SEC Final Rules Archive: 2022
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Release No. | Date | Details |
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Fourth Quarter | ||
33-11140 | Dec. 19, 2022 | Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Other Release Nos.: 34-96525; 39-2547; IC-34778 Effective Date: January 24, 2023 Federal Register version (88 FR 4083) |
33-11139 | Dec. 15, 2022 | Technical Amendments to Commission Rules and Forms (Conformed to Federal Register version)
Other Release Nos.: 34-96508; IA-6203; IC-34774 Effective Date: December 21, 2022 Federal Register version (87 FR 77982) |
33-11138 | Dec. 14, 2022 | Insider Trading Arrangements and Related Disclosures (Conformed to Federal Register version)
File Nos: S7-20-21 Other Release No.: 34-96492 Effective Date: February 27, 2023 See Also:
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33-11131 | Nov. 2, 2022 | Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers (Conformed to Federal Register version)
File Nos: S7-11-21 Other Release Nos.:34-96206, IC-34745 Effective Date: July 1, 2024 See Also:
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33-11126 | Oct. 26, 2022 | Listing Standards for Recovery of Erroneously Awarded Compensation (Conformed to Federal Register version)
File Nos: S7-12-15 Other Release Nos.: 34-96159; IC-34732 Effective Date: January 27, 2023 See Also:
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33-11125 | Oct. 26, 2022 | Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements (Conformed to Federal Register version)
File Nos: S7-09-20 Other Release Nos.: 34-96158; IC-34731 Effective Date: January 24, 2023 Compliance Date: The applicable compliance dates are discussion in section II.J. See Also:
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34-96034 | Oct. 12, 2022 | Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
File Nos: S7-19-21 Effective Date: January 3, 2023 Compliance Date: The compliance date for the amendments to 17 CFR 240.17a-4 is May 3, 2023. The compliance date for the amendments to 17 CFR 240.18a-6 is November 3, 2023.. See Also:
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Third Quarter | ||
33-11101 | Sep. 19, 2022 | Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-95817; 39-2546; IC-34703 Effective Date: October 13, 2022 Federal Register version (87 FR 61977) |
33-11098 | Sep. 9, 2022 | Inflation Adjustments under Titles I and III of the JOBS Act
(Conformed to Federal Register version)
Other Release No: 34-95715 Effective Date: September 20, 2022 See Also:
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34-95620 | Aug. 26, 2022 | Whistleblower Program Rules
(Conformed to Federal Register version)
File Nos: S7-07-22 Effective Date: October 3, 2022 See Also:
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34-95607 | Aug. 25, 2022 | Pay Versus Performance
(Conformed to Federal Register version)
File Nos: S7-07-15 Effective Date: October 11, 2022 See Also:
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33-11082 | Jul. 13, 2022 | Adoption of Updated EDGAR Filer Manual (Note: This replaces the version initially issued on June 21, 2022.) (Conformed to Federal Register version)
Other Release Nos.: 34-95274; 39-2545; IC-34649 Effective Date: Date of Publication in the Federal Register Federal Register version (87 FR 42960) |
34-95266 | Jul. 13, 2022 | Proxy Voting Advice (Conformed to Federal Register version)
Other Release Nos.: IA-6068 File Nos: S7-17-21 Effective Date: 60 days after publication in the Federal Register See Also:
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Second Quarter | ||
34-95148 | Jun. 23, 2022 | Electronic Submission of Applications for Orders under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F (Conformed to Federal Register version)
Other Release No: IA-6056; IC-34635 File Nos: S7-15-21 Effective Date: June 30, 2022 See Also:
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33-11070 | Jun. 2, 2022 | Updating EDGAR Filing Requirements and Form 144 Filings (Conformed to Federal Register version) Other Release No: 34-95025 File Nos: S7-16-21 and S7-24-20 Effective Date: July 11, 2022 Federal Register version (87 FR 35393) See Also: Press Release No. 2022-99; Fact Sheet; Updating EDGAR Filing Requirements and Form 144 Filings Small Entity Compliance Guide |
First Quarter | ||
33-11047 | Mar. 29, 2022 | Technical Amendments to Commission Rules and Forms
Other Release Nos.: IA-5985; IC-34547 Effective Date: April 15, 2022 Federal Register version (87 FR 22444) |
33-11043 | Mar. 21, 2022 | Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Other Release Nos.: 34-94479; 39-2543; IC-34536 Effective Date: April 19, 2022 Federal Register version (87 FR 23108) |