Final

Release Number SEC Issue Date File Number Details
33-10845, 34-89920, 39-2533, IC-34015 Adoption of Updated EDGAR Filer Manual
Federal Register version (85 FR 69499)
33-10845, 34-89920, 39-2533, IC-34015 Adoption of Updated EDGAR Filer Manual
Federal Register version (85 FR 69499)
33-10842, 34-89891 S7-14-19 Publication or Submission of Quotations Without Specified Information
View Received Comments
See Also - Press Release No. 2020-212, Proposed Rule Rel. No. 34-87115
Federal Register version (85 FR 68124)
33-10842, 34-89891 S7-14-19 Publication or Submission of Quotations Without Specified Information
View Received Comments
See Also - Press Release No. 2020-212, Proposed Rule Rel. No. 34-87115
Federal Register version (85 FR 68124)
33-10835, 34-89835 S7-02-17 Update of Statistical Disclosures for Bank and Savings and Loan Registrants
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)
33-10835, 34-89835 S7-02-17 Update of Statistical Disclosures for Bank and Savings and Loan Registrants
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)
33-10824 S7-25-19 Accredited Investor Definition
See Also - Proposed Rule Rel. No. 33-10734, Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status
Federal Register version (85 FR 64234)
33-10825, 34-89670 S7-11-19 Modernization of Regulation S-K Items 101, 103, and 105
See Also - Proposed Rule Rel. No. 33-10668, Small Entity Compliance Guide
Federal Register version (85 FR 63726)
33-10825, 34-89670 S7-11-19 Modernization of Regulation S-K Items 101, 103, and 105
See Also - Proposed Rule Rel. No. 33-10668, Small Entity Compliance Guide
Federal Register version (85 FR 63726)
34-89618 S7-15-19 Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
See Also - Proposed Rule Rel. No. 34-87193
Federal Register version (85 FR 65470)
34-89394 S7-02-16 Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
See Also - Proposed Rule Rel. No. 34-77157
Federal Register version (85 FR 53645)
34-89372 S7-22-19 Exemptions From the Proxy Rules for Proxy Voting Advice
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 S7-19-19 Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
See Also - Proposed Rule Rel. No. IC-33658, Small Entity Compliance Guide
Federal Register version (85 FR 57089)
BHCA-9 S7-02-20 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
See Also - Proposed Rule Rel. No. BHCA-8, Rel. No. BHCA-9A
Federal Register version (85 FR 46422)
33-10786, 34-88914, IC-33872 S7-05-19 Amendments to Financial Disclosures About Acquired and Disposed Businesses
See Also - Proposed Rule Rel. No. 33-10635, Rel. No. 33-10762A, and Small Entity Compliance Guide
Federal Register version (85 FR 54002)
33-10786, 34-88914, IC-33872 S7-05-19 Amendments to Financial Disclosures About Acquired and Disposed Businesses
See Also - Proposed Rule Rel. No. 33-10635, Rel. No. 33-10762A, and Small Entity Compliance Guide
Federal Register version (85 FR 54002)
33-10786, 34-88914, IC-33872 S7-05-19 Amendments to Financial Disclosures About Acquired and Disposed Businesses
See Also - Proposed Rule Rel. No. 33-10635, Rel. No. 33-10762A, and Small Entity Compliance Guide
Federal Register version (85 FR 54002)
34-88890 S7-13-19 Amendments to the National Market System Plan Governing the Consolidated Audit Trail
See Also - Proposed Rule Rel. No. 34-85823
Federal Register version (85 FR 31322)
34-88616 S7-23-16 Definition of "Covered Clearing Agency"
See Also - Proposed Rule Rel. No. 34-78963
Federal Register version (85 FR 28853)
33-10771, 34–88606, IC–33836 S7-03-19 Securities Offering Reform for Closed-End Investment Companies
See Also - Rel No. 33-10771A, Proposed Rule Rel. No. 33-10619, Form N-2
Federal Register version (85 FR 33290)
33-10771, 34–88606, IC–33836 S7-03-19 Securities Offering Reform for Closed-End Investment Companies
See Also - Rel No. 33-10771A, Proposed Rule Rel. No. 33-10619, Form N-2
Federal Register version (85 FR 33290)
33-10771, 34–88606, IC–33836 S7-03-19 Securities Offering Reform for Closed-End Investment Companies
See Also - Rel No. 33-10771A, Proposed Rule Rel. No. 33-10619, Form N-2
Federal Register version (85 FR 33290)
34-88365 S7-06-19 Accelerated Filer and Large Accelerated Filer Definitions
