SEC Final Rules Archive: 2018

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Release No.	Date	Details
33-10593	Dec. 20, 2018	Disclosure of Hedging by Employees, Officers and Directors (Conformed to Federal Register version) File No:  S7-01-15 Effective Date: March 8, 2019 Compliance Dates: see release See also: Small Entity Compliance Guide; Proposed Rule Rel. No. 33-9723 Federal Register version (84 FR 2402)
34-84875	Dec. 19, 2018	Transaction Fee Pilot for NMS Stocks (Conformed to Federal Register version) File No.: S7-05-18 Effective Date: April 22, 2019 See also: Proposed Rule Rel. No. 34-82873 NASDAQ Stock Market LLC'S Joinder in Motions for Stay Motion for Stay by New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE National, Inc., and NYSE Chicago, Exhibit A and Exhibit B Motion for Stay by Cboe BZX Exchange, Inc., Choe BYX Exchange, Inc., Choe EDGA Exchange, Inc., and Cboe EDGX Exchange, Inc. Order Issuing Stay Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks Federal Register version (84 FR 5202)
33-10591	Dec. 19, 2018	Amendments to Regulation A (Conformed to Federal Register version) File No.: S7-29-18 Effective Date: Date of publication in the Federal Register Comments Due: 30 days after publication in the Federal Register Comments received are available Federal Register version (84 FR 520)
34-84858	Dec. 19, 2018	Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or be Involved in Effecting Security-Based Swaps (Conformed to Federal Register version) File No.: S7-14-15 Effective Date: April 22, 2019 See also: Proposed Rule Rel. No. 34-75612 Federal Register version (84 FR 4906)
33-10585	Dec. 14, 2018	Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version) Effective Date: December 26, 2018 Other Release Nos.: 34-84825; 39-2524; IC-33324 Federal Register version (83 FR 66100)
33-10580	Nov. 30, 2018	Covered Investment Fund Research Reports (Conformed to Federal Register version) File No.: S7-11-18 Other Release Nos.: 34-84710; IC-33311 Effective Date: January 14, 2019 except that amendatory instruction 4 amending Sec. 230.139b(a)(1)(i)(A)(1) is effective May 1, 2020. Comments Due: Comments regarding the collection of information requirements within the meaning of the Paperwork Reduction Act of 1995 should be received on or before February 11, 2019 See also: Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10498 Submit comments on S7-11-18 Federal Register version (83 FR 64180)
33-10577	Nov. 29, 2018	Form N-1A; Correction (Conformed to Federal Register version) File Nos.: S7-08-15 and S7-04-18 Effective Date: see release See also: Final Rule Rel. Nos. 33-10506; IC-33142; and 33-10231 Federal Register version (83 FR 62454)
34-84541	Nov. 6, 2018	Regulation of NMS Stock Alternative Trading Systems (Technical Correction) (Conformed to Federal Register version) File No.:  S7-23-15 Effective Date: November 13, 2018 See also: Final Rule Rel. No. 34-83663, Proposed Rule Rel. No. 34-76474 Federal Register version (83 FR 56257)
34-84528	Nov. 2, 2018	Disclosure of Order Handling Information File No.:  S7-14-16 Effective Date: January 18, 2019 Compliance Date: May 20, 2019 See also: Proposed Rule Rel. No. 34-78309 Federal Register version (83 FR 58338)
33-10570	Oct. 31, 2018	Modernization of Property Disclosures for Mining Registrants (Conformed to Federal Register version) Other Release Nos.:  34-84509 Effective Date: The final rule amendments are effective February 25, 2019, except for the amendments to 17 CFR 229.801(g) and 229.802(g), which will be effective on January 1, 2021. Compliance Date: Registrants engaged in mining operations must comply with the final rule amendments for the first fiscal year beginning on or after January 1, 2021. Industry Guide 7 will remain effective until all registrants are required to comply with the final rules, at which time Industry Guide 7 will be rescinded. See also: Proposed Rule Rel. No. 33-10098 and Small Entity Compliance Guide Federal Register version (83 FR 66344)
33-10566A	Oct. 1, 2018	Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version) Effective Date: November 5, 2018 Other Release Nos.: 33-10566A; 34-84325A; 39-2522A; IC-33261A Federal Register version (83 FR 55264)
Third Quarter
33-10537	Aug. 22, 2018	Delegation of Authority to General Counsel of the Commission (Conformed to Federal Register version) Other Release Nos.:  34-83911, IA-4994, IC-33212 Effective Date: Aug. 31, 2018 Federal Register version (83 FR 44465)
