SEC Final Rules Archive: 2020
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| 33-10913 | Dec. 22, 2020 | Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions (Conformed to Federal Register version)
Other Release Nos.: 34-90787; IA-5656; IC-34151 Effective Date: February 16, 2021 Federal Register version (86 FR 9436) |
| IA-5653 | Dec. 22, 2020 | Investment Adviser Marketing (Conformed to Federal Register version)
Effective Date: May 4, 2021 Compliance Date: The applicable compliance dates are discussed in section II.K. File No.: S7-21-19 See Also:
|
| 34-90667 | Dec. 16, 2020 | Exemption from the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities (Conformed to Federal Register version)
File No.: S7-08-11 Effective Date: April 2, 2021 See Also: Press Release No. 2020-320, Proposed Rule Release No. 34-64017; Reopening of comment periods Release No. 34-69491; Final Rule Release No. 34-68080 Federal Register version (86 FR 7637) |
| 34-90679 | Dec. 16, 2020 | Disclosure of Payments by Resource Extraction Issuers (Conformed to Federal Register version)
File No.: S7-24-19 Effective Date: March 16, 2021 See Also: Press Release No. 2020-318 Federal Register version (86 FR 4662) See Also: Proposed Rule IA-5407 |
| 33-10902 | Dec. 11, 2020 | Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID (Conformed to Federal Register version)
Other Release Nos.: 34-90637; 39-2536, IC-34137 Effective Date: February 3, 2021 Comments due date: Comments regarding the Form ID collection of information requirement for purposes of the Paperwork Reduction Act of 1995 should be received on or before March 1, 2021. See Also: EDGAR Filer Manual Vol. 1 changes Federal Register version (86 FR 7968) |
| 33-10901 | Dec. 11, 2020 | Administration of the Electronic Data Gathering, Analysis, and Retrieval System (Conformed to Federal Register version)
Other Rel. Nos.: 34-90636; 39-2535; IC-34136 File No.: S7-11-20 Effective Date: February 3, 2021 Federal Register version (86 FR 7961) See Also: Proposed Rule Rel. No. 33-10821 |
| 33-10900 | Dec. 10, 2020 | Delegation of Authority to Director of the Division of Enforcement (Conformed to Federal Register version)
Other Rel. Nos.: 34-90623; IA-5644; IC-34134 Effective Date: December 29, 2020 Federal Register version (85 FR 85512) |
| 34-90610 | Dec. 9, 2020 | Market Data Infrastructure Conformed to Federal Register version)
Effective Date: June 8, 2021 Compliance Date: The applicable compliance dates are discussed in Section III.H, titled "Transition Period and Compliance Dates." File No.: S7-03-20 See Also:
|
| IC-34128 | Dec. 3, 2020 | Good Faith Determinations of Fair Value (Conformed to Federal Register version)
Effective Date: March 8, 2021 Compliance Date: The applicable compliance dates are discussed in section II.G of this rule. File No.: S7-07-20 See Also: Frequently Asked Questions, Press Release No. 2020-302, Proposed Rules Rel. No. IC-33845, Small Entity Compliance Guide Federal Register version (86 FR 748) |
| 33-10890 | Nov. 19, 2020 | Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information (Conformed to Federal Register version)
Other Rel. Nos.: 34-90459; IC-34100 Effective Date: February 10, 2021 Compliance Date: See Section II.F for further information on transitioning to the final rules. File No.: S7-01-20 See Also: Press Release No. 2020-290, Proposed Rules Rel. No. 33-10750 Federal Register version (86 FR 2080) |
| 34-90442A | Nov. 17, 2020 | Amendments to the Commission's Rules of Practice (Conformed to Federal Register version)
Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021 File No.: S7-19-15 See Also: Press Release No. 2020-286, Proposed Rules Rel. No. 34-75977 Federal Register version (85 FR 86464) |
| 33-10889 | Nov. 17, 2020 | Electronic Signatures in Regulation S-T Rule 302 (Conformed to Federal Register version)
Other Rel. Nos.: 34-90441; 39-2534; IC-34096 Effective Date: December 4, 2020 See Also: Press Release No. 2020-286; EDGAR Filer Manual Vol. 2 changes Federal Register version (85 FR 78224) |