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, 34-88358, IC-33814, 33-10605 S7-23-18 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
See Also - 33-10569, Rel. No. 33-10765A, Form N-3, Form N-4, Form N-6
Federal Register version (85 FR 29614)
33-10765, 34-88358, IC-33814, 33-10605 S7-23-18 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
See Also - 33-10569, Rel. No. 33-10765A, Form N-3, Form N-4, Form N-6
Federal Register version (85 FR 29614)
33-10765, 34-88358, IC-33814, 33-10605 S7-23-18 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
See Also - 33-10569, Rel. No. 33-10765A, Form N-3, Form N-4, Form N-6
Federal Register version (85 FR 29614)
33-10762, 34-88307, 33-10526 S7-19-18 Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
See Also - Rel. No. 33-10762A
Federal Register version (85 FR 21940)
33-10762, 34-88307, 33-10526 S7-19-18 Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
See Also - Rel. No. 33-10762A
Federal Register version (85 FR 21940)
33-10762, 34-88307, 33-10526 S7-19-18 Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
See Also - Rel. No. 33-10762A
Federal Register version (85 FR 21940)
IA-5454 Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
Federal Register version (85 FR 13734)
33-10757, 34-88245, IA-5446, IC-33802 Delegation of Authority to the General Counsel of the Commission
Federal Register version (85 FR 12221)
33-10757, 34-88245, IA-5446, IC-33802 Delegation of Authority to the General Counsel of the Commission
Federal Register version (85 FR 12221)
33-10757, 34-88245, IA-5446, IC-33802 Delegation of Authority to the General Counsel of the Commission
Federal Register version (85 FR 12221)
33-10757, 34-88245, IA-5446, IC-33802 Delegation of Authority to the General Counsel of the Commission
Federal Register version (85 FR 12221)
33-10749, 34-88040, 39-2530, IC-33792 Adoption of Updated EDGAR Filer Manual
Federal Register version (85 FR 9365)
33-10749, 34-88040, 39-2530, IC-33792 Adoption of Updated EDGAR Filer Manual
Federal Register version (85 FR 9365)
33-10749, 34-88040, 39-2530, IC-33792 Adoption of Updated EDGAR Filer Manual
Federal Register version (85 FR 9365)
33-10749, 34-88040, 39-2530, IC-33792 Adoption of Updated EDGAR Filer Manual
Federal Register version (85 FR 9365)
34-87780 S7-07-19 Cross-Border Application of Certain Security-Based Swap Requirements
See Also - Proposed Rule Rel. No. 34-85823
Federal Register version (85 FR 6270)
34-87782 S7-28-18 Risk Mitigation Techniques for Uncleared Security-Based Swaps
See Also - Proposed Rule Rel. No. 34-84861
Federal Register version (85 FR 6359)
33-10709, 34-87148, 39-2529, IC-33650 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 56938)
33-10709, 34-87148, 39-2529, IC-33650 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 56938)
33-10709, 34-87148, 39-2529, IC-33650 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 56938)
33-10709, 34-87148, 39-2529, IC-33650 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 56938)
33-10695, : IC-33646 S7-15-18 Exchange-Traded Funds
See Also - Exemptive Order Rel. No. 34-87110, Proposed Rule Rel. No. 33-10515, Small Entity Compliance Guide
Federal Register version (84 FR 57162)
33-10699 S7-01-19 Solicitations of Interest Prior to a Registered Public Offering
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10607
Federal Register version (84 FR 53011)
33-10695, : IC-33646 S7-15-18 Exchange-Traded Funds
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 S7-05-14 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
See Also - Proposed Rule Rel. No. 34-71958, Rel. No. 34-87005A, Rel. No. 34-87005B, Rel. No. 34-87005C, Rel. No. 34-87005D
Federal Register version (84 FR 68550)
BHCA-7 S7-14-18 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
See Also - Proposed Rule Rel. Nos. BHCA-4, BHCA-3
Federal Register version (84 FR 61974)
34-86982 S7-09-17 Technical Amendments To Update Cross-References to Commission's FOIA Regulations
View Received Comments
See Also - Proposed Rule Rel. No. 34-82373
Federal Register version (84 FR 50737)
34-86590 S7-22-18 Amendments to Rules for Nationally Recognized Statistical Rating Organizations
See Also - Proposed Rule Rel. No. 34-84289
Federal Register version (84 FR 40247)
