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SEC Final Rules: 2002
Archive of older SEC Final Rules available include:
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Additional Archives
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| Release No. |
Date |
Details |
| Fourth Quarter |
| 33-8171 |
Dec. 23, 2002 |
Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
Release No.: 34-47082
File No.: S7-29-02
Effective Date: January 2, 2003
See also: Proposed Rule Rel. No. 33-8114 and comments
|
| 34-47013 |
Dec. 17, 2002 |
Repeal of the Trade-Through Disclosure Rules for Options
File No.: S7-18-02
Effective Date: December 27, 2002
See also: Proposed Rule Rel. No. 34-46002 and comments
|
| IA-2091 |
Dec. 12, 2002 |
Exemption for Certain Investment Advisers Operating Through the Internet
File No.: S7-10-02
Effective Date: January 20, 2003
See also: Proposed Rule Rel. No. IA-2028 and comments
|
| 33-8147 |
Nov. 13, 2002 |
Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts
Release No.: IC-25802;
File No.: S7-07-02
Effective Date: December 23, 2002.
Compliance Dates:
Initial Compliance Date: Form N-4 or Form N-6 on or after January 1, 2003.
Final Compliance Date: Form N-4 or N-6 filed on or after January 1, 2003, and no later than January 1, 2004.
See also: Proposed Rule Rel. No. 33-8087 and comments
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| 34-46667 |
Oct. 16, 2002 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: October 23, 2002 |
| Third Quarter |
| 34-46473 |
Sept. 9, 2002 |
Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
File No.: S7-17-01
Effective Date: September 13, 2002, except § 240.17a-4(l) and (m) will be effective May 2, 2003.
See also: Proposed Rules, Rel. Nos. 34-44996, 34-44854 and comments
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| 34-46471 |
Sept. 6, 2002 |
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
File No.: S7-19-02
Effective Date: October 15, 2002
Compliance Dates: October 15, 2002 and June 1, 2003. Section V of this document contains more information on transition prior to June 1, 2003.
See also: Proposed Rule Rel. No. 34-46014 and comments
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| 33-8128 |
Sept. 5, 2002 |
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
File No.: S7-08-02
Effective Date: November 15, 2002.
Compliance Dates: See release.
Release Nos.: 34-46464; FR-63
See also: Technical Amendments to Final Rule Release No. 33-8128;
Proposed Rule Rel. No. 33-8089 and comments
|
| 33-8124 |
Aug. 29, 2002 |
Certification of Disclosure in Companies' Quarterly and Annual Reports
File No.: S7-21-02
Effective Date: August 29, 2002
Comment Date: Comments on the extension of the certification requirement to definitive proxy and information statements should be received on or before 30 days after publication in the Federal Register.
Release Nos.: 34-46427, IC-25722
See also: Revised statement by the Division of Corporation Finance regarding compliance by asset-backed issuers with Exchange Act Rules 13a-14 and 15d-14 and Release No. 34-46441, IC-25723, "Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms;"
Proposed Rules, Rel. Nos. 33-8109, 34-46079 and comments
|
| 34-46421 |
Aug. 27, 2002 |
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
File No.: S7-31-02
Effective Date: August 29, 2002
Comment Date: Comments on the amended rules must be received on or before September 30, 2002.
Release Nos.: 34-46421; 35-27563; IC-25720
See also: Release. No. 34-46313 and comments
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| 34-46418 |
Aug. 27, 2002 |
Delegation of Authority to the General Counsel of the Commission
Effective Date: September 3, 2002 |
| 34-46292 |
Aug. 1, 2002 |
Customer Margin Rules Relating to Security Futures
File No.: S7-16-01
Effective Date: September 13, 2002
See also: Proposed Rules, Rel. Nos. 34-44996, 34-44853 and comments
|
| IC-25666 |
July 18, 2002 |
Investment Company Mergers
File No.: S7-21-01
Effective Date: July 25, 2002.
Compliance Date: October 25, 2002. See Section II of this document for more information.
See also: Proposed Rule Rel. No. IC-25259 and comments
|
| 34-46169 |
July 8, 2002 |
Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
File No.: S7-14-02
Effective Date: August 12, 2002
See also Proposed Rule, Rel. No. 34-45854 and comments
|
| Second Quarter |
| 34-46106 |
June 24, 2002 |
Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act
Release No.: IC-25621
Effective Date: July 8, 2002 |
| 34-45956 |
May 17, 2002 |
Cash Settlement and Regulatory Halt Regulations for Security Futures Products
File No.: S7-15-01
Effective Date: June 24, 2002
See also Proposed Rule, Rel. No. 34-44743 and comments
|
| 33-8099 |
May 14, 2002 |
Mandated EDGAR Filing for Foreign Issuers
File No.: S7-18-01
Effective Date: November 4, 2002, except for §232.101(d), §232.101(b)(10), and §232.101(c)(9), which are effective May 24, 2002.
Comments Due: Comments are due on or before June 24, 2002.
See also Proposed Rule, Rel. No. 33-8016 and comments
|
| IC-25560 |
Apr. 30, 2002 |
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
File No.: S7-20-00
Effective Date: May 10, 2002
See also Proposed Rule, Rel. No. IC-24775 and comments
|
| 34-45848 |
April 30, 2002 |
Delegation of Authority to the Secretary of the Commission
Effective Date: May 6, 2002. |
| 33-8091 |
Apr. 17, 2002 |
Amendment to Definition of "Equity Security"
File No.: S7-11-02
Effective Date: Effective June 7, 2002.
Comment Date: Comments must be received on or before May 23, 2002. |
| 33-8088 |
Apr. 12, 2002 |
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies
File No.: S7-9-98
Effective Date: June 1, 2002
Release Nos.: 33-8088; IC-25522 |
| First Quarter |
| 33-8071 |
Mar. 20, 2002 |
Approved Information Collections
Effective Date: March 27, 2002
Release Nos.: 34-45601 35-27505; 39-2396; IC-25471; and IA-2021 |
| 33-8070 |
Mar. 18, 2002 |
Requirements for Arthur Andersen LLP Auditing Clients
File No.: S7-03-02
Effective Date: March 18, 2002, except Temporary Notes 1T, 2T and 3T preceding § 210.3-01; § 228.304T; Temporary Notes 1T and 2T in § 228.310; §§ 228.601T, 229.304T, 229.601T, 230.427T; Instruction 2T following paragraph (b)(2)(iv) in § 230.428; and the amendments to Form 20-F will be effective from March 18, 2002 to December 31, 2002. |
| 34-45371 |
Jan. 31, 2002 |
Exemption of Transactions in Certain Options and Futures on Security Indexes from Section 31 of the Exchange Act
Effective Date: February 1, 2002 |
| 34-45291 |
Jan. 16, 2002 |
Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees
File No.: S7-02-02
Effective Date: January 16, 2002 |
http://www.sec.gov/rules/final/finalarchive/finalarchive2002.shtml
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