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SEC Final Rules: 2004
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Release No. |
Date |
Details |
Fourth Quarter |
33-8518 |
Dec. 22, 2004 |
Asset-Backed Securities
File No.: S7-21-04
Effective Date: March 8, 2005
Compliance Date: see release
Comments Due: Comments should be received on or before March 8, 2005.
Federal Register PDF
Click to submit comments on S7-21-04
See also Technical Amendments, Rel. No. 33-8518A; Proposed Rule, Rel. No. 33-8419; comments
|
IA-2333 |
Dec. 2, 2004 |
Registration Under the Advisers Act of Certain Hedge Fund Advisers
File No.: S7-30-04
Effective Date: see release
Compliance Date: see release
Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins
Federal Register PDF
See also: Proposed Rule, Rel. No. IA-2266;
comments;
Transcript of the Commission's Open Meeting on this item;
Notice of OMB Approval of Collection of Information |
34-50781 |
Dec. 2, 2004 |
Disposal of Consumer Report Information
File No.: S7-33-04
Effective Date: January 11, 2005
Compliance Date: see release
Federal Register PDF
See also Proposed Rule, Rel. No. 34-50361; comments
|
34-50758A |
Dec. 7, 2004 |
Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries
Note: Corrected to conform to Federal Register version
File No.: S7-24-04
Effective Date: March 7, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. 34-49804; correction; and comments
|
33-8507 |
Nov. 17, 2004 |
Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates
Other Release No.: 34-50684
File No.: S7-32-04
Effective Date: December 23, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8477; comments
Summary of Comments on this proposal
|
34-50486 |
Oct. 4, 2004 |
Proposed Rule Changes of Self-Regulatory Organizations
File No.: S7-18-04
Effective Date: November 8, 2004, except �0.11Aa3-2(b)(8) and �0.19b-4(m), shall be effective May 9, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. 34-49505; comments
|
Third Quarter |
IC-26591 |
Sep. 2, 2004 |
Prohibition on the Use of Brokerage Commissions to Finance Distribution
File No.: S7-09-04
Effective Date: October 14, 2004
Compliance Date: December 13, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. IC-26356; comments
|
34-50295 |
Aug. 31, 2004 |
Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products
File No.: S7-34-02
Effective Date: October 7, 2004
Compliance Date: See Section II.I. of this release.
Federal Register PDF
See also Proposed Rule, Rel. No. 34-46492; comments
|
33-8458 |
Aug. 23, 2004 |
Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
Other Release Nos.: 34-50227; IC-26533
File No.: S7-12-04
Effective Date: Oct. 1, 2004
Compliance Date: See Section II.I. of this release.
Comments Due: Comments should be received on or before October 1, 2004
Federal Register PDF
Click to submit comments on S7-12-04
See also Proposed Rule, Rel. No. 33-8396; comments
Notice of OMB Approval of Collection of Information |
33-8454 |
Aug. 6, 2004 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-50160; 35-27881; 39-2424; IC-26525
Effective Date: August 23, 2004
Federal Register PDF
|
33-8393A |
Aug. 9, 2004 |
Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies; Technical Amendment
Other Release Nos.: 34-49333A; IC-26372A
File No.: S7-51-02
Effective Date: August 12, 2004
Federal Register PDF
See also Final Rule, Rel. No. 33-8393
|
33-8400A |
Aug. 4, 2004 |
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date; Correction
Other Release No.: 34-49424A
File No.: S7-22-04
Effective Date: August 23, 2004
Federal Register PDF
|
34-50103 |
Jul. 28, 2004 |
Short Sales
File No.: S7-23-03
Effective Date: see release
Compliance Date: see release
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48709; comments;
Pilot Order;
Additional Pilot Order
Order Extending Pilot Term
|
IC-26520 |
Jul. 27, 2004 |
Investment Company Governance
File No.: S7-03-04
Effective Date: September 7, 2004.
Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins
Federal Register PDF
See also Proposed Rule, Rel. No. IC-26323; comments;
Response to Request for Stay;
Staff Study: Exemptive Rule Amendments of 2004: The Independent Chair Condition;
Letter from Commissioners Glassman and Atkins
Court of Appeals Decision
Letters in Response to Court Decision
Commission Response to Remand by Court of Appeals (Rel. No. IC-26985, June 30, 2005)
Federal Register PDF
Concurring Views of Chairman Donaldson
Concurring Views of Commissioner Goldschmid
Concurring Views of Commissioner Campos
Dissent of Commissioner Glassman
Dissent of Commissioner Atkins
Commission Order on Stay Request (Rel. No. IC-26989, July 15, 2005)
|
33-8442 |
Jul. 14, 2004 |
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-17-04
Effective Date: August 19, 2004
Federal Register PDF |
34-49973 |
Jul. 7, 2004 |
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
Other Release No.: IC-26493
Effective Date: July 13, 2004
Federal Register PDF
|
IA-2256 |
Jul. 2, 2004 |
Investment Adviser Codes of Ethics
File No.: S7-04-04
Effective Date: August 31, 2004
Compliance Date: Feburary 1, 2005 (see extension indicated in Release No. IA-2333, footnote 274)
Federal Register PDF
See also Proposed Rule, Rel. No. IA-2209; and comments
|
Second Quarter |
34-49928 |
Jun. 28, 2004 |
Collection Practices under Section 31 of the Exchange Act
File No.: S7-05-04
Effective Date: August 6, 2004, except � 240.31T is effective August 6, 2004 to January 1, 2005
Compliance Date: see release
Federal Register PDF
See also Proposed Rule, Rel. No. 34-49104; and comments
Notice of OMB Approval of Collection of Information
Comments Due: Comments should be received on or before August 6, 2004
Click to submit comments on S7-05-04
|
33-8433 |
Jun. 23, 2004 |
Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies
Other Release Nos.: 34-49909; IC-26486
File No.: S7-08-04
Effective Date: August 5, 2004, except that the amendments to Item 12 of Form N-1A, Item 18 of Form N-2, and Item 20 of Form N-33 are effective January 31, 2006
Compliance Date: see release
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8364; and comments
|
34-49831 |
Jun. 8, 2004 |
Supervised Investment Bank Holding Companies
File No.: S7-22-03
Effective Date: August 20, 2004.
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48694; and comments
Note: Correct version posted June 14, 2004.
|
34-49830 |
Jun. 8, 2004 |
Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
File No.: S7-21-03
Effective Date: August 20, 2004.
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48690; and comments
|
33-8427 |
Jun. 7, 2004 |
Disclosure of Breakpoint Discounts by Mutual Funds
Other Release Nos.: 34-49817; IC-26464
File No.: S7-28-03
Effective Date: July 23, 2004
Compliance Date: See Release, esp. Section II.G.
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8347; and comments
Notice of OMB Approval of Collections of Information
|
34-49616 |
Apr. 26, 2004 |
Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k)
Release No.: 34-49616
File No.: S7-15-03
Effective Date: April 30, 2004, except that § 249.220f is effective June 1, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48481; and comments
|
33-8410 |
Apr. 21, 2004 |
Mandated Electronic Filing for Form ID
Release No.: 34-49585, 35-27837, 39-2420, IC-26241
File No.: S7-14-04
Effective Date: April 26, 2004
Federal Register PDF
See also Correction;
Proposed Rule, Rel. No. 33-8399; and comments
|
33-8409 |
Apr. 19, 2004 |
Adoption of Updated EDGAR Filer Manual
Release No.: 34-49580; 35-27836; 39-2419; IC-26420
Effective Date: April 26, 2004
Federal Register PDF |
33-8408 |
Apr. 19, 2004 |
Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
Release No.: 33-8408
File No.: S7-26-03
Effective Date: May 28, 2004
Federal Register PDF
|
34-49562 |
Apr. 14, 2004 |
Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company Transactions
Release No.: 34-49562
Effective Date: May 20, 2004
Federal Register PDF
|
First Quarter |
33-8400 |
Mar. 16, 2004 |
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
Release No.: 34-49424
File No.: S7-22-02
Effective Date: August 23, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8106 and comments
Amended Rule
|
34-49412 |
Mar. 12, 2004 |
Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission
File No.: S7-25-03
Effective Date: April 19, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48832 and comments
|
33-8393 |
Feb. 27, 2004 |
Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
Release Nos.: 33-8393; 34-49333; IC-26372
File No.: S7-51-02
Effective Date: May 10, 2004
Compliance Dates: See release
Federal Register PDF
See also: Proposed Rule, Rel. No. IC-25870; comments; and summary of comments
Technical Amendment
|
33-8392 |
Feb. 24, 2004 |
Management's Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Release Nos.: 34-49313; IC-26357
File Nos.: S7-40-02; S7-06-03
Effective Date: August 14, 2004
Compliance Dates: See release
Federal Register PDF
See also |
34-49259 |
Feb. 17, 2004 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: February 19, 2004
Federal Register PDF |
http://www.sec.gov/rules/final/finalarchive/finalarchive2004.shtml
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