33-10618A, 34-85381A, IA-5206A, IC-33426A S7-08-17 FAST Act Modernization and Simplification of Regulation S-K; Correction
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 39966)
33-10618A, 34-85381A, IA-5206A, IC-33426A S7-08-17 FAST Act Modernization and Simplification of Regulation S-K; Correction
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 39966)
33-10618A, 34-85381A, IA-5206A, IC-33426A S7-08-17 FAST Act Modernization and Simplification of Regulation S-K; Correction
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 39966)
33-10618A, 34-85381A, IA-5206A, IC-33426A S7-08-17 FAST Act Modernization and Simplification of Regulation S-K; Correction
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 39966)
33-10618A, 34-85381A, IA-5206A, IC-33426A S7-08-17 FAST Act Modernization and Simplification of Regulation S-K; Correction
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 39966)
33-10618A, 34-85381A, IA-5206A, IC-33426A S7-08-17 FAST Act Modernization and Simplification of Regulation S-K; Correction
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 39966)
33-10618A, 34-85381A, IA-5206A, IC-33426A S7-08-17 FAST Act Modernization and Simplification of Regulation S-K; Correction
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 39966)
33-10618A, 34-85381A, IA-5206A, IC-33426A S7-08-17 FAST Act Modernization and Simplification of Regulation S-K; Correction
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 39966)
BHCA-6 S7-30-18 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
See Also - Proposed Rule Release No. BHCA-5
Federal Register version (84 FR 38115)
34-86175 S7-08-12 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
See Also - Proposed Rules Release No. 34-84409, Proposed Rule Release Nos. 34-69491, Release No. 34-68660, Release No. 34-68071, Technical Amendment
Federal Register version (84 FR 43872)
33-10648, 34-86127, FR-85, IA-5255, IC-33511 S7-10-18 Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
View Received Comments
See Also - Proposed Rule Release No. 33-10491, Small Entity Compliance Guide
Federal Register version (84 FR 32040)
33-10648, 34-86127, FR-85, IA-5255, IC-33511 S7-10-18 Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
View Received Comments
See Also - Proposed Rule Release No. 33-10491, Small Entity Compliance Guide
Federal Register version (84 FR 32040)
33-10648, 34-86127, FR-85, IA-5255, IC-33511 S7-10-18 Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
View Received Comments
See Also - Proposed Rule Release No. 33-10491, Small Entity Compliance Guide
Federal Register version (84 FR 32040)
33-10648, 34-86127, FR-85, IA-5255, IC-33511 S7-10-18 Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
View Received Comments
See Also - Proposed Rule Release No. 33-10491, Small Entity Compliance Guide
Federal Register version (84 FR 32040)
33-10648, 34-86127, FR-85, IA-5255, IC-33511 S7-10-18 Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
View Received Comments
See Also - Proposed Rule Release No. 33-10491, Small Entity Compliance Guide
Federal Register version (84 FR 32040)
34-86073 S7-21-18 Amendment to Single Issuer Exemption for Broker-Dealers
See Also - Proposed Rule Release No. 34-84225
Federal Register version (84 FR 27708)
33-10645, 34-86070, 39-2526, IC-33504 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 31192)
33-10645, 34-86070, 39-2526, IC-33504 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 31192)
33-10645, 34-86070, 39-2526, IC-33504 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 31192)
34-86031 S7-07-18 Regulation Best Interest: The Broker-Dealer Standard of Conduct
View Received Comments
See Also - Regulation Best Interest, Commission Interpretation Regarding Standard of Conduct for Investment Advisers, Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment Adviser
Federal Register version (84 FR 39178)
34-86032, IA-5247 S7-08-18 Form CRS Relationship Summary; Amendments to Form ADV
See Also - Proposed Rule Release No. 34-83063, Form ADV General Instructions, Instructions to Form CRS, Feedback Forms Comment Summary
Federal Register version (84 FR 33492)
34-86032, IA-5247 S7-08-18 Form CRS Relationship Summary; Amendments to Form ADV
See Also - Proposed Rule Release No. 34-83063, Form ADV General Instructions, Instructions to Form CRS, Feedback Forms Comment Summary
