Final

Release Number SEC Issue Date File Number Details
33-11197, 34-97621, IA-6316, IC-34932 Technical Amendments to Commission Rules and Forms
Federal Register version
34-97478 Technical Amendments to Form BD and Form BDW
Federal Register version
IA-6297 S7-01-22 Amendments to Form PF to Require Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers and to Amend Reporting Requirements for Large Private Equity Fund Advisers
View Received Comments
See Also - ia-5950.pdf, Press Release No. 2023-86, Fact Sheet
Federal Register version (88 FR 38146)
34-97424 S7-21-21 Share Repurchase Disclosure Modernization
View Received Comments
See Also - Final Rule: Share Repurchase Disclosure Modernization - 34-97424, Press Release No. 2023-85, Fact Sheet, Order Issuing Stay, Court Decision Vacating Rule
Federal Register version
33-11168, 34-97161, 39-2549, IC-34860 Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Federal Register version
33-11168, 34-97161, 39-2549, IC-34860 Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Federal Register version
33-11168, 34-97161, 39-2549, IC-34860 Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Federal Register version
33-11168, 34-97161, 39-2549, IC-34860 Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Federal Register version
33-11159, 34-96959, 39-2548 Extending Form 144 EDGAR Filing Hours
Federal Register version (88 FR 12205)
33-11159, 34-96959, 39-2548 Extending Form 144 EDGAR Filing Hours
Federal Register version (88 FR 12205)
33-11159, 34-96959, 39-2548 Extending Form 144 EDGAR Filing Hours
Federal Register version (88 FR 12205)
34-96930, IA-6239 S7-05-22 Shortening the Securities Transaction Settlement Cycle
View Received Comments
See Also - Proposed Rule Rel. No. 34-94196, Press Release No. 2023-29, Fact Sheet, Small Entity Compliance Guide, Frequently Asked Questions Regarding the Transition to a T+1 Standard Settlement Cycle
Federal Register version (88 FR 13872)
34-96930, IA-6239 S7-05-22 Shortening the Securities Transaction Settlement Cycle
View Received Comments
See Also - Proposed Rule Rel. No. 34-94196, Press Release No. 2023-29, Fact Sheet, Small Entity Compliance Guide, Frequently Asked Questions Regarding the Transition to a T+1 Standard Settlement Cycle
Federal Register version (88 FR 13872)
33-11140, 34-96525, 39-2547, IC-34778 Adoption of Updated EDGAR Filer Manual
Federal Register version (88 FR 4083)
33-11140, 34-96525, 39-2547, IC-34778 Adoption of Updated EDGAR Filer Manual
Federal Register version (88 FR 4083)
33-11140, 34-96525, 39-2547, IC-34778 Adoption of Updated EDGAR Filer Manual
Federal Register version (88 FR 4083)
33-11140, 34-96525, 39-2547, IC-34778 Adoption of Updated EDGAR Filer Manual
Federal Register version (88 FR 4083)
33-11139, 34-96508, IA-6203, IC-34774 Technical Amendments to Commission Rules
Federal Register version (87 FR 77982)
33-11139, 34-96508, IA-6203, IC-34774 Technical Amendments to Commission Rules
Federal Register version (87 FR 77982)
33-11139, 34-96508, IA-6203, IC-34774 Technical Amendments to Commission Rules
Federal Register version (87 FR 77982)
33-11139, 34-96508, IA-6203, IC-34774 Technical Amendments to Commission Rules
Federal Register version (87 FR 77982)
33-11138, 34-96492, 33-11013 S7-20-21 Insider Trading Arrangements and Related Disclosures
View Received Comments
See Also - Press Release No. 2022-222, Fact Sheet, Proposed Rule Rel. No. 34-93169, Small Entity Compliance Guide
Federal Register version (87 FR 80362)
33-11138, 34-96492, 33-11013 S7-20-21 Insider Trading Arrangements and Related Disclosures
View Received Comments
See Also - Press Release No. 2022-222, Fact Sheet, Proposed Rule Rel. No. 34-93169, Small Entity Compliance Guide
Federal Register version (87 FR 80362)
33-11138, 34-96492, 33-11013 S7-20-21 Insider Trading Arrangements and Related Disclosures
View Received Comments
See Also - Press Release No. 2022-222, Fact Sheet, Proposed Rule Rel. No. 34-93169, Small Entity Compliance Guide
Federal Register version (87 FR 80362)
33-11131, 34-96206, IC-34745 S7-11-21 Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
