33-9692, 34-73868, 39-2499, IC-31383
Dec. 17, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 76878)
34-73639, 34-69606
Nov. 19, 2014
S7-01-13
Regulation Systems Compliance and Integrity View Received Comments Staff Guidance on Current SCI Industry Standards , Proposed Rule Release No. 34-69077 Federal Register version (79 FR 72251)
34-73639, 34-69606
Nov. 19, 2014
S7-01-13
Regulation Systems Compliance and Integrity View Received Comments Staff Guidance on Current SCI Industry Standards , Proposed Rule Release No. 34-69077 Federal Register version (79 FR 72251)
34-73407
Oct. 22, 2014
S7-14-11
Credit Risk Retention View Received Comments Background Data Analysis on Credit Risk Retention , Proposed Rule Release Nos. 34-70277 , 34-64603 , Credit Risk Retention Federal Register version (79 FR 77602)
33-9668, 34-73390, 39-2498, IC-312941
Oct. 20, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 64311)
33-9668, 34-73390, 39-2498, IC-312941
Oct. 20, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 64311)
33-9668, 34-73390, 39-2498, IC-312941
Oct. 20, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 64311)
33-9668, 34-73390, 39-2498, IC-312941
Oct. 20, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 64311)
34-73229
Sept. 26, 2014
Delegation of Authority to the Chief Financial Officer Federal Register version (79 FR 59104)
33-9638, 34-72982
Sept. 4, 2014
S7-08-10
Asset-Backed Securities Disclosure and Registration View Received Comments Proposed Rule Release Nos. 33-9552 , 33-9244 , and 33-9117 , Release No. 33-9638A Federal Register version (79 FR 58674)
33-9638, 34-72982
Sept. 4, 2014
S7-08-10
Asset-Backed Securities Disclosure and Registration View Received Comments Proposed Rule Release Nos. 33-9552 , 33-9244 , and 33-9117 , Release No. 33-9638A Federal Register version (79 FR 58674)
34-72936
Aug. 27, 2014
S7-18-11
Nationally Recognized Statistical Rating Organizations View Received Comments Proposed Rule Release No. 34-64514 , Release No. 34-72936A , Small Entity Compliance Guide Federal Register version (79 FR 55077)
33-9616
July 23, 2014
S7-03-13
Money Market Fund Reform; Amendments to Form PF View Received Comments Rule 2a-7 Amendments Adopted by SEC in July 2014 Marked to Show Changes from Previous Rule 2a-7 , Proposed Rule Release No. 33-9408 , 2014 Money Market Fund Reform Frequently Asked Questions , Valuation Guidance Frequently Asked Questions Federal Register version (79 FR 47735)
34-72472
June 25, 2014
S7-02-13
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication View Received Comments Proposed Rule Release No. 34-69490 Federal Register version (79 FR 48975)
33-9600, 34-72394, 39-2497, IC-31081
June 20, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 35280)
33-9600, 34-72394, 39-2497, IC-31081
June 20, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 35280)
33-9600, 34-72394, 39-2497, IC-31081
June 20, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 35280)
33-9600, 34-72394, 39-2497, IC-31081
June 20, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 35280)
33-9554, 34-71643, 39-2496, IC-30972
March 4, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 13216)
33-9554, 34-71643, 39-2496, IC-30972
March 4, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 13216)
33-9554, 34-71643, 39-2496, IC-30972
March 4, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 13216)
33-9554, 34-71643, 39-2496, IC-30972
March 4, 2014
Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 13216)
34-71288
Jan. 13, 2014
S7-45-10
Registration of Municipal Advisors; Temporary Stay of Final Rule View Received Comments Extension of Temporary Registration of Municipal Advisors , Proposed Rule Release No. 34-63576 , Small Entity Compliance Guide Federal Register version (79 FR 2777)
34-71238
Jan. 6, 2014
Responsibilities of the General Counsel Federal Register version (79 FR 1734)
33-9506
Dec. 27, 2013
S7-7-11
Removal of Certain References to Credit Ratings Under the Investment Company Act View Received Comments Small Entity Compliance Guide , Proposed Rule Release No. 33-9193 Federal Register version (79 FR 1316)
34-71194
Dec. 27, 2013
S7-15-11
