SEC Final Rules Archive: 2016
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| 33-10075A | Dec. 21, 2016 | Technical Correction: Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act
Other Release No.: 34-77757A File No.: S7-12-14 Federal Register version (81 FR 95458) |
| 33-10265 | Dec. 9, 2016 | Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-79519; 39-2513; IC-32387 Federal Register version (82 FR 7645) Effective Date: January 23, 2017 |
| 33-10238 | Oct. 26, 2016 | Exemptions to Facilitate Intrastate and Regional Securities Offerings
File No.: S7-22-15 Other Release No.: 34-79161 Effective Date: Revised 17 CFR 230.147 (Rule 147) and new 17 CFR 230.147A (Rule 147A) will be effective on April 20, 2017. The amendments to 17 CFR 230.504 (Rule 504) and 17 CFR 200.30-1 (Rule 30-1) will be effective on January 20, 2017. The removal of 17 CFR 230.505 (Rule 505) will be effective on May 22, 2017. All other amendments in this rule will be effective on May 22, 2017. Comments Due: January 20, 2017 See also: Intrastate Offering Exemptions (Rules 147 and 147A) Small Entity Compliance Guide; Rule 504 Small Entity Compliance Guide; Proposed Rule Release No. 33-9973; and Technical Correction, Release No. 33-10238A Comments received are available for this proposal. |
| 33-10234 | Oct. 13, 2016 | Investment Company Swing Pricing
File No.: S7-16-15 Other Release No.: IC-32316 Effective Date: November 19, 2018 Compliance Date: See section II.C of this final rule. See also: Small Entity Compliance Guide; Proposed Rule Release No. 33-9922 Federal Register version (81 FR 82084) |
| 33-10233 | Oct. 13, 2016 | Investment Company Liquidity Risk Management Programs
File No.: S7-16-15 Other Release No.: IC-32315 Effective Date: January 17, 2017 except for the amendments to Form N-CEN (referenced in 17 CFR 274.101) which are effective June 1, 2018 Compliance Date: The applicable compliance dates are discussed in section III.M. of this final rule. See also: Small Entity Compliance Guide Proposed Rule Release No. 33-9922 Federal Register version (81 FR 82142) |
| 33-10231 | Oct. 13, 2016 | Investment Company Reporting Modernization
File No.: S7-08-15 Other Release Nos.: 34-79095; IC-32314 Effective Date: January 17, 2017 with exceptions listed in this final rule Compliance Date: The applicable compliance dates are discussed in section II.H. of this final rule. See also: Small Entity Compliance Guide; Adopted Amendments to Regulation S-X; Investment Company Reporting Modernization Frequently Asked Questions; Final Rule Release No. 33-10577; Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870); Final Rule Release No. 33-10442 |
| Third Quarter | ||
| 34-78961 | Sep. 28, 2016 | Standards for Covered Clearing Agencies
File No.: S7-03-14 Effective Date: December 12, 2016 Compliance Date: April 11, 2017 See also: Proposed Rule Release No. 34-71699 Federal Register version (81 FR 70786) |
| 33-10217 | Sep. 20, 2016 | Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-78883; 39-2512; IC-32269 Effective Date: September 30, 2016 Federal Register version (81 FR 67118) |
| 34-78716 | Aug. 29, 2016 | Access to Data Obtained by Security-Based Swap Data Repositories
File No.: S7-15-15 Effective Date: November 1, 2016 See also: Proposed Rule Release Nos. 34-76922, 34-75845 Federal Register version (81 FR 60585) |
| IA-4509 | Aug. 25, 2016 | Form ADV and Investment Advisers Act Rules
File No.: S7-09-15 Effective Date: October 31, 2016 Compliance Date: See Section III of this final rule See also: Proposed Rule Release No. IA-4091; 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 Form ADV Part 1A Summary of Changes Per IA 4509 To Be Implemented October 1, 2017 Small Entity Compliance Guide Federal Register version (81 FR 60417) |
| 34-78321 | Jul. 14, 2016 | Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information
File No.: S7-03-15 Effective Date: October 11, 2016 Compliance Date: For a discussion of the Compliance Dates for Regulation SBSR, see Section X of the Supplementary Information. See also: Proposed Rule Release No. 34-74245 Federal Register version (81 FR 53545) |
| 34-78319 | Jul. 13, 2016 | Amendments to the Commission’s Rules of Practice (Corrected to Conform to Federal Register Version)
File No.: S7-18-15 Effective Date: September 27, 2016 Applicability Date: The applicability dates for proceedings pending as of the date of these final rules are discussed in Section Q of this release. See also: Proposed Rule Release No. 34-75976 Federal Register version (81 FR 50211) |
| Second Quarter | ||
| 34-78167 | Jun. 27, 2016 | Disclosure of Payments by Resource Extraction Issuers (Corrected to conform to the Federal Register version)
File No.: S7-25-15 Effective Date: September 26, 2016 Compliance Date: A resource extraction issuer must comply with the final rule and form for fiscal years ending on or after September 30, 2018. See also: Small Entity Compliance Guide; Proposed Rule Release Nos. 34-76958 and 34-76620; and Order, Release No. 34-78169 Federal Register version (81 FR 49359) |
| 33-10099 | Jun. 16, 2016 | Asset-Backed Securities Disclosure and Registration (Technical amendment)
Other Release Nos.: 34-78088 Effective Date: June 22, 2016 See also: Proposed Rule Release Nos. 33-9117 and 33-9244 and Final Rule Release No. 33-9638 Federal Register version (81 FR 40511) |
| 33-10095 | Jun. 13, 2016 | Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-78044; 39-2510; IC-32145 Effective Date: July 1, 2016 Federal Register version (81 FR 43047) |
| 34-78011 | Jun. 8, 2016 | Trade Acknowledgment and Verification of Security-Based Swap Transactions |
| 34-77874 | May 20, 2016 | Retail Foreign Exchange Transactions (Notice of expiration of 17 CFR 15b12-1)
File No.: S7-30-11 Effective Date: May 26, 2016 See also: Final Rule Release No. 34-69964; Interim Final Temporary Rule No. 34-64874 Federal Register version (81 FR 33374) |
| 33-10075 | May 3, 2016 | Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act (Corrected to Conform to the Federal Register Version)
Other Release No.: 34-77757 File No.: S7-12-14 Effective Date: June 9, 2016 See also: Proposed Rule Release No. 33-9693; Small Entity Compliance Guide; Technical Amendment, Release No. 33-10075A Federal Register version (81 FR 28689) |
| 33-10071 | Apr. 22, 2016 | Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-77693; 39-2509; IC-32091 Effective Date: May 19, 2016 Federal Register version (81 FR 31501) |
| 34-77617 | Apr. 14, 2016 | Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (Corrected to Conform to the Federal Register Version) |
| First Quarter | ||
| 34-77104 | Feb. 10, 2016 | Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception (Corrected to Conform to the Federal Register Version)
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