34-83885	Aug. 20, 2018	Amendments to Municipal Securities Disclosure (Conformed to Federal Register version) File No:  S7-01-17 Effective Date: Oct. 30, 2018 Compliance Date: Feb. 27, 2019 See also: Proposed Rule Rel. No. 34-80130 Federal Register version (83 FR 44700)
33-10532	Aug. 17, 2018	Disclosure Update and Simplification File No:  S7-15-16 Effective Date: November 5, 2018 See also: Demonstration Version See also: Proposed Rule Rel. Nos. 34-76474, 33-10110, and Small Entity Compliance Guide Federal Register version (83 FR 50148)
34-83663	Jul. 18, 2018	Regulation of NMS Stock Alternative Trading Systems; Correction to page 530 to include legend on Form ATS-N (Conformed to Federal Register version) File No:  S7-23-15 Effective Date: October 9, 2018 See also: Proposed Rule Rel. No. 34-76474 Federal Register version (83 FR 38768)
33-10520	Jul. 18, 2018	Rule 701 — Exempt Offerings Pursuant to Compensatory Arrangements (Conformed to Federal Register version) File No:  S7-17-18 Effective Date: July 23, 2018 Comments Due: August 23, 2018 Submit comments on S7-17-18 Federal Register version (83 FR 34940)
33-10518	Jul. 10, 2018	Adoption of Updated EDGAR Filer Manual Effective Date: Upon Publication in the Federal Register Other Release Nos.: 34-83614; 39-2521; IC-33153 Federal Register version (83 FR 33119)
Second Quarter
33-10514	Jun. 28, 2018	Inline XBRL Filing of Tagged Data (Conformed to Federal Register version) Effective Date: September 17, 2018 File No:  S7-03-17 See also: Small Entity Compliance Guides:     Operating Company Inline XBRL Filing of Tagged Data     Open-End Management Investment Company Inline XBRL Filing of Tagged Data Proposed Rule Rel. No. 33-10323 Federal Register version (83 FR 40846)
IC-33142	Jun. 28, 2018	Investment Company Liquidity Disclosure (Conformed to Federal Register version) Effective Date: September 10, 2018 File No:  S7-04-18 See also: Final Rule Rel. No. 33-10577; Proposed Rule Rel. No. IC-33046; and Small Entity Compliance Guide Federal Register version (83 FR 31859)
33-10513	Jun. 28, 2018	Amendments to Smaller Reporting Company Definition (Conformed to Federal Register version) Effective Date: September 10, 2018 File No:  S7-12-16 Other Release No.:  34-83550 See also:  Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10107 Federal Register version (83 FR 31992)
34-83506	Jun. 25, 2018	Amendments to the Commission’s Freedom of Information Act Regulations (Conformed to Federal Register version) Effective Date: July 30, 2018 File No:  S7-09-17 Other Release No.:  FOIA-193 See also: Proposed Rule Rel. No. 34-82373 Federal Register version (83 FR 30322)
33-10506	Jun. 5, 2018	Optional Internet Availability of Investment Company Shareholder Reports (Conformed to Federal Register version) Effective Date: January 1, 2019 with exceptions (see rule) File No:  S7-08-15 See also: Small Entity Compliance Guide; Final Rule Rel. Nos. 33-10577, 33-10442; and 33-10231; Proposed Rule Rel. No. 33-9776 Federal Register version (83 FR 29158)
34-83325	May 24, 2018	Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests Effective Date: June 1, 2018 Federal Register version (83 FR 25365)
33-10486	Apr. 25, 2018	Amendments to Forms and Schedules to Remove Provision of Certain Personally Identifiable Information (Conformed to Federal Register version) Effective Date: May 14, 2018 Other Release Nos.: 34-83097; IC-33077 Federal Register version (83 FR 22190)
First Quarter
33-10467	Mar. 8, 2018	Adoption of Updated EDGAR Filer Manual Effective Date: March 16, 2018 Other Release Nos.: 34-82830; 39-2520; IC-33041 Federal Register version (83 FR 11637)
33-7424A	Jan. 24, 2018	Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers Effective Date: January 30, 2018 See also: Final Rule Rel. No. 33-7479 Federal Register version (83 FR 4138)
33-10450	Jan. 5, 2018	Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants Effective Date: January 16, 2018 File No:  S7-09-14 See also: Proposed Rule Rel. No. 33-9643 Federal Register version (83 FR 2046)
IA-4839	Jan. 5, 2018	Exemptions from Investment Adviser Registration for Advisers to Small Business Investment Companies (Conformed to Federal Register version) Effective Date: March 12, 2018 File No:  S7-05-17 See also: Small Entity Compliance Guide; Proposed Rule Rel. No. IA-4697 Federal Register version (83 FR 1296)