Final

Release Number SEC Issue Date File Number Details
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)
34-84541 S7-23-15 Regulation of NMS Stock Alternative Trading Systems
View Received Comments
See Also - Proposed Rule Rel. No. 34-76474
Federal Register version (83 FR 56257)
34-84528 S7-14-16 Disclosure of Order Handling Information
View Received Comments
See Also - Proposed Rule Rel. No. 34-78309
Federal Register version (83 FR 58338)
34-84528 S7-14-16 Disclosure of Order Handling Information
View Received Comments
See Also - Proposed Rule Rel. No. 34-78309
Federal Register version (83 FR 58338)
33-10570, 34-84509 S7-10-16 Modernization of Property Disclosures for Mining Registrants
View Received Comments
See Also - Proposed Rule Rel. No. 33-10098
Federal Register version (83 FR 66344)
33-10570, 34-84509 S7-10-16 Modernization of Property Disclosures for Mining Registrants
View Received Comments
See Also - Proposed Rule Rel. No. 33-10098
Federal Register version (83 FR 66344)
33-10566A, 34-84325A, 39-2522A, IC-33261A Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10537, 34-83911, IA-4994, IC-33212 Delegation of Authority to General Counsel of the Commission
Federal Register version (83 FR 44465)
33-10537, 34-83911, IA-4994, IC-33212 Delegation of Authority to General Counsel of the Commission
Federal Register version (83 FR 44465)
33-10537, 34-83911, IA-4994, IC-33212 Delegation of Authority to General Counsel of the Commission
Federal Register version (83 FR 44465)
33-10537, 34-83911, IA-4994, IC-33212 Delegation of Authority to General Counsel of the Commission
Federal Register version (83 FR 44465)
34-83885 S7-01-17 Amendments to Municipal Securities Disclosure
View Received Comments
See Also - Proposed Rule Rel. No. 34-80130
Federal Register version (83 FR 44700)
33-10532 S7-15-16 Disclosure Update and Simplification
View Received Comments
See Also - Demonstration Version, Proposed Rule Rel. Nos. 34-76474, 33-10110, and Small Entity Compliance Guide
Federal Register version (83 FR 50148)
33-10520 S7-17-18 Exempt Offerings Pursuant to Compensatory Arrangements
Comments Due: August 23, 2018
Federal Register version (83 FR 34940)
34-83663 S7-23-15 Regulation of NMS Stock Alternative Trading Systems
View Received Comments
See Also - Proposed Rule Rel. No. 34-76474
Federal Register version (83 FR 38768)
33-10518, 34-83614, 39-2521, IC-33153 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 33119)
33-10518, 34-83614, 39-2521, IC-33153 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 33119)
33-10518, 34-83614, 39-2521, IC-33153 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 33119)
33-10518, 34-83614, 39-2521, IC-33153 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 33119)
33-10513, 34-83550 S7-12-16 Smaller Reporting Company Definition
View Received Comments
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10107
Federal Register version (83 FR 31992)
33-10514 S7-03-17 Inline XBRL Filing of Tagged Data
View Received Comments
See Also - Proposed Rule Rel. No. 33-10323
Federal Register version (83 FR 40846)
33-10513, 34-83550 S7-12-16 Smaller Reporting Company Definition
View Received Comments
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10107
Federal Register version (83 FR 31992)
IC-33142 S7-04-18 Investment Company Liquidity Disclosure
View Received Comments
See Also - Proposed Rule Rel. No. IC-33046, Small Entity Compliance Guide
Federal Register version (83 FR 31859)
IC-33142 S7-08-15 Investment Company Liquidity Disclosure
View Received Comments
See Also - Proposed Rule Rel. No. IC-33046, Small Entity Compliance Guide
Federal Register version (83 FR 31859)
34-83506, FOIA-193 S7-09-17 Amendments to the Commission's Freedom of Information Act Regulations
View Received Comments
See Also - Proposed Rule Rel. No. 34-82373
Federal Register version (83 FR 30322)
34-83506, FOIA-193 S7-09-17 Amendments to the Commission's Freedom of Information Act Regulations
View Received Comments
See Also - Proposed Rule Rel. No. 34-82373
Federal Register version (83 FR 30322)
33-10506 S7-08-15 Optional Internet Availability of Investment Company Shareholder Reports
View Received Comments
See Also - Small Entity Compliance Guide
Federal Register version (83 FR 29158)
33-10506 S7-08-15 Optional Internet Availability of Investment Company Shareholder Reports
View Received Comments
See Also - Small Entity Compliance Guide
Federal Register version (83 FR 29158)
34-83325 Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
Federal Register version (83 FR 25365)
33-10486, 34-83097, IC-33077 Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
Federal Register version (83 FR 22190)
33-10486, 34-83097, IC-33077 Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
Federal Register version (83 FR 22190)
33-10486, 34-83097, IC-33077 Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