View Received Comments
See Also - Press Release No. 2022-198, Fact Sheet, Proposed Rule Rel. No. 34-93169, Small Entity Compliance Guide
Federal Register version (87 FR 78770)
33-11131, 34-96206, IC-34745 S7-11-21 Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
View Received Comments
See Also - Press Release No. 2022-198, Fact Sheet, Proposed Rule Rel. No. 34-93169, Small Entity Compliance Guide
Federal Register version (87 FR 78770)
33-11131, 34-96206, IC-34745 S7-11-21 Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
View Received Comments
See Also - Press Release No. 2022-198, Fact Sheet, Proposed Rule Rel. No. 34-93169, Small Entity Compliance Guide
Federal Register version (87 FR 78770)
33-11125, 34-96158, IC-34731 S7-09-20 Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
View Received Comments
See Also - Press Release No. 2022-193, Fact Sheet, Proposed Rule Rel. No. 33-10814, Small Entity Compliance Guide, Form N-CSR prior to 2022 amendments, Form N-CSR with 2022 amendments
Federal Register version (87 FR 72758)
33-11126, 34-96159, IC-34732 S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Comments Due: September 14, 2015
View Received Comments
See Also - Press Release No. 2022-192, Fact Sheet, Proposed Rule Rel. No. 33-9861, Small Entity Compliance Guide
Federal Register version (87 FR 73076)
33-11125, 34-96158, IC-34731 S7-09-20 Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
View Received Comments
See Also - Press Release No. 2022-193, Fact Sheet, Proposed Rule Rel. No. 33-10814, Small Entity Compliance Guide, Form N-CSR prior to 2022 amendments, Form N-CSR with 2022 amendments
Federal Register version (87 FR 72758)
33-11126, 34-96159, IC-34732 S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Comments Due: September 14, 2015
View Received Comments
See Also - Press Release No. 2022-192, Fact Sheet, Proposed Rule Rel. No. 33-9861, Small Entity Compliance Guide
Federal Register version (87 FR 73076)
33-11125, 34-96158, IC-34731 S7-09-20 Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
View Received Comments
See Also - Press Release No. 2022-193, Fact Sheet, Proposed Rule Rel. No. 33-10814, Small Entity Compliance Guide, Form N-CSR prior to 2022 amendments, Form N-CSR with 2022 amendments
Federal Register version (87 FR 72758)
33-11126, 34-96159, IC-34732 S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Comments Due: September 14, 2015
View Received Comments
See Also - Press Release No. 2022-192, Fact Sheet, Proposed Rule Rel. No. 33-9861, Small Entity Compliance Guide
Federal Register version (87 FR 73076)
34-96034 S7-19-21 Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
View Received Comments
See Also - Press Release No. 2022-187, Fact Sheet, Proposed Rule Rel No. 34-93614, Small Entity Compliance Guide
Federal Register version (87 FR 66412)
33-11101, 34-95817, 39-2546, IC-34703 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 61977)
33-11101, 34-95817, 39-2546, IC-34703 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 61977)
33-11101, 34-95817, 39-2546, IC-34703 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 61977)
33-11101, 34-95817, 39-2546, IC-34703 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 61977)
33-11098, 34-95715 Inflation Adjustments Under Titles I and III of the JOBS Act
See Also - Press Release No. 2022-157, Fact Sheet
Federal Register version (87 FR 57394)
33-11098, 34-95715 Inflation Adjustments Under Titles I and III of the JOBS Act
See Also - Press Release No. 2022-157, Fact Sheet
Federal Register version (87 FR 57394)
34-95620 S7-07-22 Whistleblower Program Rules
View Received Comments
See Also - Press Release No. 2022-151, Fact Sheet, Proposed Rule Rel No. 34-94212
Federal Register version (87 FR 54140)
34-95607 S7-07-15 Pay Versus Performance
View Received Comments
See Also - Press Release No. 2022-149, Fact Sheet, 34-94074, Small Entity Compliance Guide
Federal Register version (87 FR 55134)
33-11082, 34-95274, 39-2545, IC-34649 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 42960)

