Final Rules: 2011

Final rules currently available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No.	Date	Details
Fourth Quarter
33-9287	Dec. 21, 2011	Net Worth Standard for Accredited Investors Other Release Nos.: IA-3341, IC-29891 File No.: S7-04-11 Effective Date:  February 27, 2012 See also:  Proposed Rule Release No. 33-9177; Small Entity Compliance Guide; Technical Amendment Release No. 33-9287a Federal Register: HTML | PDF | text | XML
33-9286	Dec. 21, 2011	Mine Safety Disclosure Other Release No.: 34-66019 File No.: S7-41-10 Effective Date:  January 27, 2012 See also:  Proposed Rule Release No. 33-9164; Small Entity Compliance Guide Federal Register: HTML | PDF | text | XML
33-9281	Nov. 22, 2011	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-65803, 39-2481, IC-29868 Effective Date:  November 29, 2011 Federal Register: HTML | PDF | text | XML
34-65742	Nov. 14, 2011	Reporting Line for the Commission's Ethics Counsel Effective Date:  November 18, 2011 Federal Register: HTML | PDF | text | XML
33-9273	Nov. 4, 2011	Rescission of Outdated Rules and Forms, and Amendments to Correct References Other Release Nos.: 34-65686, 39-2480, IA-3310, IC-29855 Effective Date:  November 21, 2011 See also:  Technical Amendment Release No. 33-9273a Federal Register: HTML | PDF | text | XML
IA-3308	Oct. 31, 2011	Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF; Joint Final Rule Effective Date:  March 31, 2012 for CEA rule 4.27, Advisers Act rule 204(b)-1 and Form PF Compliance Dates:  See section III of the Release See also:  Form PF; Proposed Rule Release No. IA-3145; Comments; Small Entity Compliance Guide Federal Register: HTML | PDF | text | XML
34-65628	Oct. 26, 2011	Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets Effective Date:  November 2, 2011 Federal Register: HTML | PDF | text | XML
Third Quarter
34-65385	Sep. 23, 2011	Consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer Effective Date:  September 29, 2011 Federal Register: HTML | PDF | text | XML
33-9259	Sep. 15, 2011	Facilitating Shareholder Director Nominations (Notice of Effective Date) [Corrected to conform to Federal Register version] Other Release No.: 34-65343, IC-29788 File No.: S7-10-09 Effective Date:  September 20, 2011 See also:  FR Notice of Stay of Effective and Compliance Dates; Order Granting Stay; Final Rule Release No. 33-9136; Proposed Rule Release No. 33-9086; Proposed Rule Release No. 33-9046; Small Entity Compliance Guide Federal Register: HTML | PDF | text | XML
PA-47	Sep. 12, 2011	Privacy Act of 1974: Implementation and Amendment of Exemptions File No.: S7-19-11 Effective Date:  October 17, 2011 See also:  Proposed Rule Release No. PA-45; Technical Amendment Release No. 34-62575A Federal Register version
33-9256	Sep. 1, 2011	Amendments to Include New Applicant Types on Form ID Other Release Nos.: 34-65244, 39-2478, IC-29780 Effective Date:  September 9, 2011 Federal Register version
33-9175A	Aug. 25, 2011	Correcting Amendment: Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act [Corrected to conform to Federal Register version] Other Release No.: 34-63741A File No.: S7-24-10 Effective Date:  September 1, 2011 See also:  Final Rule Release No. 33-9175; Proposed Rule Release No. 33-9148 Federal Register version
34-65148	Aug. 17, 2011	Suspension of the Duty to File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934 File No.: S7-02-11 Effective Date:  September 22, 2011 See also:  Proposed Rule Release No. 34-63652 Federal Register version
33-9250	Aug. 8, 2011	Technical Amendments to Commission Rules and Forms Related to the FASB's Accounting Standards Codification Other Release Nos.: 34-65052, IC-29748 Effective Date:  August 12, 2011 Federal Register version
33-9246	Aug. 1, 2011	Adoption of Updated EDGAR Filer Manual Effective Date:  August 5, 2011 Federal Register version
34-64976	Jul. 27, 2011	Large Trader Reporting File No.: S7-10-10 Effective Date:  October 3, 2011 See also:  Proposed Rule Release No. 34-61908 Federal Register version
33-9245	Jul. 27, 2011	Security Ratings Other Release No.: 34-64975 File No.: S7-18-08 Effective Date:  September 2, 2011 See also:  Proposed Rule Release Nos. 33-8940; 33-9069; 33-9186 Federal Register version
