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Release Number	SEC Issue Date	File Number	Details
33-9308, 34-66703, 39-2484	March 30, 2012	S7-22-11	Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies See Also - 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)
33-9287A, 33-9177, IA-3341A, IC-29891A	March 23, 2012	S7-04-11	Net Worth Standard for Accredited Investors Federal Register version (77 FR 18684)
33-9287A, 33-9177, IA-3341A, IC-29891A	March 23, 2012	S7-04-11	Net Worth Standard for Accredited Investors Federal Register version (77 FR 18684)
33-9287A, 33-9177, IA-3341A, IC-29891A	March 23, 2012	S7-04-11	Net Worth Standard for Accredited Investors Federal Register version (77 FR 18684)
33-9287A, 33-9177, IA-3341A, IC-29891A	March 23, 2012	S7-04-11	Net Worth Standard for Accredited Investors Federal Register version (77 FR 18684)
34-66502	March 7, 2012		Rules of Organization; Conduct and Ethics; and Information and Requests Federal Register version (77 FR 13490)
IA-3372	Feb. 15, 2012	S7-17-11	Investment Adviser Performance Compensation See Also - Proposed Rule Release No. IA-3198 Federal Register version (77 FR 10358)
34-66355	Feb. 8, 2012		Reporting Line for the Commission's Inspector General Federal Register version (77 FR 8094)
33-9295	Jan. 20, 2012	S7-31-11	Covered Securities of Bats Exchange, Inc. See Also - Proposed Rule Release No. 33-9251 Federal Register version (77 FR 3590)
33-9287, IA-3341, IC-29891, 33-9177	Dec. 21, 2011	S7-04-11	Net Worth Standard for Accredited Investors See Also - Proposed Rule Release No. 33-9177, Small Entity Compliance Guide Federal Register version (76 FR 81793)
33-9286, 34-66019	Dec. 21, 2011	S7-41-10	Mine Safety Disclosure See Also - Proposed Rule Release No. 33-9164, Small Entity Compliance Guide Federal Register version (76 FR 81761)
33-9287, IA-3341, IC-29891, 33-9177	Dec. 21, 2011	S7-04-11	Net Worth Standard for Accredited Investors See Also - Proposed Rule Release No. 33-9177, Small Entity Compliance Guide Federal Register version (76 FR 81793)
33-9286, 34-66019	Dec. 21, 2011	S7-41-10	Mine Safety Disclosure See Also - Proposed Rule Release No. 33-9164, Small Entity Compliance Guide Federal Register version (76 FR 81761)
33-9287, IA-3341, IC-29891, 33-9177	Dec. 21, 2011	S7-04-11	Net Worth Standard for Accredited Investors See Also - Proposed Rule Release No. 33-9177, Small Entity Compliance Guide Federal Register version (76 FR 81793)
33-9287, IA-3341, IC-29891, 33-9177	Dec. 21, 2011	S7-04-11	Net Worth Standard for Accredited Investors See Also - Proposed Rule Release No. 33-9177, Small Entity Compliance Guide Federal Register version (76 FR 81793)
33-9281, 34-65803, 39-2481, IC-29868	Nov. 22, 2011		Adoption of Updated EDGAR Filer Manual Federal Register version (76 FR 73506)
33-9281, 34-65803, 39-2481, IC-29868	Nov. 22, 2011		Adoption of Updated EDGAR Filer Manual Federal Register version (76 FR 73506)
33-9281, 34-65803, 39-2481, IC-29868	Nov. 22, 2011		Adoption of Updated EDGAR Filer Manual Federal Register version (76 FR 73506)
33-9281, 34-65803, 39-2481, IC-29868	Nov. 22, 2011		Adoption of Updated EDGAR Filer Manual Federal Register version (76 FR 73506)
34-65742	Nov. 14, 2011		Reporting Line for the Commission's Ethics Counsel Federal Register version (76 FR 71449)
33-9273, 34-65686, 39-2480, IA-3310, IC-29855	Nov. 4, 2011		Rescission of Outdated Rules and Forms, and Amendments To Correct References See Also - Technical Amendement Release No. 33-9273A Federal Register version (76 FR 71872)
33-9273, 34-65686, 39-2480, IA-3310, IC-29855	Nov. 4, 2011		Rescission of Outdated Rules and Forms, and Amendments To Correct References See Also - Technical Amendement Release No. 33-9273A Federal Register version (76 FR 71872)
