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SEC Final Rules
Final rules currently available include:
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| Release No. |
Date |
Details |
| Fourth Quarter |
|
34-73639A |
Dec. 22, 2015 |
Regulation Systems Compliance and Integrity; Correction
File No.: S7-01-13
Effective Date: December 30, 2015
See also: Final Rule Release No. 34-73639; Staff Guidance on Current SCI Industry Standards; Proposed Rule Release No.
34-69077
Federal Register (80 FR 81454): HTML | PDF | text
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33-9987 |
Dec. 11, 2015 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-76619; 39-2508; IC-31932
Effective Date: January 04, 2016
Federal Register (81 FR 3): HTML | PDF | text
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33-9974 |
Oct. 30, 2015 |
Crowdfunding (Corrected to Conform to Federal Register Version)
Other Release No.: 34-76324
File No.: S7-09-13
Effective Date: The final rules and forms are effective May 16, 2016, except ยง 227.400, Form Funding Portal and the amendments to Form ID are effective January 29, 2016.
See also: Proposed Rule Release No. 33-9470; DERA White Paper: Capital Raising in the U.S.: An Analysis of the Market for Unregistered Securities Offerings, 2009-2014; Small Entity Compliance Guides: Funding Portal Registration Guide; Crowdfunding Intermediary Compliance Guide; Compliance Guide for Regulation Crowdfunding Issuers
Federal Register (80 FR 71387): HTML | PDF | Text
See also: 33-9974A correction
Federal Register correction (80 FR 79473) HTML | PDF | Text
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| Third Quarter |
|
IC-31828 |
Sep. 16, 2015 |
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
File No.: S7-07-11
Effective Date: October 26, 2015
Compliance Date: October 14, 2016
See also: Proposed Rule Release Nos.: IC-31184 and 33-9193; Final Rule Release No. IC-30268; and comments
Federal Register (80 FR 58123): HTML | PDF | text |
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33-9911 |
Sep. 15, 2015 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-75918; 39-2506; IC-31823
Effective Date: October 2, 2015
Federal Register (80 FR 59578): HTML | PDF | text
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34-75611 |
Aug. 5, 2015 |
Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants
File No.: S7-40-11
Effective Date: October 13, 2015
Compliance Date: The later of: six months after the date of publication in the Federal Register of a final rule release adopting rules establishing capital, margin and segregation requirements for SBS Entities; the compliance date of final rules establishing recordkeeping and reporting requirements for SBS Entities; the compliance date of final rules establishing business conduct requirements under Exchange Act Sections 15F(h) and 15F(k); or the compliance date for final rules establishing a process for a registered SBS Entity to make an application to the Commission to allow an associated person who is subject to a statutory disqualification to effect or be involved in effecting security-based swaps on the SBS Entity's behalf.
Counting Date: For purposes of complying with the registration and other requirements, persons are not required to begin calculating whether their activities meet or exceed the thresholds established in Exchange Act Rules 3a71-2, 3a67-3, and 3a67-5 until two months prior to the Compliance Date of these rules.
See also: Proposed Rule Release No: 34-65543
Federal Register (80 FR 48963): HTML | PDF | text
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33-9877 |
Aug. 5, 2015 |
Pay Ratio Disclosure
Other Release No.: 34-75610
File No.: S7-07-13
Effective Date: October 19, 2015
Compliance Date: Registrants must comply with the final rule for the first fiscal year beginning on or after January 1, 2017.
See also: Interpretive Rule Release No: 33-10415; Staff Guidance on Calculation of Pay Ratio Disclosure; Proposed Rule Release No: 34-65543; Item 402(c)(2)(x) and Related Item 402 Sections as of July 20, 2010
Federal Register (80 FR 50103): HTML | PDF | text
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| 33-9874 |
Aug. 3, 2015 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-75586; 39-2505; IC-31735
Effective Date: August 24, 2015
Federal Register (80 FR 51123): HTML | PDF | text | XML |
|
34-75388 |
Jul. 8, 2015 |
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
File No.: S7-07-14
Effective Date: August 14, 2015
See also: Proposed Rule Release No: 34-72440
Federal Register (80 FR 41432): HTML | PDF | text
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| Second Quarter |
|
33-9849 |
Jun. 18, 2015 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-75242; 39-2504; IC-31680
Effective Date: June 29, 2015
Federal Register (80 FR 36913): HTML | PDF | text
|
|
33-9773 |
May 18, 2015 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-74982, 39-2503, IC-31604
Effective Date: May 26, 2015
Federal Register (80 FR 29942): HTML | PDF | text
|
|
33-9746 |
Apr. 13, 2015 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-74714; 39-2502; IC-31551
Effective Date: April 20, 2015
Federal Register (80 FR 21649): HTML | PDF | text
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| First Quarter |
|
33-9741 |
Mar. 25, 2015 |
Amendments to Regulation A (Corrected to Conform to Federal Register Version)
File No.: S7-11-13
Effective Date: June 19, 2015
See also:
Federal Register (80 FR 21805): HTML | PDF | text
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34-74246 |
Feb. 11, 2015 |
Security-Based Swap Data Repository Registration, Duties, and Core Principles (Corrected to Conform to Federal Register Version)
File No.: S7-35-10
Effective Date: May 18, 2015
Compliance Date: March 18, 2016
See also: Proposed Rule Release Nos. 34-69491, 34-63347, and Comments
Federal Register (80 FR 14437): HTML | PDF | text
| |
34-74244 |
Feb. 11, 2015 |
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information (Corrected to Conform to Federal Register Version)
File No.: S7-34-10
Effective Date: May 18, 2015
Compliance Date: For Rules 900, 907, and 909 of Regulation SBSR, the compliance date is May 18, 2015. For Rules 901, 902, 903, 904, 905, 906, and 908 of Regulation SBSR, compliance dates are being proposed in a separate release, 34-74245 (February 11, 2015).
See also: Proposed Rule Release Nos. 34-69491, 34-69490, 34-63346, Comments, and Administrative Notice
Federal Register (80 FR 14563): HTML | PDF | text
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33-9720 |
Feb. 3, 2015 |
Asset-Backed Securities Disclosure and Registration (Technical Amendment)
Other Release No.: 34-74194
File No.: S7-08-10
Effective Date: February 6, 2015
Federal Register (80 FR 6652): HTML | PDF | text
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http://www.sec.gov/rules/final.shtml
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