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 View Received Comments Release No. 34-71194A , Proposed Rule Release No. 34-64352 Federal Register version (79 FR 1521)
33-9503, IC-30845
Dec. 24, 2013
Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans Federal Register version (78 FR 79298)
33-9503, IC-30845
Dec. 24, 2013
Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans Federal Register version (78 FR 79298)
BHCA-1
Dec. 10, 2013
S7-41-11
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Proposed Rule Release Nos. 34-66057 , 34-65545 Federal Register version (79 FR 5535)
33-9457, 34-70497, 39-2492, IC-30722
Sept. 25, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 60684)
33-9457, 34-70497, 39-2492, IC-30722
Sept. 25, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 60684)
33-9457, 34-70497, 39-2492, IC-30722
Sept. 25, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 60684)
33-9457, 34-70497, 39-2492, IC-30722
Sept. 25, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 60684)
34-70642
Sept. 20, 2013
S7-45-10
Registration of Municipal Advisors (Corrected to conform to Federal Register version) View Received Comments Small Entity Compliance Guide , Extension of Temporary Registration of Municipal Advisors , Proposed Rule Release No. 34-63576 , 34-71288.pdf
34-70072, 34-66910
July 30, 2013
S7-08-07
Financial Responsibility Rules for Broker-Dealers Small Entity Compliance Guide , Exemptive Order Release No. 34-70701 , Proposed Rule Release Nos. 34-55431 , 34-55777 , 34-66901 , Frequently Asked Questions Federal Register version (78 FR 51823)
34-70072, 34-66910
July 30, 2013
S7-08-07
Financial Responsibility Rules for Broker-Dealers Small Entity Compliance Guide , Exemptive Order Release No. 34-70701 , Proposed Rule Release Nos. 34-55431 , 34-55777 , 34-66901 , Frequently Asked Questions Federal Register version (78 FR 51823)
34-70073
July 30, 2013
S7-23-11
Broker-Dealer Reports Frequently Asked Questions , Small Entity Compliance Guide , Proposed Rule Release No. 34-64676 Federal Register version (78 FR 51909)
34-70049
July 26, 2013
Delegation of Authority to Director of the Division of Enforcement Federal Register version (78 FR 46498)
33-9433, 34-70040, 39-2491, IC-30629
July 25, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 46256)
33-9433, 34-70040, 39-2491, IC-30629
July 25, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 46256)
33-9433, 34-70040, 39-2491, IC-30629
July 25, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 46256)
33-9433, 34-70040, 39-2491, IC-30629
July 25, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 46256)
34-69979
July 12, 2013
Rescission of Supervised Investment Bank Holding Company Rules Federal Register version (78 FR 42863)
34-69964
July 11, 2013
S7-30-11
Retail Foreign Exchange Transactions View Received Comments Interim Final Temporary Rule Release No. 34-64874 , Release No. 34-67405 , Release No. 34-67405A Federal Register version (78 FR 42439)
34-69964
July 11, 2013
S7-30-11
Retail Foreign Exchange Transactions View Received Comments Interim Final Temporary Rule Release No. 34-64874 , Release No. 34-67405 , Release No. 34-67405A Federal Register version (78 FR 42439)
33-9415, 34-69959, IA-3624
July 10, 2013
S7-07-12
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings Small Entity Compliance Guide , Proposed Rule Release No. 33-9354 Federal Register version (78 FR 44771)
33-9415, 34-69959, IA-3624
July 10, 2013
S7-07-12
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings Small Entity Compliance Guide , Proposed Rule Release No. 33-9354 Federal Register version (78 FR 44771)
33-9415, 34-69959, IA-3624
July 10, 2013
S7-07-12
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings Small Entity Compliance Guide , Proposed Rule Release No. 33-9354 Federal Register version (78 FR 44771)
33-9414
July 10, 2013
S7-21-11
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings Small Entity Compliance Guide , Proposed Rule Release No. 33-9211 Federal Register version (78 FR 44729)
33-9403, 34-69568, 39-2490, IC-30515
May 14, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 29616)
