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Release Number:33-7032
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SEC Issue Date:
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Details: Executive Compensation Disclosure; Securityholder Lists and Mailing Requests
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Release Number:33-7959, IC-24886
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SEC Issue Date:
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File Number:
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Details: Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities
Federal Register version (66 FR 14071)
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Release Number:34-55643
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SEC Issue Date:
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File Number:
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Details: Technical Amendments to Form BD and Form BDW
See Also -
2007 Federal Register version
Federal Register version (72 FR 20223)
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Release Number:33-8961, 34-58656
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SEC Issue Date:
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File Number:
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Details: Technical Amendment to Item 407 of Regulation S-K
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2008 Federal Register version
Federal Register version (73 FR 57237)
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Release Number:34-63049
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:34-64172
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9353, 34-67747, 39-2485, IC-30185
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (77 FR 54806)
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Release Number:33-9849, 34-75242, 39-2504, IC-31680
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (80 FR 36913)
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Release Number:33-10902, 34-90637, 39-2536, IC-34137
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
Comments Due: date: Comments regarding the Form ID collection of information requirement for purposes of the Paperwork Reduction Act of 1995 should be received on or before March 1, 2021
See Also -
EDGAR Filer Manual Vol. 1 changes
Federal Register version (86 FR 7968)
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Release Number:33-4552
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SEC Issue Date:
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File Number:
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Details: Nonpublic Offering Exemption
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Release Number:33-7072, 34-34330, 35-26079, IC-20388
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SEC Issue Date:
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File Number:
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Details: Rulemaking for EDGAR System: Financial Data Schedules
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Release Number:33-7867, 34-42942, 35-27185, 39-2386, IC-24498
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (65 FR 39086)
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Release Number:33-7959, IC-24886
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SEC Issue Date:
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File Number:
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Details: Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities
Federal Register version (66 FR 14071)
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Release Number:34-44626
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SEC Issue Date:
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File Number:
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Details: Delegation of Authority to the Director of the Division of Market Regulation
Federal Register version (66 FR 40885)
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Release Number:33-8255
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
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2003 Federal Register PDF
Federal Register version (68 FR 44876)
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Release Number:33-8656, 34-53186, 35-28081, 39-2441, IC-27219
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
See Also -
2006 Federal Register version
Federal Register version (71 FR 5596)
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Release Number:34-62501
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SEC Issue Date:
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File Number:
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Details: Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules
See Also -
2010 Federal Register version
Federal Register version (75 FR 42269)
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Release Number:34-63087, IC-29461
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:34-64251
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:34-66502
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SEC Issue Date:
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File Number:
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Details: Rules of Organization; Conduct and Ethics; and Information and Requests
Federal Register version (77 FR 13490)
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Release Number:33-9364, 34-67978, 39-2486, IC-30227
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (77 FR 62431)
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Release Number:34-69979
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SEC Issue Date:
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File Number:
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Details: Rescission of Supervised Investment Bank Holding Company Rules
Federal Register version (78 FR 42863)
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Release Number:33-10095, 34-78044, 39-2510, IC-32145
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (81 FR 43047)
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Release Number:33-10518, 34-83614, 39-2521, IC-33153
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 33119)
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Release Number:IA-5454
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SEC Issue Date:
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File Number:
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Details: Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