33-9273, 34-65686, 39-2480, IA-3310, IC-29855	Nov. 4, 2011		Rescission of Outdated Rules and Forms, and Amendments To Correct References See Also - Technical Amendement Release No. 33-9273A Federal Register version (76 FR 71872)
33-9273, 34-65686, 39-2480, IA-3310, IC-29855	Nov. 4, 2011		Rescission of Outdated Rules and Forms, and Amendments To Correct References See Also - Technical Amendement Release No. 33-9273A Federal Register version (76 FR 71872)
33-9273, 34-65686, 39-2480, IA-3310, IC-29855	Nov. 4, 2011		Rescission of Outdated Rules and Forms, and Amendments To Correct References See Also - Technical Amendement Release No. 33-9273A Federal Register version (76 FR 71872)
IA-3308	Oct. 31, 2011	S7-05-11	Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF See Also - Form PF, Proposed Rule Release No. IA-3145, Small Entity Compliance Guide Federal Register version (76 FR 71127)
34-65628	Oct. 26, 2011		Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets Federal Register version (76 FR 67597)
34-65385	Sept. 23, 2011		Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer Federal Register version (76 FR 60370)
33-9259, 34-65343, IC-29788	Sept. 15, 2011	S7-10-09	Facilitating Shareholder Director Nominations See Also - FR Notice of Stay of Effective and Compliance Dates, Order Granting Stay, Proposed Rule Release No. 33-9086, Proposed Rule Release No. 33-9046, Small Entity Compliance Guide Federal Register version (76 FR 58100)
33-9259, 34-65343, IC-29788	Sept. 15, 2011	S7-10-09	Facilitating Shareholder Director Nominations See Also - FR Notice of Stay of Effective and Compliance Dates, Order Granting Stay, Proposed Rule Release No. 33-9086, Proposed Rule Release No. 33-9046, Small Entity Compliance Guide Federal Register version (76 FR 58100)
33-9259, 34-65343, IC-29788	Sept. 15, 2011	S7-10-09	Facilitating Shareholder Director Nominations See Also - FR Notice of Stay of Effective and Compliance Dates, Order Granting Stay, Proposed Rule Release No. 33-9086, Proposed Rule Release No. 33-9046, Small Entity Compliance Guide Federal Register version (76 FR 58100)
PA-47	Sept. 12, 2011	S7-19-11	Privacy Act of 1974: Implementation and Amendment of Exemptions See Also - Proposed Rule Release No. PA-45, Technical Amendment Release No. 34-62575A, Federal Register version Federal Register version (76 FR 57636)
33-9256, 34-65244, 39-2478, IC-29780	Sept. 1, 2011		Amendments To Include New Applicant Types on Form ID See Also - 2011 Federal Register version Federal Register version (76 FR 55788)
33-9256, 34-65244, 39-2478, IC-29780	Sept. 1, 2011		Amendments To Include New Applicant Types on Form ID See Also - 2011 Federal Register version Federal Register version (76 FR 55788)
33-9256, 34-65244, 39-2478, IC-29780	Sept. 1, 2011		Amendments To Include New Applicant Types on Form ID See Also - 2011 Federal Register version Federal Register version (76 FR 55788)
33-9256, 34-65244, 39-2478, IC-29780	Sept. 1, 2011		Amendments To Include New Applicant Types on Form ID See Also - 2011 Federal Register version Federal Register version (76 FR 55788)
33-9175A, 34-63741A	Aug. 25, 2011	S7-24-10	Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act See Also - Federal Register version Federal Register version (76 FR 54374)
33-9175A, 34-63741A	Aug. 25, 2011	S7-24-10	Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act See Also - Federal Register version Federal Register version (76 FR 54374)
34-65148	Aug. 17, 2011	S7-02-11	Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934 See Also - Proposed Rule Release No. 34-63652, Federal Register version Federal Register version (76 FR 52549)