Federal Register version (83 FR 22190)
33-10467, 34-82830, 39-2520, IC-33041 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 11637)
33-10467, 34-82830, 39-2520, IC-33041 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 11637)
33-10467, 34-82830, 39-2520, IC-33041 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 11637)
33-10467, 34-82830, 39-2520, IC-33041 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 11637)
33-7424A Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
Federal Register version (83 FR 4138)
IA-4839 S7-05-17 Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
View Received Comments
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. IA-4697
Federal Register version (83 FR 1296)
33-10450 S7-09-14 Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
View Received Comments
See Also - Proposed Rule Rel. No. 33-9643
Federal Register version (83 FR 2046)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10444, 34-82246, 39-2519, IC-32938 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 2369)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10444, 34-82246, 39-2519, IC-32938 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 2369)
33-10444, 34-82246, 39-2519, IC-32938 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 2369)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936 S7-08-15 Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10444, 34-82246, 39-2519, IC-32938 Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 2369)
33-10428 S7-06-17 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
View Received Comments
See Also - Proposed Rule Rel. No. 33-10390
Federal Register version (82 FR 50059)
33-10413, 34-81592, 39-2518, IC-32818 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 45434)
33-10413, 34-81592, 39-2518, IC-32818 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 45434)
33-10413, 34-81592, 39-2518, IC-32818 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 45434)
33-10413, 34-81592, 39-2518, IC-32818 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 45434)
33-10385, 34-81080, 39-2517, IC-32724 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 35062)
33-10385, 34-81080, 39-2517, IC-32724 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 35062)
33-10385, 34-81080, 39-2517, IC-32724 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 35062)
33-10385, 34-81080, 39-2517, IC-32724 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 35062)
IA-4698 Technical Amendments to Form ADV and Form ADV-W
Federal Register version (82 FR 21472)
33-10332, 34-80355 S7-09-16 Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act
Federal Register version (82 FR 17545)
33-10332, 34-80355 S7-09-16 Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act
Federal Register version (82 FR 17545)
34-80295 S7-22-16 Securities Transaction Settlement Cycle
View Received Comments
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 34-78962
Federal Register version (82 FR 15564)
33-10324, 34-80182, 39-2516, IC-32527 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 15993)
33-10324, 34-80182, 39-2516, IC-32527 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 15993)
33-10324, 34-80182, 39-2516, IC-32527 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 15993)
33-10324, 34-80182, 39-2516, IC-32527 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 15993)
33-10322, 34-80132 S7-19-16 Exhibit Hyperlinks and HTML Format
View Received Comments
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10201, Notice Rel. No. 33-10446
Federal Register version (82 FR 14130)
33-10322, 34-80132 S7-19-16 Exhibit Hyperlinks and HTML Format
View Received Comments
See Also - Small Entity Compliance Guide, Proposed Rule Rel. No. 33-10201, Notice Rel. No. 33-10446
Federal Register version (82 FR 14130)
33-10238A, 34-79161A S7-22-15 Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction
View Received Comments
Federal Register version
33-10238A, 34-79161A S7-22-15 Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction
View Received Comments
Federal Register version
33-10295, 34-79878, 39-2514, IC-32452 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 9680)
33-10295, 34-79878, 39-2514, IC-32452 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 9680)
33-10295, 34-79878, 39-2514, IC-32452 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 9680)
33-10295, 34-79878, 39-2514, IC-32452 Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 9680)
33-10276, 34-79749, IA-4599, IC-32414 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (82 FR 5367)
33-10276, 34-79749, IA-4599, IC-32414 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (82 FR 5367)
33-10276, 34-79749, IA-4599, IC-32414 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (82 FR 5367)
33-10276, 34-79749, IA-4599, IC-32414 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (82 FR 5367)