Federal Register version (85 FR 13734)
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Release Number:33-10845, 34-89920, 39-2533, IC-34015
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (85 FR 69499)
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Release Number:33-11159, 34-96959, 39-2548
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SEC Issue Date:
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File Number:
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Details: Extending Form 144 EDGAR Filing Hours
Federal Register version (88 FR 12205)
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Release Number:34-11742
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SEC Issue Date:
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File Number:
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Details: Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating to the Registration Of Municipal Securities Brokers and Dealers Under Section 15 of the Act; and Delegation of Authority to the Staff of The Commission
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Release Number:33-7539
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (63 FR 29104)
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Release Number:33-7999
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (66 FR 42941)
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Release Number:34-46418
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SEC Issue Date:
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File Number:
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Details: Delegation of Authority to the General Counsel of the Commission
Federal Register version (67 FR 56219)
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Release Number:33-8255
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
See Also -
2003 Federal Register PDF
Federal Register version (68 FR 44876)
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Release Number:33-9058, 34-60390, 39-2466, IC-28838 Dates:
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
See Also -
2009. Federal Register version
Federal Register version (74 FR 38523)
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Release Number:34-62520
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SEC Issue Date:
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File Number:
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Details: Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
See Also -
2010 Federal Register version
Federal Register version (75 FR 42599)
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Release Number:33-9208, 34-64495, IC-29670
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SEC Issue Date:
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File Number:
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Details: Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
See Also -
2011 Federal Register version
Federal Register version (76 FR 28888)
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Release Number:33-9256, 34-65244, 39-2478, IC-29780
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SEC Issue Date:
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File Number:
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Details: Amendments To Include New Applicant Types on Form ID
See Also -
2011 Federal Register version
Federal Register version (76 FR 55788)
|
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Release Number:33-9433, 34-70040, 39-2491, IC-30629
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (78 FR 46256)
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Release Number:33-9874, 34-75586, 39-2505, IC-31735
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (80 FR 51123)
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Release Number:33-10265, 34-79519, 39-2513, IC-32387
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 7645)
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Release Number:33-10585, 34-84825, 39-2524, IC-33324
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 66100)
|
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Release Number:33-11168, 34-97161, 39-2549, IC-34860
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Federal Register version
|
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Release Number:33-11277, 34-99752, 39-2554, IC-35155
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SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version
|
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Release Number:34-13636
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SEC Issue Date:
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File Number:
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Details: Regulation of Transfer Agents
|
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Release Number:34-37159
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SEC Issue Date:
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File Number:
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Details: Delegation of Authority to Director of Division of Enforcement
Federal Register version (61 FR 20721)
|
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Release Number:33-7479, 33-7371
|
SEC Issue Date:
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File Number:
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Details: Technical Revisions to the Rules and Forms Regulating Money Market Funds
See Also -
is available
Federal Register version (62 FR 64968) Note: Additional material (the illustration \"'Look-Through' to Secondary ABSs Under the Rule's ABS Issuer Diversification Standards\") is available
|
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Release Number:34-44691
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SEC Issue Date:
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File Number:
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Details: Delegation of Authority to the Director of the Division of Market Regulation
Federal Register version (66 FR 43719)
|
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Release Number:34-45371
|
SEC Issue Date:
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File Number:
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Details: Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act
Federal Register version (67 FR 5199)
|
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Release Number:34-62575
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SEC Issue Date:
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File Number:
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Details: Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P
See Also -
Technical Amendment Release No. 34-62575A, Federal Register version
Federal Register version (75 FR 47444)
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Release Number:34-70049
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SEC Issue Date:
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File Number:
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Details: Delegation of Authority to Director of the Division of Enforcement
Federal Register version (78 FR 46498)
|
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Release Number:33-10444, 34-82246, 39-2519, IC-32938
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 2369)
|
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Release Number:33-10913, 34-90787, IA-5656, IC-34151
|
SEC Issue Date:
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File Number:
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Details: Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
Federal Register version (86 FR 9436)
|
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Release Number:33-11082, 34-95274, 39-2545, IC-34649
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (87 FR 42960) Note: This replaces the version initially issued on June 21, 2022.) (Conformed to Federal Register version)
|
|
Release Number:34-16443
|
SEC Issue Date:
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File Number:
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Details: Securities Position Listing Rule
|
|
Release Number:34-35548
|
SEC Issue Date:
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File Number:
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Details: Establishment of Commission Quorum Requirement
Federal Register version (60 FR 17201)
|
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Release Number:33-7351, 34-37774, 35-26585, 39-2343, IC-22257
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (61 FR 52283)
|
|
Release Number:33-7424
|
SEC Issue Date:
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File Number:
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Details: Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers
Federal Register version (62 FR 35338)
|
|
Release Number:33-8568, 34-51558, 35-27959, IC-26833, FR-74
|
SEC Issue Date:
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File Number:
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Details: Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment
See Also -
2005 Federal Register PDF
Federal Register version (70 FR 20717)
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Release Number:34-57877
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SEC Issue Date:
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File Number:
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Details: Regional Office Reorganization
See Also -
2008 Federal Register version
Federal Register version (73 FR 32221)
|
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Release Number:33-9013, 34-59536, 39-2463, IC-28642
|
SEC Issue Date:
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File Number:
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Details: Attaching Authenticating Documents to Online Form ID Applications
See Also -
2009 Federal Register version
Federal Register version (74 FR 10836)
|
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Release Number:33-9303, 34-66654, 39-2483, IC-30008
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (77 FR 19077)
|
|
Release Number:34-73229
|
SEC Issue Date:
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File Number:
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Details: Delegation of Authority to the Chief Financial Officer
Federal Register version (79 FR 59104)
|
|
Release Number:34-19860
|
SEC Issue Date:
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File Number:
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Details: Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents
|
|
Release Number:33-8071
|
SEC Issue Date:
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File Number:
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Details: Approved Information Collections
Federal Register version (67 FR 14634)
|
|
Release Number:33-8267
|
SEC Issue Date:
|
File Number:
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Details: Adoption of Filing Fee Account Rule
See Also -
2003 Federal Register PDF
Federal Register version (68 FR 50953)
|
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Release Number:33-8573, 34-51710, 35-27970, 39-2436, IC-26872
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
See Also -
2005 Federal Register PDF
Federal Register version (70 FR 30899)
|
|
Release Number:IA-2504
|
SEC Issue Date:
|
File Number:
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Details: Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E
See Also -
2006 Federal Register version
Federal Register version (71 FR 17344)
|
|
Release Number:34-54867
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SEC Issue Date:
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File Number:
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Details: Delegation of Authority to Chief Administrative Law Judge
See Also -
2007 Federal Register version
Federal Register version (71 FR 71037)
|
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Release Number:33-8922, 34-57888, 39-2454, IC-28292
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
See Also -
2008 Federal Register version
Federal Register version (73 FR 33002)
|
|
Release Number:34-60448
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SEC Issue Date:
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File Number:
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Details: Delegation of Authority to Director of Division of Enforcement
See Also -
2009 Federal Register version
Federal Register version (74 FR 40068)
|
|
Release Number:34-64649
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SEC Issue Date:
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File Number:
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Details: Delegation of Authority to the Director of Its Division of Enforcement
See Also -
2011 Federal Register version
Federal Register version (76 FR 35348)
|
|
Release Number:34-65385
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SEC Issue Date:
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File Number:
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Details: Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer
Federal Register version (76 FR 60370)
|
|
Release Number:33-9668, 34-73390, 39-2498, IC-312941
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (79 FR 64311)
|
|
Release Number:33-9911, 34-75918, 39-2506, IC-31823
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (80 FR 59578)
|
|
Release Number:33-10276, 34-79749, IA-4599, IC-32414
|
SEC Issue Date:
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File Number:
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Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (82 FR 5367)
|
|
Release Number:33-10935, 34-91352, 39-2538, IC-34226
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual, Form ID Amendments
See Also -
EDGAR Filer Manual Vol. 1 changes
Federal Register version (86 FR 25803)
|
|
Release Number:34-97478
|
SEC Issue Date:
|
File Number:
|
Details: Technical Amendments to Form BD and Form BDW
|
|
Release Number:34-20581
|
SEC Issue Date:
|
File Number:
|
Details: Processing of Tender Offers within the National Clearance and SettlementSystem
|
|
Release Number:33-7495
|
SEC Issue Date:
|
File Number:
|
Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (63 FR 3462)
|
|
Release Number:33-8255A
|
SEC Issue Date:
|
File Number:
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Details: Adoption of Updated EDGAR Filer Manual
See Also -
IC-26103A Federal Register PDF
Federal Register version (68 FR 53289)
|
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Release Number:34-53755
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SEC Issue Date:
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File Number:
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Details: Description of Duties of the General Counsel
See Also -
2006 Federal Register version
Federal Register version (71 FR 27385)
|
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Release Number:33-8926, 34-57914, 39-2456, IC-28296
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
See Also -
2008 Federal Register version
Federal Register version (73 FR 33298)
|
|
Release Number:33-9022, 34-59728, 39-2464, IC-28691
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
See Also -
Federal Register version
Federal Register version (74 FR 17595)
|
|
Release Number:34-65628
|
SEC Issue Date:
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File Number:
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Details: Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
Federal Register version (76 FR 67597)
|
|
Release Number:33-10295, 34-79878, 39-2514, IC-32452
|
SEC Issue Date:
|
File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 9680)
|
|
Release Number:33-7424A
|
SEC Issue Date:
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File Number:
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Details: Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
Federal Register version (83 FR 4138)
|
|
Release Number:33-10537, 34-83911, IA-4994, IC-33212
|
SEC Issue Date:
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File Number:
|
Details: Delegation of Authority to General Counsel of the Commission
Federal Register version (83 FR 44465)
|
|
Release Number:33-10948, 34-92216, 39-2539, IC-34304
|
SEC Issue Date:
|
File Number:
|
Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (86 FR 40308)
|
|
Release Number:34-22172
|
SEC Issue Date:
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File Number:
|
Details: The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as that term is defined in the Securities Exchange Act of 1934.
|
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Release Number:34-37893
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SEC Issue Date:
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File Number:
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Details: Delegation of Authority to the General Counsel
Federal Register version (61 FR 56891)
|
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Release Number:33-7394, 34-38319, 35-26672, 39-2346, IC-22522
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
See Also -
see related notice
Federal Register version (62 FR 8877)
|
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Release Number:34-44079
|
SEC Issue Date:
|
File Number:
|
Details: Delegation of Authority to the Director of the Division of Market Regulation
Federal Register version (66 FR 15791)
|
|
Release Number:34-49973, IC-26493
|
SEC Issue Date:
|
File Number:
|
Details: Delegations of Authority to the Director of the Division of Market Regulation, the Director of the Division of Investment Management and the Director of the Office of Compliance Inspections and Examinations
See Also -
2004 Federal Register PDF
Federal Register version (69 FR 41936)
|
|
Release Number:33-8612, 34-52477, 35-28033, 39-2439, IC-27070
|
SEC Issue Date:
|
File Number:
|
Details: Adoption of Updated EDGAR Filer Manual
See Also -
2005. Federal Register PDF
Federal Register version (70 FR 57130)
|
|
Release Number:34-58938
|
SEC Issue Date:
|
File Number:
|
Details: Delegation of Authority to the Director of the Office of Compliance Inspections and Examinations and the Secretary of the Commission
See Also -
2008 Federal Register version
Federal Register version (73 FR 69531)
|
|
Release Number:33-9026, 34-59775, FR-79
|
SEC Issue Date:
|
File Number:
|
Details: Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies
See Also -
Federal Register version
Federal Register version (74 FR 18611)
|
|
Release Number:34-62690, 34-62821
|
SEC Issue Date:
|
File Number:
|
Details: Delegation of Authority to the Director of Its Division of Enforcement
See Also -
2010 Federal Register version
Federal Register version (75 FR 49820)
|
|
Release Number:33-9457, 34-70497, 39-2492, IC-30722
|
SEC Issue Date:
|
File Number:
|
Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (78 FR 60684)
|
|
Release Number:33-10467, 34-82830, 39-2520, IC-33041
|
SEC Issue Date:
|
File Number:
|
Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 11637)
|
|
Release Number:33-10566A, 34-84325A, 39-2522A, IC-33261A
|
SEC Issue Date:
|
File Number:
|
Details: Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
|
|
Release Number:33-10615, 34-85296, 39-2525, IC-33398
|
SEC Issue Date:
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File Number:
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Details: Adoption of Updated EDGAR Filer Manual
Federal Register version (84 FR 12073)
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