33-9250, 34-65052, IC-29748	Aug. 8, 2011		Commission Rules and Forms Related to the FASB's Accounting Standards Codification See Also - 2011 Federal Register version Federal Register version (76 FR 50117)
33-9250, 34-65052, IC-29748	Aug. 8, 2011		Commission Rules and Forms Related to the FASB's Accounting Standards Codification See Also - 2011 Federal Register version Federal Register version (76 FR 50117)
33-9250, 34-65052, IC-29748	Aug. 8, 2011		Commission Rules and Forms Related to the FASB's Accounting Standards Codification See Also - 2011 Federal Register version Federal Register version (76 FR 50117)
33-9246	Aug. 1, 2011		Adoption of Updated EDGAR Filer Manual See Also - 2011 Federal Register version Federal Register version (76 FR 47438)
33-9245, 34-64975	July 27, 2011	S7-18-08	Security Ratings See Also - Federal Register version, 33-9186, 33-9069, Proposed Rule Release Nos. 33-8940 Federal Register version (76 FR 46603)
33-9245, 34-64975	July 27, 2011	S7-18-08	Security Ratings See Also - Federal Register version, 33-9186, 33-9069, Proposed Rule Release Nos. 33-8940 Federal Register version (76 FR 46603)
34-64976	July 27, 2011	S7-10-10	Large Trader Reporting See Also - Proposed Rule Release No. 34-61908, Federal Register version Federal Register version (76 FR 46959)
34-64913	July 19, 2011		Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act See Also - 2011 Federal Register version Federal Register version (76 FR 43890)
34-64778	June 30, 2011		Delegation of Authority to the Director of Its Division of Enforcement See Also - 2011 Federal Register version Federal Register version (76 FR 39769)
34-64748	June 27, 2011	S7-03-10	Risk Management Controls for Brokers or Dealers With Market Access See Also - Proposed Rule Release No. 34-61379, Federal Register version Federal Register version (76 FR 38293)
IA-3220	June 22, 2011	S7-25-10	Family Offices See Also - Proposed Rule Release No. IA-3098, Small Entity Compliance Guide, Staff Responses to Questions About the Family Office Rule, Federal Register version Federal Register version (76 FR 37983)
IA-3221	June 22, 2011	S7-36-10	Rules Implementing Amendments to the Investment Advisers Act of 1940 See Also - General Instructions, Instructions for Part 1A, Glossary of Terms, Part 1A, Form ADV Execution Pages, Form ADV-H, Form ADV-NR, Form ADV-E, Small Entity Compliance Guide, Frequently Asked Questions Regarding Mid-Sized Advisers, Proposed Rule Release No. IA-3110, Federal Register version Federal Register version (76 FR 42949)
IA-3222	June 22, 2011	S7-37-10	Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers See Also - Proposed Rule Release No. IA-3111, Federal Register version Federal Register version (76 FR 39645)
34-64649	June 13, 2011		Delegation of Authority to the Director of Its Division of Enforcement See Also - 2011 Federal Register version Federal Register version (76 FR 35348)
34-64628	June 8, 2011	S7-10-11	Beneficial Ownership Reporting Requirements and Security-Based Swaps See Also - Proposed Rule Release No. 34-64087, Federal Register version Federal Register version (76 FR 34579)
34-64545	May 25, 2011	S7-33-10	Securities Whistleblower Incentives and Protections See Also - Proposed Rule Release No. 34-63237, Federal Register version Federal Register version (76 FR 34299)
33-9208, 34-64495, IC-29670	May 13, 2011		Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts See Also - 2011 Federal Register version Federal Register version (76 FR 28888)
33-9208, 34-64495, IC-29670	May 13, 2011		Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts See Also - 2011 Federal Register version Federal Register version (76 FR 28888)
33-9208, 34-64495, IC-29670	May 13, 2011		Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts See Also - 2011 Federal Register version Federal Register version (76 FR 28888)