Note:

This replaces the version initially issued on June 21, 2022.) (Conformed to Federal Register version)

34-95266, IA-6068 S7-17-21 Proxy Voting Advice
View Received Comments
See Also - Press Release No. 2022-120, Fact Sheet, Proposed Rule Rel No. 34-93595, Small Entity Compliance Guide
Federal Register version (87 FR 43168)
33-11082, 34-95274, 39-2545, IC-34649 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 42960)

Note:

This replaces the version initially issued on June 21, 2022.) (Conformed to Federal Register version)

33-11082, 34-95274, 39-2545, IC-34649 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 42960)

Note:

This replaces the version initially issued on June 21, 2022.) (Conformed to Federal Register version)

34-95266, IA-6068 S7-17-21 Proxy Voting Advice
View Received Comments
See Also - Press Release No. 2022-120, Fact Sheet, Proposed Rule Rel No. 34-93595, Small Entity Compliance Guide
Federal Register version (87 FR 43168)
33-11082, 34-95274, 39-2545, IC-34649 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 42960)

Note:

This replaces the version initially issued on June 21, 2022.) (Conformed to Federal Register version)

34-95148, IA-6056, IC-34635 S7-15-21 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
View Received Comments
See Also - Press Release No. 2022-113, Fact Sheet, Correction Rel No. 34-94185A
Federal Register version (87 FR 38943)
34-95148, IA-6056, IC-34635 S7-15-21 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
View Received Comments
See Also - Press Release No. 2022-113, Fact Sheet, Correction Rel No. 34-94185A
Federal Register version (87 FR 38943)
34-95148, IA-6056, IC-34635 S7-15-21 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
View Received Comments
See Also - Press Release No. 2022-113, Fact Sheet, Correction Rel No. 34-94185A
Federal Register version (87 FR 38943)
33-11070, 34-95025 S7-16-21 Updating EDGAR Filing Requirements and Form 144 Filings
Comments Due: December 22, 2021
View Received Comments
See Also - Press Release No. 2022-99, Fact Sheet, Updating EDGAR Filing Requirements and Form 144 Filings Small Entity Compliance Guide
Federal Register version (87 FR 35393)
33-11070, 34-95025 S7-24-20 Updating EDGAR Filing Requirements and Form 144 Filings
View Received Comments
See Also - Press Release No. 2022-99, Fact Sheet, Updating EDGAR Filing Requirements and Form 144 Filings Small Entity Compliance Guide
Federal Register version (87 FR 35393)
33-11070, 34-95025 S7-16-21 Updating EDGAR Filing Requirements and Form 144 Filings
Comments Due: December 22, 2021
View Received Comments
See Also - Press Release No. 2022-99, Fact Sheet, Updating EDGAR Filing Requirements and Form 144 Filings Small Entity Compliance Guide
Federal Register version (87 FR 35393)
33-11070, 34-95025 S7-24-20 Updating EDGAR Filing Requirements and Form 144 Filings
View Received Comments
See Also - Press Release No. 2022-99, Fact Sheet, Updating EDGAR Filing Requirements and Form 144 Filings Small Entity Compliance Guide
Federal Register version (87 FR 35393)
33-11047, IA-5985, IC-34547 Technical Amendments to Commission Rules and Forms
Federal Register version (87 FR 22444)
33-11047, IA-5985, IC-34547 Technical Amendments to Commission Rules and Forms
Federal Register version (87 FR 22444)
33-11047, IA-5985, IC-34547 Technical Amendments to Commission Rules and Forms
Federal Register version (87 FR 22444)