Federal Register version (84 FR 33492)
34-85714 S7-14-16 Disclosure of Order Handling Information
View Received Comments
See Also - Proposed Rule Rel. No. 34-78309
Federal Register version (84 FR 18136)
34-85437 Public Company Accounting Oversight Board Hearing Officers
Federal Register version (84 FR 12906)
33-10618, 34-85381, IA-5206, IC-33426 S7-08-17 FAST Act Modernization and Simplification of Regulation S-K
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 13796)
33-10618, 34-85381, IA-5206, IC-33426 S7-08-17 FAST Act Modernization and Simplification of Regulation S-K
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 13796)
33-10618, 34-85381, IA-5206, IC-33426 S7-08-17 FAST Act Modernization and Simplification of Regulation S-K
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 13796)
33-10618, 34-85381, IA-5206, IC-33426 S7-08-17 FAST Act Modernization and Simplification of Regulation S-K
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 13796)
33-10618, 34-85381, IA-5206, IC-33426 S7-08-17 FAST Act Modernization and Simplification of Regulation S-K
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 13796)
33-10618, 34-85381, IA-5206, IC-33426 S7-08-17 FAST Act Modernization and Simplification of Regulation S-K
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 13796)
33-10618, 34-85381, IA-5206, IC-33426 S7-08-17 FAST Act Modernization and Simplification of Regulation S-K
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 13796)
33-10618, 34-85381, IA-5206, IC-33426 S7-08-17 FAST Act Modernization and Simplification of Regulation S-K
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10425
Federal Register version (84 FR 13796)
33-10615, 34-85296, 39-2525, IC-33398 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 12073)
33-10615, 34-85296, 39-2525, IC-33398 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 12073)
33-10615, 34-85296, 39-2525, IC-33398 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 12073)
33-10615, 34-85296, 39-2525, IC-33398 Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 12073)
33-10593 S7-01-15 Disclosure of Hedging by Employees, Officers and Directors
View Received Comments
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-9723
Federal Register version (84 FR 2402)
33-10591 S7-29-18 Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (84 FR 520)
34-84858 S7-14-15 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
View Received Comments
See Also - Proposed Rule Rel. No. 34-75612
Federal Register version (84 FR 4906)
34-84875 S7-05-18 Transaction Fee Pilot for NMS Stocks
View Received Comments
See Also - Proposed Rule Rel. No. 34-82873, S Joinder in Motions for Stay, and NYSE Chicago, Exhibit A, and Exhibit B, 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)
33-10585, 34-84825, 39-2524, IC-33324 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 66100)
33-10585, 34-84825, 39-2524, IC-33324 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 66100)
33-10585, 34-84825, 39-2524, IC-33324 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 66100)
33-10585, 34-84825, 39-2524, IC-33324 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 66100)
33-10580, 34-84710, IC-33311 S7-11-18 Covered Investment Fund Research Reports
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
View Received Comments
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10498
Federal Register version (83 FR 64180)
33-10580, 34-84710, IC-33311 S7-11-18 Covered Investment Fund Research Reports
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
View Received Comments
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10498
Federal Register version (83 FR 64180)
33-10580, 34-84710, IC-33311 S7-11-18 Covered Investment Fund Research Reports
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
View Received Comments
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10498
Federal Register version (83 FR 64180)
33-10577 S7-04-18 Form N-1A; Correction
File Nos.: S7-08-15, S7-04-18 View Received Comments
Federal Register version (83 FR 62454)
33-10577 S7-08-15 Form N-1A; Correction
File Nos.: S7-08-15, S7-04-18 View Received Comments
Federal Register version (83 FR 62454)