33-9403, 34-69568, 39-2490, IC-30515
May 14, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 29616)
33-9403, 34-69568, 39-2490, IC-30515
May 14, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 29616)
33-9403, 34-69568, 39-2490, IC-30515
May 14, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 29616)
34-69359, IA-3582, IC-30456
April 10, 2013
S7-02-12
Identity Theft Red Flags Rules Small Entity Compliance Guide , Proposed Rule Release No. IC-29969 Federal Register version (78 FR 23637)
34-69359, IA-3582, IC-30456
April 10, 2013
S7-02-12
Identity Theft Red Flags Rules Small Entity Compliance Guide , Proposed Rule Release No. IC-29969 Federal Register version (78 FR 23637)
34-69359, IA-3582, IC-30456
April 10, 2013
S7-02-12
Identity Theft Red Flags Rules Small Entity Compliance Guide , Proposed Rule Release No. IC-29969 Federal Register version (78 FR 23637)
34-69284
April 3, 2013
S7-29-11
Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies Interim Final Temporary Rule Release No. 34-64832 Federal Register version (78 FR 21046)
34-68668
Jan. 16, 2013
S7-11-11
Lost Securityholders and Unresponsive Payees Proposed Rule Release No. 34-64099 Federal Register version (78 FR 4768)
33-9382, 34-68644, 39-2488, IC-30348
Jan. 14, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 4766)
33-9382, 34-68644, 39-2488, IC-30348
Jan. 14, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 4766)
33-9382, 34-68644, 39-2488, IC-30348
Jan. 14, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 4766)
33-9382, 34-68644, 39-2488, IC-30348
Jan. 14, 2013
Adoption of Updated EDGAR Filer Manual Federal Register version (78 FR 4766)
IA-3522
Dec. 20, 2012
S7-23-07
Temporary Rule Regarding Principal Trades With Certain Advisory Clients View Received Comments Proposed Rule Release Nos. IA-3483 , Proposed Rule Release No. IA-3118 , Small Entity Compliance Guide Federal Register version (77 FR 76854)
34-68357
Dec. 5, 2012
S7-44-10
Extension of Dates for Certain Requirements and Amendment of Form 19b-4 34-68357A , Final Rule Release No. 34-67286A , Proposed Rule Release No. 34-63557 Federal Register version (77 FR 73302)
34-68357
Dec. 5, 2012
S7-44-10
Extension of Dates for Certain Requirements and Amendment of Form 19b-4 34-68357A , Final Rule Release No. 34-67286A , Proposed Rule Release No. 34-63557 Federal Register version (77 FR 73302)
34-67717A
Nov. 23, 2012
S7-42-10
Disclosure of Payments by Resource Extraction Issuers
IC-30268
Nov. 19, 2012
S7-07-11
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption View Received Comments Proposed Rule Release No. 33-9193 , and Small Entity Compliance Guide Federal Register version (77 FR 70117)
IC-30268
Nov. 19, 2012
S7-07-11
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption View Received Comments Proposed Rule Release No. 33-9193 , and Small Entity Compliance Guide Federal Register version (77 FR 70117)
34-68080
Oct. 22, 2012
S7-08-11
Clearing Agency Standards View Received Comments Proposed Rule Release Nos. 34-64017 , Security-Based Swaps Implementation Policy Statement Federal Register version (77 FR 66219)
33-9364, 34-67978, 39-2486, IC-30227
Oct. 4, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 62431)
33-9364, 34-67978, 39-2486, IC-30227
Oct. 4, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 62431)
33-9364, 34-67978, 39-2486, IC-30227
Oct. 4, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 62431)
33-9364, 34-67978, 39-2486, IC-30227
Oct. 4, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 62431)
33-9353, 34-67747, 39-2485, IC-30185
Aug. 30, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 54806)
33-9353, 34-67747, 39-2485, IC-30185
Aug. 30, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 54806)
33-9353, 34-67747, 39-2485, IC-30185
Aug. 30, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 54806)
33-9353, 34-67747, 39-2485, IC-30185
Aug. 30, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 54806)
34-67717
Aug. 22, 2012
S7-42-10
Disclosure of Payments by Resource Extraction Issuers Release No. 34-67717A , Proposed Rule Release Nos. 34-63549 , 34-63795 , Motion for Stay and Related Materials , Comments on Motion for Stay , Order Denying Stay , Court Decision Dismissing Petition , Court Decision Vacating Rule , and Small Entity Compliance Guide Federal Register version (77 FR 56365)
