SEC Final Rules Archive: 2019
Final rules currently available include:
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 |2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994-1962
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| 34-87782 | Dec. 18, 2019 | Risk Mitigation Techniques for Uncleared Security-Based Swaps
Effective Date: April 6, 2020 Compliance Date: The compliance date is discussed in Section V of this adopting release. File No.: S7-28-18 See also: Proposed Rule Rel. No. 34-84861 Federal Register version (85 FR 6359 ) |
| 34-87780 | Dec. 18, 2019 | Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements (Conformed to Federal Register version)
Effective Date: April 6, 2020. Compliance Date: The compliance dates are discussed in Part X.B of this final release. File No.: S7-07-19 See also: Proposed Rule Rel. No. 34-85823 Federal Register version (85 FR 6270) |
| Third Quarter | ||
| 33-10709 | Sep. 27, 2019 | Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-87148; 39-2529; IC-33650 Effective Date: October 24, 2019 Federal Register version (84 FR 56938) |
| 33-10699 | Sep. 25, 2019 | Solicitations of Interest Prior to a Registered Public Offering (Conformed to Federal Register version) Effective Date: December 3, 2019 File No.: S7-01-19 See also: Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10607 Federal Register version (84 FR 53011) |
| 33-10695 | Sep. 25, 2019 | Exchange-Traded Funds (Conformed to Federal Register version) File No.: S7-15-18 Other Release No.: IC-33646 Effective Date: December 23, 2019 Compliance Date: The applicable compliance dates are discussed in section II.L. of this final rule. See also: Exemptive Order Rel. No. 34-87110; Proposed Rule Rel. No. 33-10515; Small Entity Compliance Guide Federal Register version (84 FR 57162) |
| 34-87005 | Sep. 19, 2019 | Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers (Conformed to Federal Register version) Effective Date: February 14, 2020 Compliance Date: The compliance dates are discussed in section III.B. of this release. File No.: S7-05-14 See also: Proposed Rule Rel. No. 34-71958; Correcting amendment, Rel. No. 34-87005A ; Final Rule (Technical Correction) Rel. No. 34-87005B; Final Rule (Technical Correction) Rel. No. 34-87005C; Final Rule (Technical Correction) Rel. No. 34-87005D Federal Register version (84 FR 68550) |
| BHCA-7 | Sep. 18, 2019 | Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Conformed to Federal Register version) Effective Date: January 1, 2020 Compliance Date: see Release File No.: S7-14-18 See also: Proposed Rule Rel. Nos. BHCA-4; BHCA-3 Federal Register version (84 FR 61974) |
| 34-86982 | Sep. 17, 2019 | Technical Amendments to Update Cross-References to Commission’s FOIA Regulations (Conformed to Federal Register version) Effective Date: September 26, 2019 File No.: S7-09-17 See also: Final Rule Rel. No. 34-83506; Proposed Rule Rel. No. 34-82373 Federal Register version (84 FR 50737) |
| 34-86590 | Aug. 7, 2019 | Amendments to Rules for Nationally Recognized Statistical Rating Organizations (Conformed to Federal Register version) Effective Date: September 13, 2019 File No.: S7-22-18 See also: Proposed Rule Rel. No. 34-84289 Federal Register version (84 FR 40247) |
| 33-10618A | Aug. 6, 2019 | FAST Act Modernization and Simplification of Regulation S-K (Technical Correction) (Conformed to Federal Register version) Effective Date: August 13, 2019 File No.: S7-08-17 Other Release Nos.: 34-85381A; IA-5206A; IC-33426A See also: Final Rule Rel. No. 33-10618; Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10425 Federal Register version (84 FR 39966) |
| BHCA-6 | Jul. 5, 2019 | Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds File No.: S7-30-18 See also: Proposed Rule Release No. BHCA-5 Effective Date: Date of publication in the Federal Register |
| Second Quarter | ||
| 34-86175 | Jun. 21, 2019 | Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers (Conformed to Federal Register version) File No.: S7-08-12 Effective Date: October 21, 2019 See also: Proposed Rules Release No. 34-84409, Release No. 34-69491, Release No. 34-68660, Release No. 34-68071; Technical Amendment (Conformed to Federal Register version) Federal Register version (84 FR 43872) |
| 33-10648 | Jun. 18, 2019 | Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships (Conformed to Federal Register version) File No.: S7-10-18 Other Release Nos.: 34-86127; FR-85; IA-5255; IC-33511 Effective Date: October 3, 2019 See also: Proposed Rule Release No. 33-10491; Small Entity Compliance Guide Federal Register version (84 FR 32040) |
| 34-86073 | Jun. 10, 2019 | Amendment to Single Issuer Exemption for Broker-Dealers File No.: S7-21-18 Effective Date: August 13, 2019 See also: Proposed Rule Release No. 34-84225 Federal Register version (84 FR 27708) |
| 33-10645 | Jun. 7, 2019 | Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version) Other Release Nos.: 34-86070; 39-2526, IC-33504 Effective Date: Date of publication in the Federal Register Federal Register version (84 FR 31192) |
| 34-86032 | Jun. 5, 2019 | Form CRS Relationship Summary; Amendments to Form ADV (Conformed to Federal Register version) File No.: S7-08-18 Effective Date: September 10, 2019 Other Release No.: IA-5247 See also: Proposed Rule Release No. 34-83063 Appendix A: Form ADV General Instructions (Conformed to Federal Register version) Appendix B: Instructions to Form CRS (Conformed to Federal Register version) Appendix C: Feedback Forms Comment Summary Small Entity Compliance Guide Federal Register version (84 FR 33492) |
| 34-86031 | Jun. 5, 2019 | Regulation Best Interest: The Broker-Dealer Standard of Conduct (Conformed to Federal Register version) File No.: S7-07-18 Effective Date: September 10, 2019 See also: Proposed Rule Release No. 34-83062 Interpretative Release Release No. IA-5248 Interpretative Release Release No. IA-5249 Small Entity Compliance Guide Federal Register version (84 FR 33669) |
| 34-85714 | Apr. 24, 2019 | Disclosure of Order Handling Information (extension of compliance date for certain requirements) File No.: S7-14-16 Effective Date: The effective date for this release is April 30, 2019. The effective date for the amendments to Rules 600, 605, and 606 of Regulation NMS remains January 18, 2019. The compliance date for the recently adopted amendments to Rule 606 is extended, as discussed below. The compliance date remains May 20, 2019 for all other amendments not subject to this extension. See also: Final Rule Release No. 34-84528; Proposed Rule Release No. 34-78309 Federal Register version (84 FR 18136) |
| First Quarter | ||
| 34-85437 | Mar. 28, 2019 | Public Company Accounting Oversight Board Hearing Officers Effective Date: April 3, 2019 Federal Register version (84 FR 12906) |
| 33-10618 | Mar. 20, 2019 | FAST Act Modernization and Simplification of Regulation S-K (Conformed to Federal Register version) Effective Date: May 2, 2019 File No.: S7-08-17 Other Release Nos.: 34-85381; IA-5206; IC-33426 See also: Final Rule (Technical Correction) Rel. No. 33-10618A;Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10425 Federal Register version (84 FR 12674) |
| 33-10615 | Mar. 12, 2019 | Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version) Effective Date: April 1, 2019 Other Release Nos.: 34-85296; 39-2525; IC-33398 Federal Register version (84 FR 12073) |