| IC-34084 | Nov. 2, 2020 | Use of Derivatives by Registered Investment Companies and Business Development Companies (Note: This replaces the version initially issued on October 28, 2020.) (Conformed to Federal Register version) Effective Date: February 19, 2021 Compliance Date: August 19, 2022 File No.: S7-24-15 See Also: Press Release No. 2020-269, Proposed Rules Rel. No. 34-87607, IC-31933, and Small Entity Compliance Guide Federal Register version (85 FR 83162) |
| 33-10884 | Nov. 2, 2020 | Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets (Conformed to Federal Register version)
Effective Date: March 15, 2021 Other Rel. Nos.: 34-90300, IC-34082 File No.: S7-05-20 See Also: Press Release No. 2020-273, Proposed Rules Rel. No. 33-10763, Small Entity Compliance Guide Federal Register version (86 FR 3496) |
| 34-90244 | Oct. 22, 2020 | Customer Margin Rules Relating to Security Futures (Conformed to Federal Register version)
Effective Date: December 24, 2020 File No.: S7-09-19 See Also: Press Release No. 2020-264, Proposed Rule Rel. No. 34-86304 Federal Register version (85 FR 75112) |
| 33-10876 | Oct. 16, 2020 | Qualifications of Accountants
Effective Date: June 9, 2021 Compliance Date: See Section II.G for further information on transitioning to the final amendments. File No.: S7-26-19 Other Release No.: 34-90210; FR-88; IA-5613; IC-34052 See Also: Press Release No. 2020-261, Technical Correction, Rel. Nos. 33-10876A; 34-90210A; FR-88A; IA-5613A; IC-34052A; Proposed Rule Rel. No. 33-10738; Small Entity Compliance Guide Federal Register version (85 FR 80508) |
| 33-10871 | Oct. 7, 2020 | Fund of Funds Arrangements (Conformed to Federal Register version)
Effective Date: January 19, 2021 File No.: S7-27-18 Other Release No.: IC-34045 See Also:
|
| Third Quarter | ||
| 34-89964 | Sep. 23, 2020 | Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8
Effective Date: Jan. 4, 2021 File No.: S7-23-19 See Also: Press Release No. 2020-220, Proposed Rule Rel. No. 34-87458, and Small Entity Compliance Guide Federal Register version (85 FR 70240) |
| 34-89963 | Sep. 23, 2020 | Whistleblower Program Rules (Conformed to Federal Register version)
Effective Date: December 7, 2020 File No.: S7-16-18 See Also: Press Release No. 2020-219, Proposed Rule Rel. No. 34-83557 Federal Register version (85 FR 70898) |
| 33-10845 | Sep. 18, 2020 | Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Other Release Nos.: 34-89920; 39-2533; IC-34015 Effective Date: November 3, 2020 Federal Register version (85 FR 69499) |
| 33-10842 | Sep. 16, 2020 | Publication or Submission of Quotations Without Specified Information
Effective Date: December 28, 2020 File No.: S7-14-19 Other Release No.: 34-89891 See Also: Press Release No. 2020-212, Proposed Rule Rel. No. 34-87115 Federal Register version (85 FR 68124) |
| 33-10835 | Sep. 11, 2020 | Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Effective Date: November 16, 2020 File No.: S7-02-17 Other Release No.: 34-89835 See Also: Press Release No. 2020-205, Proposed Rule Rel. No. 33-10688 and Request for Comment Rel. No. 33-10321 Federal Register version (85 FR 66108) |
| 33-10825 | Aug. 26, 2020 | Modernization of Regulation S-K Items 101, 103, and 105 (Conformed to Federal Register version)
Effective Date: November 9, 2020 File No.: S7-11-19 Other Release No.: 34-89670 See Also: Proposed Rule Rel. No. 33-10668; Small Entity Compliance Guide Federal Register version (85 FR 63726) |
| 33-10824 | Aug. 26, 2020 | Accredited Investor Definition (Conformed to Federal Register version)
Effective Date: December 8, 2020 File No.: S7-25-19 See Also: Proposed Rule Rel. No. 33-10734; Order Rel. No. 33-10823 (Conformed to Federal Register version [85 FR 64234]); and Small Entity Compliance Guide Federal Register version (85 FR 64234) |
| 34-89618 | Aug. 19, 2020 | Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments (Conformed to Federal Register version)
Effective Date: November 16, 2020 File No.: S7-15-19 See Also: Proposed Rule Rel. No. 34-87193 Federal Register version (85 FR 65470) |
| 34-89394 | Jul. 24, 2020 | Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Effective Date: October 30, 2020 File No.: S7-02-16 See Also: Proposed Rule Rel. No. 34-77157 Federal Register version (85 FR 53645) |
