rule 206(3)-3T Federal Register version
IA-2968	Dec. 30, 2009	Custody of Funds or Securities of Clients by Investment Advisers File No.: S7-09-09 Effective Date:  March 12, 2010 See also:  Proposed Rule Release No. IA-2876; Interpretive Release No. IA-2969; and comments; Staff Responses to Questions About the Custody Rule; Small Entity Compliance Guide Federal Register version
IA-2965	Dec. 23, 2009	Temporary Rule Regarding Principal Trades with Certain Advisory Clients File No.: S7-23-07 Effective Date:  December 30, 2009 See also:  Final Rule Release No. IA-2965A (Correction); Interim Final Temporary Rule Release No. IA-2653; Small Entity Compliance Guide; Letter to SIFMA regarding expiration of rule 206(3)-3T Federal Register version
33-9089	Dec. 16, 2009	Proxy Disclosure Enhancements Other Release Nos.: 34-61175, IC-29092 File No.: S7-13-09 Effective Date:  February 28, 2010 See also:  Proposed Rule Release No. 33-9052; Final Rule (Correction) Release No. 33-9089A; Small Entity Compliance Guide Federal Register version
33-9087	Dec. 15, 2009	Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities File No.: S7-23-09 Effective Date:  December 31, 2009 See also:  Proposed Rule Release No. 33-9074 Federal Register version
34-61050	Nov. 23, 2009	Amendments to Rules for Nationally Recognized Statistical Rating Organizations File No.: S7-04-09 Effective Date:  February 2, 2010 Compliance Date:  June 2, 2010 See also:  Proposed Rule Release No. 34-59343; comments on S7-04-09; Small Entity Compliance Guide Federal Register version
34-61003	Nov. 16, 2009	Final Model Privacy Form under the Gramm-Leach-Bliley Act Other Release Nos.: IA-2950, IC-28997 File No.: S7-09-07 Additional Materials: Small Entity Compliance Guide, Model form with opt-out, Model form with no opt-out, and Model Consumer Privacy Notice Online Form Builder Effective Date:  December 31, 2009; see release for exceptions to this effective date Federal Register version
34-60946	Nov. 5, 2009	Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date Other Release Nos.: IA-2946, IC-28990 File No.: S7-29-04 Effective Date:  The effective date for Regulation S-AM (17 CFR 248.101 through 248.128) remains September 10, 2009. The compliance date for Regulation S-AM is extended from January 1, 2010 to June 1, 2010. See also:  Proposed Rule Release No. 34-49985; Final Rule Release No. 34-60423 Federal Register version
33-9077	Oct. 26, 2009	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-60875, 39-2468, IC-28984 Effective Date:  October 30, 2009 Federal Register version
33-9072	Oct. 13, 2009	Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers Other Release No.: 34-60813 File No.: S7-06-03 Effective Date:  December 18, 2009 See also:  Proposed Rule Release Nos. 33-8212, 33-8731, 33-8889; Final Rule Release Nos. 33-8238, 33-8392, 33-8618, 33-8545, 33-8760, 33-8730A, 33-8934, 33-8934A Federal Register version
34-60789	Oct. 5, 2009	References to Ratings of Nationally Recognized Statistical Rating Organizations Other Release No.: IC-28939 File Nos.: S7-17-08, S7-19-08 Effective Date:  November 12, 2009 See also:  Proposed Rule Release Nos. 34-58070 and IC-28327; comments on S7-17-08; comments on s7-19-08; Small Entity Compliance Guide Federal Register version
Third Quarter
IC-28903	Sep. 18, 2009	Disclosure of Certain Money Market Fund Portfolio Holdings (Interim Final Temporary Rule; Request for Comment) File No.: S7-20-09 Effective Date:  September 18, 2009 through September 17, 2010 Comment Due Date:  October 26, 2009 Comments received are available for this notice. Federal Register version
33-9063	Sep. 14, 2009	Extension of Temporary Exemptions for Eligible Credit Default Swaps to Facilitate Operation of Central Counterparties to Clear and Settle Credit Default Swaps (Interim Final Temporary Rules; Extension) [Conforming Version — to Conform to Release Published in the Federal Register] Other Release No.: 34-60663, 39-2467 File No.: S7-02-09 Effective Date:  September 17, 2009 See also:  Final Rule Release No. 33-8999 Federal Register version
34-60448	Aug. 5, 2009	Delegation of Authority to Director of Division of Enforcement Effective Date:  August 11, 2009 Federal Register version
34-60423	Aug. 4, 2009	Regulation S-AM: Limitations on Affiliate Marketing Other Release Nos.: IC-28842, IA-2911 File No.: S7-29-04 Effective Date:  September 10, 2009 See also:  Proposed Rule Release No. 34-49985; Small Entity Compliance Guide Federal Register version
33-9058	Jul. 28, 2009	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-60390, 39-2466, IC-28838 Dates:  Effective Date: August 4, 2009. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of August 4, 2009. Federal Register version
34-60388	Jul. 27, 2009	Amendments to Regulation SHO (Corrected - Conforming to Federal Register Version) File No.: S7-30-08 Effective Date:  July 31, 2009 See also:  Interim Final Temporary Rule Release No. 34-58773 and comments; Small Entity Compliance Guide Federal Register version
Second Quarter
