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SEC Final Rules
Final rules currently available include:
Second Quarter | First Quarter
Additional Archives
2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994-1962
| Release No. |
Date |
Details |
| Second Quarter |
| IA-3403 |
May 9, 2012 |
Technical Amendment to Rule 206(4)-5: Political Contributions by Certain Investment Advisers
File No.: S7-36-10
Effective Date: Date of Publication in the Federal Register
See also: Proposed Rule Release No. IA-3110; Final Rule Release No. IA-3221 |
| 34-66868 |
Apr. 27, 2012 |
Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant.”
File No.: S7-39-10
Effective Date: 60 Days after Date of Publication in the Federal Register
See also: Proposed Rule Release No. 34-63452
Federal Register (77 FR xxxx): HTML | PDF | text | XML |
| First Quarter |
| 33-9308 |
Mar. 30, 2012 |
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Other Release No.: 34-66703; 39-2484
File No.: S7-22-11
Effective Date: April 16, 2012
See also: Proposed Rule Release No. 33-9222
Federal Register (77 FR 20536): HTML | PDF | text | XML
|
| 33-9303 |
Mar. 26, 2012 |
Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-66654, 39-2483, IC-30008
Effective Date: March 30, 2012
Federal Register (77 FR 19077): HTML | PDF | text | XML
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| 33-9287A |
Mar. 23, 2012 |
Net Worth Standard for Accredited Investors (Technical amendment)
Other Release No.: IA-3341A; IC-29891A
File No.: S7-04-11
Effective Date: March 28, 2012
See also: Final Rule Release No. 33-9287
Federal Register (77 FR 18684): HTML | PDF | text | XML
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| 34-66502 |
Mar. 7, 2012 |
Rules of Organization; Conduct and Ethics; and Information and Requests
Effective Date: March 7, 2012
Federal Register (77 FR 13490): HTML | PDF | text | XML
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| IA-3372 |
Feb. 15, 2012 |
Investment Adviser Performance Compensation
File No.: S7-17-11
Effective Date: May 22, 2012
See also: Proposed Rule Release No. IA-3198
Federal Register (77 FR 10358): HTML | PDF | text | XML
|
| 34-66355 |
Feb. 8, 2012 |
Reporting Line for the Commission’s Inspector General
Effective Date: February 14, 2012
Federal Register (77 FR 8094):
HTML | PDF | text | XML |
| 33-9295 |
Jan. 20, 2012 |
Covered Securities of BATS Exchange, Inc. [Corrected]
File No.: S7-31-11
Effective Date: February 24, 2012
Comment Due Date:
See also: Proposed Rule Release No. 33-9251
Federal Register (77 FR 3590):
HTML | PDF | text | XML |
http://www.sec.gov/rules/final.shtml
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