33-11043, 34-94479, 39-2543, IC-34536 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 23108)
33-11043, 34-94479, 39-2543, IC-34536 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 23108)
33-11043, 34-94479, 39-2543, IC-34536 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 23108)
33-11043, 34-94479, 39-2543, IC-34536 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 23108)
33-11016, 34-93827, 39-2542, IC-34444 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 391)
33-11016, 34-93827, 39-2542, IC-34444 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 391)
33-11016, 34-93827, 39-2542, IC-34444 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 391)
33-11016, 34-93827, 39-2542, IC-34444 Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 391)
34-93701, IC-34431 S7-03-21 Holding Foreign Companies Accountable Act Disclosure
View Received Comments
See Also - Press Release No. 2021-250, Fact Sheet, Interim Final Rule Rel. No. 34-91364
Federal Register version (86 FR 70027)
34-93701, IC-34431 S7-03-21 Holding Foreign Companies Accountable Act Disclosure
View Received Comments
See Also - Press Release No. 2021-250, Fact Sheet, Interim Final Rule Rel. No. 34-91364
Federal Register version (86 FR 70027)
34-93596, IC-34419 S7-24-16 Universal Proxy
View Received Comments
See Also - Small Entity Compliance Guide, Press Release No. 2021-235, Fact Sheet, Proposed Rule Rel. No. 34-79164, Proposed Rule Rel. No. 34-91603
Federal Register version (86 FR 68330)
34-93596, IC-34419 S7-24-16 Universal Proxy
View Received Comments
See Also - Small Entity Compliance Guide, Press Release No. 2021-235, Fact Sheet, Proposed Rule Rel. No. 34-79164, Proposed Rule Rel. No. 34-91603
Federal Register version (86 FR 68330)
IA-5904 Performance-Based Investment Advisory Fees
See Also - Fact Sheet
Federal Register version (86 FR 62473)
33-10997, 34-93285, IC-34396 S7-20-19 Filing Fee Disclosure and Payment Methods Modernization
View Received Comments
See Also - Small Entity Compliance Guide, Press Release No. 2021-209, Fact Sheet, Proposed Rule Rel. No. 33-10720
Federal Register version (86 FR 70166)
33-10997, 34-93285, IC-34396 S7-20-19 Filing Fee Disclosure and Payment Methods Modernization
View Received Comments
See Also - Small Entity Compliance Guide, Press Release No. 2021-209, Fact Sheet, Proposed Rule Rel. No. 33-10720
Federal Register version (86 FR 70166)
33-10997, 34-93285, IC-34396 S7-20-19 Filing Fee Disclosure and Payment Methods Modernization
View Received Comments
See Also - Small Entity Compliance Guide, Press Release No. 2021-209, Fact Sheet, Proposed Rule Rel. No. 33-10720
Federal Register version (86 FR 70166)
33-10984, 34-93056, 39-2540, IC-34376 Adoption of Updated EDGAR Filer Manual, Form ID Amendments
Federal Register version (86 FR 55689)
33-10984, 34-93056, 39-2540, IC-34376 Adoption of Updated EDGAR Filer Manual, Form ID Amendments
Federal Register version (86 FR 55689)
33-10984, 34-93056, 39-2540, IC-34376 Adoption of Updated EDGAR Filer Manual, Form ID Amendments
Federal Register version (86 FR 55689)
33-10984, 34-93056, 39-2540, IC-34376 Adoption of Updated EDGAR Filer Manual, Form ID Amendments
Federal Register version (86 FR 55689)
34-92727, FOIA-194 Freedom of Information Act Regulations
Federal Register version (86 FR 47561)
34-92727, FOIA-194 Freedom of Information Act Regulations
Federal Register version (86 FR 47561)