33-8934A	Jun. 22, 2009	Technical Amendment: Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers (Conforming to Federal Register Version) Other Release No.: 34-58028A File No.: S7-06-03 Effective Date:  The effectiveness of §§ 210.2-02T and 229.308T, which currently terminates on June 30, 2009, is extended through June 30, 2010. This technical correction does not affect the effective date for compliance by a non-accelerated filer with the rules implementing Section 404(b) of the Sarbanes-Oxley Act of 2002. Under the amendments adopted in Release No. 33-8934, a non-accelerated filer is required to file the auditor’s attestation report on internal control over financial reporting when it files an annual report for a fiscal year ending on or after December 15, 2009. See also:  Final Rule Release No. 33-8934 Federal Register version
33-8998A	May 28, 2009	Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies; Correction Other Release No.: IC-28584A File No.: S7-28-07 Effective Date:  June 4, 2009 See also:  Final Rule Release No. 33-8998; Proposed Rule Release Nos. 33-8861 and 33-8949 (reopening the comment period); and comments; Small Entity Compliance Guide Federal Register version
33-9006A	May 1, 2009	Interactive Data For Mutual Fund Risk/Return Summary; Correction Other Release Nos.: 34-59391A; 39-2462A; IC-28617A File No.: S7-12-08 Effective Date:  July 15, 2009 See also:  Final Rule Release No. 33-9006; Proposed Rule Release No. 33-8929; Small Entity Compliance Guide Federal Register version
34-59829	Apr. 28, 2009	Delegation of Authority to the General Counsel Effective Date:  May 4, 2009 Federal Register version
33-9027	Apr. 16, 2009	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-59776, 39-2465, IC-28698 Effective Date:  April 23, 2009 See also:  Federal Register version
33-9026	Apr. 15, 2009	Technical Amendments to Rules, Forms, Schedules and Codification of Financial Reporting Policies Other Release Nos.: 34-59775, FR-79 Effective Date:  April 23, 2009 See also:  Federal Register version
33-9022	Apr. 8, 2009	Adoption of Updated EDGAR Filer Manual (Conforming Version) Other Release Nos.: 34-59728; 39-2464; IC-28691 Effective Date:  April 16, 2009 See also:  Federal Register version
33-9002A	Apr. 1, 2009	Interactive Data to Improve Financial Reporting (Correction) Other Release Nos.: 34-59324A; 39-2461A; IC-28609A File No.: S7-11-08 Effective Date:  April 13, 2009 See also:  Final Rule Release No. 33-9002; Proposed Rule Release No. 33-8924; Small Entity Compliance Guide Federal Register version
First Quarter
33-9013	Mar. 9, 2009	Attaching Authenticating Documents to Online Form ID Applications Other Release Nos.: 34-59536, 39-2463, IC-28642 Effective Date:  March 16, 2009 Federal Register version
33-9009	Feb. 25, 2009	Adjustments to Civil Monetary Penalty Amounts Other Release Nos.: IA-2845; IC-28635 Effective Date:  March 3, 2009 Federal Register version
33-9006	Feb. 11, 2009	Interactive Data for Mutual Fund Risk/Return Summary Other Release No.: 33-9006, 34-59391, 39-2462, IC-28617 File No.: S7-12-08 Effective Date:  July 15, 2009 See also:  Final Rule Release No. 33-9006A (Correction); Proposed Rule Release No. 33-8929; Small Entity Compliance Guide Federal Register version
34-59342	Feb. 2, 2009	Amendments to Rules for Nationally Recognized Statistical Rating Organizations File No.: S7-13-08 Effective Date:  April 10, 2009 See also:  Proposed Rule Release No. 34-57967; Small Entity Compliance Guide Federal Register version
33-9002	Jan. 30, 2009	Interactive Data to Improve Financial Reporting Other Release Nos.: 34-59324; 39-2461; IC-28609 File No.: S7-11-08 Effective Date:  April 13, 2009 except §232.406T is effective from April 13, 2009 until October 31, 2014 See also:  Final Rule Release No. 33-9002A (Correction); Proposed Rule Release No. 33-8924; Small Entity Compliance Guide Federal Register version
33-8999	Jan. 14, 2009	Temporary Exemptions for Eligible Credit Default Swaps to Facilitate Operation of Central Counterparties to Clear and Settle Credit Default Swaps (Interim Final Temporary Rule) Other Release Nos.: 34-59246, 39-2549 File No.: S7-02-09 Effective Date:  January 22, 2009 until September 25, 2009 Comment Due Date:  March 23, 2009 Comments received are available. See also:  Final Rule Release No. 33-9063 Federal Register version
33-8998	Jan. 13, 2009	Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies Other Release No.: IC-28584 File No.: S7-28-07 Effective Date:  March 31, 2009 See also:  Proposed Rule Release No. 33-8861; Release No. 33-8949 (reopening the comment period); and comments; Small Entity Compliance Guide Federal Register version
33-8996	Jan. 8, 2009	Indexed Annuities and Certain Other Insurance Contracts Other Release No.: 34-59221 File No.: S7-14-08 Effective Date:  The effective date of § 230.151A is January 12, 2011. The effective date of § 240.12h-7 is May 1, 2009. Sections III.A.3. and III.B.3. of this release discuss the effective dates applicable to rule 151A and rule 12h-7, respectively. See also:  Proposed Rule Release No. 33-8933; Release No. 33-8976 (reopening the comment period); comments; and Dissent of Commissioner Paredes; Small Entity Compliance Guide for Rule 12h-7; Small Entity Compliance Guide for Rule 151A Federal Register version

http://www.sec.gov/rules/final/finalarchive/finalarchive2009.shtml