| 34-89372 | Jul. 22, 2020 | Exemptions from the Proxy Rules for Proxy Voting Advice (Conformed to Federal Register version)
Effective Date: November 2, 2020 File No.: S7-22-19 See Also: Supplemental Guidance Rel. No. IA-5547; Proposed Rule Rel. No. 34-87457; Small Entity Compliance Guide Federal Register version (85 FR 55082) |
| IC-33921 | Jul. 6, 2020 | Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 (Conformed to Federal Register version)
Effective Date: June 14, 2021 File No.: S7-19-19 See Also: Proposed Rule Rel. No. IC-33658; Small Entity Compliance Guide Federal Register version (85 FR 57089) |
| Second Quarter | ||
| BHCA-9 | Jun. 25, 2020 | Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Effective Date: October 1, 2020 File No.: S7-02-20 See Also: Proposed Rule Rel. No. BHCA-8; Correction, Rel. No. BHCA-9A Federal Register version (85 FR 46422) |
| 33-10786 | May 20, 2020 | Amendments to Financial Disclosures about Acquired and Disposed Businesses (Conformed to Federal Register version)
Effective Date: January 1, 2021 Other Release Nos.: 34-88914; IC-33872 File No.: S7-05-19 See Also: Proposed Rule Rel. No. 33-10635; Technical Correction, Rel. No. 33-10762A; and Small Entity Compliance Guide Federal Register version (85 FR 54002) |
| 34-88890 | May 15, 2020 | Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Effective Date: June 22, 2020 File No.: S7-07-19 See Also: Proposed Rule Rel. No. 34-78963 Federal Register version (85 FR 31322) |
| 34-88616 | Apr. 9, 2020 | Definition of "Covered Clearing Agency" (Conformed to Federal Register version)
Effective Date: July 13, 2020 File No.: S7-23-16 See Also: Proposed Rule Rel. No. 34-78963 Federal Register version (85 FR 28853) |
| 33-10771 | Apr. 8, 2020 | Securities Offering Reform for Closed-End Investment Companies (Conformed to Federal Register version)
Effective Date: Effective as defined in the rule Other Release Nos.: 34–88606; IC–33836 File No.: S7-03-19 See Also: Final Rule Correction, Rel No. 33-10771A (Conformed to Federal Register version); Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10619 Form N-2 (effective as defined in the rule) Federal Register version (85 FR 33290) |
| First Quarter | ||
| 34-88365 | Mar. 12, 2020 | Accelerated Filer and Large Accelerated Filer Definitions (Conformed to Federal Register version)
Effective Date: April 27, 2020 File No.: S7-06-19 See Also: Small Entity Compliance Guide; Correction to the Final Rule; Proposed Rule Rel. No. 34-85814 Federal Register version (85 FR 17178) |
| 33-10765 | Mar. 11, 2020 | Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (Conformed to Federal Register version)
Other Release No.: 34-88358; IC-33814 Effective Date: July 1, 2020 except as defined in the rule File No.: S7-23-18 Federal Register version (85 FR 25964) See Also: Proposed Rule Rel. No. 33-10569; Technical Correction, Rel. No. 33-10765A (Conformed to Federal Register version; dated June 10, 2020; effective date July, 1, 2020) Form N-3 (effective as defined in the rule) Form N-4 (effective as defined in the rule) Form N-6 (effective as defined in the rule) |
| 33-10762 | Mar. 2, 2020 | Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities (Conformed to Federal Register version) Other Release No.: 34-88307 Effective Date: January 4, 2021 File No.: S7-19-18 See also: Technical Correction, Rel. No. 33-10762A and Small Entity Compliance Guide Federal Register version (85 FR 21940) |
| IA-5454 | Mar. 2, 2020 | Exemptions from Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies (Conformed to Federal Register version)
Effective Date: March 10, 2020 Federal Register version (85 FR 13734) |
| 33-10757 | Feb. 19, 2020 | Delegation of Authority to the General Counsel of the Commission
Other Release Nos.: 34-88245; IA-5446; IC-33802 Effective Date: March 2, 2020 Federal Register version (85 FR 12221) |
| 33-10749 | Jan. 27, 2020 | Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-88040; 39-2530; IC-33792 Effective Date: February 19, 2020 Federal Register version (85 FR 9365) |