34-64251	April 7, 2011		Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations See Also - 2011 Federal Register version Federal Register version (76 FR 20506)
34-64172	April 4, 2011		Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission See Also - 2011 Federal Register version Federal Register version (76 FR 19901)
34-63949	Feb. 23, 2011		Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions See Also - 2011 Federal Register version Federal Register version (76 FR 11327)
33-9178, 34-63768	Jan. 25, 2011	S7-31-10	Shareholder Approval of Executive Compensation and Golden Parachute Compensation See Also - Proposed Rule Release No. 33-9153, Small Entity Compliance Guide, Federal Register version Federal Register version (76 FR 6009)
33-9178, 34-63768	Jan. 25, 2011	S7-31-10	Shareholder Approval of Executive Compensation and Golden Parachute Compensation See Also - Proposed Rule Release No. 33-9153, Small Entity Compliance Guide, Federal Register version Federal Register version (76 FR 6009)
33-9175, 34-63741	Jan. 20, 2011	S7-24-10	Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act See Also - Federal Register Version: 33-9175 (pdf 809 KB) Federal Register version (76 FR 4489)
33-9176, 34-63742	Jan. 20, 2011	S7-26-10	Issuer Review of Assets in Offerings of Asset-Backed Securities See Also - Proposed Rule Release No. 33-9150, Federal Register version Federal Register version (76 FR 4231)
33-9175, 34-63741	Jan. 20, 2011	S7-24-10	Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act See Also - Federal Register Version: 33-9175 (pdf 809 KB) Federal Register version (76 FR 4489)
33-9176, 34-63742	Jan. 20, 2011	S7-26-10	Issuer Review of Assets in Offerings of Asset-Backed Securities See Also - Proposed Rule Release No. 33-9150, Federal Register version Federal Register version (76 FR 4231)
34-63723	Jan. 14, 2011		Rules of Practice See Also - 2011 Federal Register version Federal Register version (76 FR 4066)
34-63699	Jan. 11, 2011		Delegation of Authority to the Chief Accountant See Also - 2011 Federal Register version Federal Register version (76 FR 2805)
33-9169, 34-63646, 39-2473, IC-29547	Jan. 5, 2011		Adoption of Updated EDGAR Filer Manual See Also - 2011 Federal Register version Federal Register version (76 FR 1514)
33-9169, 34-63646, 39-2473, IC-29547	Jan. 5, 2011		Adoption of Updated EDGAR Filer Manual See Also - 2011 Federal Register version Federal Register version (76 FR 1514)
33-9169, 34-63646, 39-2473, IC-29547	Jan. 5, 2011		Adoption of Updated EDGAR Filer Manual See Also - 2011 Federal Register version Federal Register version (76 FR 1514)
33-9169, 34-63646, 39-2473, IC-29547	Jan. 5, 2011		Adoption of Updated EDGAR Filer Manual See Also - 2011 Federal Register version Federal Register version (76 FR 1514)
IA-3128	Dec. 28, 2010	S7-23-07	Principal Trades with Certain Advisory Clients View Received Comments See Also - Proposed Rule Release No. IA-3118, Small Entity Compliance Guide, Federal Register version Federal Register version (75 FR 82236)
IA-3129	Dec. 28, 2010	S7-10-00	Amendments To Form ADV; Extension of Compliance Date See Also - Proposed Rule Release Nos. IA-2711, Rel. No. 34-42620, and comments, Small Entity Compliance Guide, Staff Responses to Questions About Part 2 of Form ADV, Federal Register version Federal Register version (76 FR 255)
IA-3129	Dec. 28, 2010	S7-10-00	Amendments To Form ADV; Extension of Compliance Date See Also - Proposed Rule Release Nos. IA-2711, Rel. No. 34-42620, and comments, Small Entity Compliance Guide, Staff Responses to Questions About Part 2 of Form ADV, Federal Register version Federal Register version (76 FR 255)
