Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Final

Quick Links

empty


Release Number	SEC Issue Date	File Number	Details
33-10580, 34-84710, IC-33311	Nov. 30, 2018	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	Nov. 30, 2018	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	Nov. 30, 2018	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	Nov. 29, 2018	S7-08-15	Form N-1A; Correction File Nos.: S7-08-15, S7-04-18 View Received Comments Federal Register version (83 FR 62454)
33-10577	Nov. 29, 2018	S7-08-15	Form N-1A; Correction File Nos.: S7-08-15, S7-04-18 View Received Comments Federal Register version (83 FR 62454)
33-10577	Nov. 29, 2018	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	Nov. 29, 2018	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	Nov. 6, 2018	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	Nov. 2, 2018	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	Nov. 2, 2018	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	Oct. 31, 2018	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	Oct. 31, 2018	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	Oct. 1, 2018		Adoption of Updated EDGAR Filer Manual; Correction Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A	Oct. 1, 2018		Adoption of Updated EDGAR Filer Manual; Correction Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A	Oct. 1, 2018		Adoption of Updated EDGAR Filer Manual; Correction Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A	Oct. 1, 2018		Adoption of Updated EDGAR Filer Manual; Correction Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A	Oct. 1, 2018		Adoption of Updated EDGAR Filer Manual; Correction Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A	Oct. 1, 2018		Adoption of Updated EDGAR Filer Manual; Correction Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A	Oct. 1, 2018		Adoption of Updated EDGAR Filer Manual; Correction Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A	Oct. 1, 2018		Adoption of Updated EDGAR Filer Manual; Correction Federal Register version (83 FR 57677)
33-10537, 34-83911, IA-4994, IC-33212	Aug. 22, 2018		Delegation of Authority to General Counsel of the Commission Federal Register version (83 FR 44465)
33-10537, 34-83911, IA-4994, IC-33212	Aug. 22, 2018		Delegation of Authority to General Counsel of the Commission Federal Register version (83 FR 44465)
33-10537, 34-83911, IA-4994, IC-33212	Aug. 22, 2018		Delegation of Authority to General Counsel of the Commission Federal Register version (83 FR 44465)
33-10537, 34-83911, IA-4994, IC-33212	Aug. 22, 2018		Delegation of Authority to General Counsel of the Commission Federal Register version (83 FR 44465)
34-83885	Aug. 20, 2018	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	Aug. 17, 2018	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	July 18, 2018	S7-17-18	Exempt Offerings Pursuant to Compensatory Arrangements *Comments Due:* August 23, 2018 Federal Register version (83 FR 34940)
34-83663	July 18, 2018	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	July 10, 2018		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 33119)
33-10518, 34-83614, 39-2521, IC-33153	July 10, 2018		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 33119)
33-10518, 34-83614, 39-2521, IC-33153	July 10, 2018		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 33119)
33-10518, 34-83614, 39-2521, IC-33153	July 10, 2018		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 33119)
33-10513, 34-83550	June 28, 2018	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	June 28, 2018	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	June 28, 2018	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	June 28, 2018	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	June 28, 2018	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	June 25, 2018	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	June 25, 2018	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	June 5, 2018	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	June 5, 2018	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	May 24, 2018		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	April 25, 2018		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	April 25, 2018		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	April 25, 2018		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	March 8, 2018		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 11637)
33-10467, 34-82830, 39-2520, IC-33041	March 8, 2018		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 11637)
33-10467, 34-82830, 39-2520, IC-33041	March 8, 2018		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 11637)
33-10467, 34-82830, 39-2520, IC-33041	March 8, 2018		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 11637)
33-7424A	Jan. 24, 2018		Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers Federal Register version (83 FR 4138)
IA-4839	Jan. 5, 2018	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	Jan. 5, 2018	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	S7-08-15	Investment Company Reporting Modernization View Received Comments Federal Register version (82 FR 58731)
33-10444, 34-82246, 39-2519, IC-32938	Dec. 8, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 2369)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	S7-08-15	Investment Company Reporting Modernization View Received Comments Federal Register version (82 FR 58731)
33-10444, 34-82246, 39-2519, IC-32938	Dec. 8, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 2369)
33-10444, 34-82246, 39-2519, IC-32938	Dec. 8, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 2369)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	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	Dec. 8, 2017	S7-08-15	Investment Company Reporting Modernization View Received Comments Federal Register version (82 FR 58731)
33-10444, 34-82246, 39-2519, IC-32938	Dec. 8, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (83 FR 2369)
33-10428	Oct. 24, 2017	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	Sept. 13, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 45434)
33-10413, 34-81592, 39-2518, IC-32818	Sept. 13, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 45434)
33-10413, 34-81592, 39-2518, IC-32818	Sept. 13, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 45434)
33-10413, 34-81592, 39-2518, IC-32818	Sept. 13, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 45434)
33-10385, 34-81080, 39-2517, IC-32724	July 6, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 35062)
33-10385, 34-81080, 39-2517, IC-32724	July 6, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 35062)
33-10385, 34-81080, 39-2517, IC-32724	July 6, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 35062)
33-10385, 34-81080, 39-2517, IC-32724	July 6, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 35062)
IA-4698	May 4, 2017		Technical Amendments to Form ADV and Form ADV-W Federal Register version (82 FR 21472)
33-10332, 34-80355	March 31, 2017	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	March 31, 2017	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	March 22, 2017	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	March 13, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 15993)
33-10324, 34-80182, 39-2516, IC-32527	March 13, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 15993)
33-10324, 34-80182, 39-2516, IC-32527	March 13, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 15993)
33-10324, 34-80182, 39-2516, IC-32527	March 13, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 15993)
33-10322, 34-80132	March 1, 2017	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	March 1, 2017	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	Feb. 17, 2017	S7-22-15	Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction View Received Comments Federal Register version
33-10238A, 34-79161A	Feb. 17, 2017	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	Jan. 26, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 9680)
33-10295, 34-79878, 39-2514, IC-32452	Jan. 26, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 9680)
33-10295, 34-79878, 39-2514, IC-32452	Jan. 26, 2017		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 9680)