33-10948, 34-92216, 39-2539, IC-34304 Adoption of Updated EDGAR Filer Manual
Federal Register version (86 FR 40308)
33-10948, 34-92216, 39-2539, IC-34304 Adoption of Updated EDGAR Filer Manual
Federal Register version (86 FR 40308)
33-10948, 34-92216, 39-2539, IC-34304 Adoption of Updated EDGAR Filer Manual
Federal Register version (86 FR 40308)
33-10948, 34-92216, 39-2539, IC-34304 Adoption of Updated EDGAR Filer Manual
Federal Register version (86 FR 40308)
33-10935, 34-91352, 39-2538, IC-34226 Adoption of Updated EDGAR Filer Manual, Form ID Amendments
See Also - EDGAR Filer Manual Vol. 1 changes
Federal Register version (86 FR 25803)
33-10935, 34-91352, 39-2538, IC-34226 Adoption of Updated EDGAR Filer Manual, Form ID Amendments
See Also - EDGAR Filer Manual Vol. 1 changes
Federal Register version (86 FR 25803)
33-10935, 34-91352, 39-2538, IC-34226 Adoption of Updated EDGAR Filer Manual, Form ID Amendments
See Also - EDGAR Filer Manual Vol. 1 changes
Federal Register version (86 FR 25803)
33-10913, 34-90787, IA-5656, IC-34151 Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
Federal Register version (86 FR 9436)
33-10913, 34-90787, IA-5656, IC-34151 Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
Federal Register version (86 FR 9436)
IA-5653 S7-21-19 Investment Adviser Marketing
View Received Comments
See Also - Small Entity Compliance Guide, Investment Adviser Advertisements; Compensation for Solicitations
Federal Register version (86 FR 13024)
33-10913, 34-90787, IA-5656, IC-34151 Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
Federal Register version (86 FR 9436)
33-10913, 34-90787, IA-5656, IC-34151 Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
Federal Register version (86 FR 9436)
34-90679, 34-87783 S7-24-19 Disclosure of Payments by Resource Extraction Issuers
View Received Comments
See Also - Press Release No. 2020-318, Investment Adviser Advertisements; Compensation for Solicitations
Federal Register version (86 FR 4662)
34-90679, 34-87783 S7-24-19 Disclosure of Payments by Resource Extraction Issuers
View Received Comments
See Also - Press Release No. 2020-318, Investment Adviser Advertisements; Compensation for Solicitations
Federal Register version (86 FR 4662)
34-90667 S7-08-11 Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
View Received Comments
See Also - Press Release No. 2020-320, Proposed Rule Release Nos. 34-64017, Proposed Rule Release Nos. 34-69491
Federal Register version (86 FR 7637)
33-10901, 34-90636, 39-2535, IC-34136 S7-11-20 Administration of the Electronic Data Gathering, Analysis, and Retrieval System
View Received Comments
See Also - Proposed Rule Rel. No. 33-10821
Federal Register version (86 FR 7961)
33-10902, 34-90637, 39-2536, IC-34137 Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
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, 34-90636, 39-2535, IC-34136 S7-11-20 Administration of the Electronic Data Gathering, Analysis, and Retrieval System
View Received Comments
See Also - Proposed Rule Rel. No. 33-10821
Federal Register version (86 FR 7961)
33-10902, 34-90637, 39-2536, IC-34137 Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
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, 34-90636, 39-2535, IC-34136 S7-11-20 Administration of the Electronic Data Gathering, Analysis, and Retrieval System
View Received Comments
See Also - Proposed Rule Rel. No. 33-10821
Federal Register version (86 FR 7961)