33-9165	Dec. 16, 2010	S7-18-10	Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities See Also - Proposed Rule Release No. 33-9137, Federal Register version Federal Register version (75 FR 80296)
34-63247	Nov. 4, 2010	S7-08-09	Regulation SHO See Also - Proposed Rule Release No. 34-60509, Proposed Rule Release No. 34-59748, Federal Register version Federal Register version (75 FR 68702)
34-63241	Nov. 3, 2010	S7-03-10	Risk Management Controls for Brokers or Dealers With Market Access See Also - Frequently Asked Questions, Proposed Rule Release No. 34-61379, Small Entity Compliance Guide, Federal Register version Federal Register version (75 FR 69791)
33-9152	Oct. 14, 2010	S7-14-08	Indexed Annuities View Received Comments See Also - Release No. 33-8976, Proposed Rule Release No. 33-8933, Federal Register version Federal Register version (75 FR 64642)
34-63087, IC-29461	Oct. 13, 2010		Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 See Also - Small Entity Compliance Guide, Federal Register version Federal Register version (75 FR 64120)
34-63087, IC-29461	Oct. 13, 2010		Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 See Also - Small Entity Compliance Guide, Federal Register version Federal Register version (75 FR 64120)
34-63049	Oct. 6, 2010		Delegation of Authority to the Director of the Division of Trading and Markets See Also - 2010 Federal Register version Federal Register version (75 FR 62466)
33-9146, 34-63003, IC-29448	Sept. 29, 2010	S7-23-10	Removal From Regulation FD of the Exemption for Credit Rating Agencies See Also - 2010 Federal Register version Federal Register version (75 FR 61050)
33-9146, 34-63003, IC-29448	Sept. 29, 2010	S7-23-10	Removal From Regulation FD of the Exemption for Credit Rating Agencies See Also - 2010 Federal Register version Federal Register version (75 FR 61050)
33-9146, 34-63003, IC-29448	Sept. 29, 2010	S7-23-10	Removal From Regulation FD of the Exemption for Credit Rating Agencies See Also - 2010 Federal Register version Federal Register version (75 FR 61050)
33-9142, 34-62914	Sept. 15, 2010		Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers See Also - 2010 Federal Register version Federal Register version (75 FR 57385)
33-9142, 34-62914	Sept. 15, 2010		Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers See Also - 2010 Federal Register version Federal Register version (75 FR 57385)
34-62921	Sept. 15, 2010		Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading See Also - 2010 Federal Register version Federal Register version (75 FR 57384)
33-9140, 34-62873, 39-2471, IC-29413	Sept. 9, 2010		Adoption of Updated EDGAR Filer Manual See Also - 2010 Federal Register version Federal Register version (75 FR 55965)
33-9140, 34-62873, 39-2471, IC-29413	Sept. 9, 2010		Adoption of Updated EDGAR Filer Manual See Also - 2010 Federal Register version Federal Register version (75 FR 55965)
33-9140, 34-62873, 39-2471, IC-29413	Sept. 9, 2010		Adoption of Updated EDGAR Filer Manual See Also - 2010 Federal Register version Federal Register version (75 FR 55965)
33-9140, 34-62873, 39-2471, IC-29413	Sept. 9, 2010		Adoption of Updated EDGAR Filer Manual See Also - 2010 Federal Register version Federal Register version (75 FR 55965)
34-62821, 34-62690	Sept. 1, 2010		Delegation of Authority to the Director of Its Division of Enforcement See Also - 2010 Federal Register version Federal Register version (75 FR 54464)
34-62821, 34-62690	Sept. 1, 2010		Delegation of Authority to the Director of Its Division of Enforcement See Also - 2010 Federal Register version Federal Register version (75 FR 54464)
34-62821, 34-62690	Sept. 1, 2010		Delegation of Authority to the Director of Its Division of Enforcement See Also - 2010 Federal Register version Federal Register version (75 FR 54464)