34-67716
Aug. 22, 2012
S7-40-10
Conflict Minerals Proposed Rule Release Nos. 34-63547 , and 34-63793 , Small Entity Compliance Guide , District Court Decision Upholding Rule , Notice of Appeal , and Remanding , Statement of the Division of Corporation Finance on the Conflict Minerals Decision , and Order Issuing Stay , Notice of Meeting Rule: SEC Issued Version Federal Register version (77 FR 56273)
34-67457
July 18, 2012
S7-11-10
Consolidated Audit Trail Proposed Rule Release No. 34-62174 Federal Register version (77 FR 45721)
33-9338, 34-67453, 33-9681, 34-74936
July 18, 2012
S7-16-11
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Proposed Rule Release No. 33-9204 Federal Register version (77 FR 48207)
33-9338, 34-67453, 33-9681, 34-74936
July 18, 2012
S7-16-11
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Proposed Rule Release No. 33-9204 Federal Register version (77 FR 48207)
33-9338, 34-67453, 33-9681, 34-74936
July 18, 2012
S7-16-11
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Proposed Rule Release No. 33-9204 Federal Register version (77 FR 48207)
33-9338, 34-67453, 33-9681, 34-74936
July 18, 2012
S7-16-11
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Proposed Rule Release No. 33-9204 Federal Register version (77 FR 48207)
33-9337, 34-67432
July 13, 2012
Securities Act Industry Guides Federal Register version (77 FR 42175)
33-9337, 34-67432
July 13, 2012
Securities Act Industry Guides Federal Register version (77 FR 42175)
34-67286
June 28, 2012
S7-44-10
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations Final Rule Release No. 34-67286A , Proposed Rule Release No. 34-63557 Federal Register version (77 FR 41601)
34-67286
June 28, 2012
S7-44-10
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations Final Rule Release No. 34-67286A , Proposed Rule Release No. 34-63557 Federal Register version (77 FR 41601)
33-9330, 34-67220
June 20, 2012
S7-13-11
Listing Standards for Compensation Committees Proposed Rule Release Nos. 33-9203 , and 33-9199 , Small Entity Compliance Guide Federal Register version (77 FR 39390)
33-9330, 34-67220
June 20, 2012
S7-13-11
Listing Standards for Compensation Committees Proposed Rule Release Nos. 33-9203 , and 33-9199 , Small Entity Compliance Guide Federal Register version (77 FR 39390)
IA-3418
June 8, 2012
S7-18-09
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date Proposed Rule Release No. IA-2910 , Small Entity Compliance Guide , Staff Responses to Questions About the Pay to Play Rule Federal Register version (77 FR 35263)
IA-3403
May 8, 2012
S7-36-10
Political Contributions by Certain Investment Advisers Proposed Rule Release No. IA-3110 Federal Register version (77 FR 28476)
34-66868
April 27, 2012
S7-39-10
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant" Corrections of Typographical Errors in Original Release , Proposed Rule Release No. 34-63452 , Security-Based Swaps Implementation Policy Statement Federal Register version (77 FR 30595)
33-9308, 34-66703, 39-2484
March 30, 2012
S7-22-11
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies Proposed Rule Release No. 33-9222 Federal Register version (77 FR 20536)
33-9308, 34-66703, 39-2484
March 30, 2012
S7-22-11
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies Proposed Rule Release No. 33-9222 Federal Register version (77 FR 20536)
33-9308, 34-66703, 39-2484
March 30, 2012
S7-22-11
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies Proposed Rule Release No. 33-9222 Federal Register version (77 FR 20536)
33-9303, 34-66654, 39-2483, IC-30008
March 26, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 19077)
33-9303, 34-66654, 39-2483, IC-30008
March 26, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 19077)
33-9303, 34-66654, 39-2483, IC-30008
March 26, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 19077)
33-9303, 34-66654, 39-2483, IC-30008
March 26, 2012
Adoption of Updated EDGAR Filer Manual Federal Register version (77 FR 19077)