34-64913	Jul. 19, 2011	Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief under Section 36 of the Exchange Act Effective Date:  July 22, 2011 Federal Register version
Second Quarter
34-64778	Jun. 30, 2011	Delegation of Authority to the Director of its Division of Enforcement Effective Date:  July 7, 2011 Federal Register version
34-64748	Jun. 27, 2011	Risk Management Controls for Brokers or Dealers with Market Access File No.: S7-03-10 Effective Date:  June 30, 2011 Compliance Dates:  See release See also:  Final Rule Release No. 34-63241; Proposed Rule Release No. 34-61379 Federal Register version
IA-3222	Jun. 22, 2011	Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers File No.: S7-37-10 Effective Date:  July 21, 2011 See also:  Proposed Rule Release No. IA-3111 and comments Federal Register version
IA-3221	Jun. 22, 2011	Rules Implementing Amendments to the Investment Advisers Act of 1940 (Corrected) File No.: S7-36-10 Effective Date:  see release Compliance Date:  see release Additional Materials: Appendix A: Form ADV: General Instructions Appendix B: Form ADV: Instructions for Part 1A Appendix C: Form ADV: Glossary of Terms Appendix D: Form ADV, Part 1A Appendix E: Form ADV Execution Pages Appendix F: Form ADV-H Appendix G: Form ADV-NR Appendix H: Form ADV-E See also:  Small Entity Compliance Guide; Frequently Asked Questions Regarding Mid-Sized Advisers; Proposed Rule Release No. IA-3110; Final Rule Release No. IA-3403, and comments Federal Register version
IA-3220	Jun. 22, 2011	Family Offices File No.: S7-25-10 Effective Date:  August 29, 2011 See also:  Proposed Rule Release No. IA-3098; Small Entity Compliance Guide; Staff Responses to Questions About the Family Office Rule Federal Register version
34-64649	Jun. 13, 2011	Delegation of Authority to the Director of its Division of Enforcement Effective Date:  June 17, 2011 Federal Register version
34-64628	Jun. 8, 2011	Beneficial Ownership Reporting Requirements and Security-Based Swaps (Confirmation) File No.: S7-10-11 Effective Date:  July 16, 2011 See also:  Proposed Rule Release No. 34-64087 Federal Register version
34-64545	May 25, 2011	Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 File No.: S7-33-10 Effective Date:  August 12, 2011 See also:  Proposed Rule Release No. 34-63237 Federal Register version
33-9208	May 13, 2011	Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts Other Release Nos.: 34-64495; IC-29670 Effective Date:  May 19, 2011 Federal Register version
34-64251	Apr. 7, 2011	Technical Amendment to Rule 19b-4: Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations Effective Date:  April 13, 2011 Federal Register version
34-64172	Apr. 4, 2011	Amendment of Outside Employment and Activities Section of the SEC's Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission Effective Date:  May 11, 2011 Federal Register version
First Quarter
34-63949	Feb. 23, 2011	Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions Effective Date:  March 1, 2011 Federal Register version
33-9178	Jan. 25, 2011	Shareholder Approval of Executive Compensation and Golden Parachute Compensation Other Release No.: 34-63768 File No.: S7-31-10 Effective Date:  April 4, 2011 Compliance Date:  April 4, 2011 See also:  Proposed Rule Release No. 33-9153; Small Entity Compliance Guide Federal Register version
33-9176	Jan. 20, 2011	Issuer Review of Assets in Offerings of Asset-Backed Securities Other Release No.: 34-63742 File No.: S7-26-10 Effective Date:  March 28, 2011 See also:  Proposed Rule Release No. 33-9150 Federal Register version
33-9175	Jan. 20, 2011	Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act Other Release No.: 34-63741 File No.: S7-24-10 Effective Date:  March 28, 2011 See also:  Final Rule Release No. 33-9175A; Proposed Rule Release No. 33-9148 Federal Register version
34-63723	Jan. 14, 2011	Rules of Practice Effective Date:  January 24, 2011 Federal Register version
34-63699	Jan. 11, 2011	Delegation of Authority to the Chief Accountant Effective Date:  January 18, 2011 Federal Register version
33-9169	Jan. 5, 2011	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-63646, 39-2473, IC-29547 Effective Date:  January 11, 2011 Federal Register version

http://www.sec.gov/rules/final/finalarchive/finalarchive2011.shtml