SEC Final Rules
Final rules currently available include:
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
2020 | 2019 | 2018 | 2017 |2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994-1962
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| 34-90667 | Dec. 16, 2020 | Exemption from the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
File No.: S7-08-11 Effective Date: 60 days after date of publication in the Federal Register See Also: Press Release No. 2020-320, Proposed Rule Release No. 34-64017; Reopening of comment periods Release No. 34-69491; Final Rule Release No. 34-68080 |
| 34-90679 | Dec. 16, 2020 | Disclosure of Payments by Resource Extraction Issuers
File No.: S7-24-19 Effective Date: 60 days after date of publication in the Federal Register See Also: Press Release No. 2020-318, Proposed Rule Release No. 34-87783 |
| 33-10902 | Dec. 11, 2020 | Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
Other Release Nos.: 34-90637; 39-2536, IC-34137 Effective Date: Date of publication in the Federal Register 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 60 days after date of publication in the Federal Register. See Also: EDGAR Filer Manual Vol. 1 changes |
| 33-10901 | Dec. 11, 2020 | Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Other Rel. Nos.: 34-90636; 39-2535; IC-34136 File No.: S7-11-20 Effective Date: Date of publication in the Federal Register See Also: Proposed Rule Rel. No. 33-10821 |
| 33-10900 | Dec. 10, 2020 | Delegation of Authority to Director of the Division of Enforcement
Other Rel. Nos.: 34-90623; IA-5644; IC-34134 Effective Date: Date of publication in the Federal Register |
| 34-90610 | Dec. 9, 2020 | Market Data Infrastructure
Effective Date: 60 days after publication in the Federal Register Compliance Date: The applicable compliance dates are discussed in Section III.H, titled "Transition Period and Compliance Dates." File No.: S7-03-20 See Also: Press Release No. 2020-311, Proposed Rule Rel. No. 34-88216 |
| IC-34128 | Dec. 3, 2020 | Good Faith Determinations of Fair Value
Effective Date: 60 days after publication in the Federal Register Compliance Date: The applicable compliance dates are discussed in section II.G of this rule. File No.: S7-07-20 See Also: Press Release No. 2020-302, Proposed Rules Rel. No. IC-33845 |
| 33-10890 | Nov. 19, 2020 | Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Other Rel. Nos.: 34-90459; IC-34100 Effective Date: 30 days after publication in the Federal Register Compliance Date: See Section II.F for further information on transitioning to the final rules. File No.: S7-01-20 See Also: Press Release No. 2020-290, Proposed Rules Rel. No. 33-10750 |
| 34-90442 | Nov. 17, 2020 | Amendments to the Commission's Rules of Practice
Effective Date: The final rules are effective 30 days after publication in the Federal Register, except Instruction 8 which is effective July 12, 2021. Compliance Date: April 12, 2021 File No.: S7-19-15 See Also: Press Release No. 2020-286, Proposed Rules Rel. No. 34-75977 |
| 33-10889 | Nov. 17, 2020 | Electronic Signatures in Regulation S-T Rule 302 (Conformed to Federal Register version)
Other Rel. Nos.: 34-90441; 39-2534; IC-34096 Effective Date: December 4, 2020 See Also: Press Release No. 2020-286; EDGAR Filer Manual Vol. 2 changes Federal Register version (85 FR 78224) |
| IC-34084 | Nov. 2, 2020 | Use of Derivatives by Registered Investment Companies and Business Development Companies (Note: This replaces the version initially issued on October 28, 2020.) Effective Date: 60 days after publication in the Federal Register File No.: S7-24-15 See Also: Press Release No. 2020-269, Proposed Rules Rel. No. 34-87607 and IC-31933 |
| 33-10844 | Nov. 2, 2020 | Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Effective Date: 60 days after publication in the Federal Register Other Rel. Nos.: 34-90300, IC-34082 File No.: S7-05-20 See Also: Press Release No. 2020-273, Proposed Rules Rel. No. 33-10763 |
| 34-90244 | Oct. 22, 2020 | Customer Margin Rules Relating to Security Futures (Conformed to Federal Register version)
Effective Date: December 24, 2020 File No.: S7-09-19 See Also: Press Release No. 2020-264, Proposed Rule Rel. No. 34-86304 Federal Register version (85 FR 75112) |
| 33-10876 | Oct. 16, 2020 | Qualifications of Accountants
Effective Date: 180 days after publication in the Federal Register Compliance Date: See Section II.G for further information on transitioning to the final amendments. File No.: S7-26-19 Other Release No.: 34-90210; FR-88; IA-5613; IC-34052 See Also: Proposed Rule Rel. No. 33-10738 |
| 33-10871 | Oct. 7, 2020 | Fund of Funds Arrangements (Conformed to Federal Register version)
Effective Date: January 19, 2021 File No.: S7-27-18 Other Release No.: IC-34045 See Also: Small Entity Compliance Guide, Press Release No. 2020-247, Proposed Rule Rel. No. 33-10590 Federal Register version (85 FR 73924) |
| Third Quarter | ||
| 34-89964 | Sep. 23, 2020 | Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8
Effective Date: Jan. 4, 2021 File No.: S7-23-19 See Also: Press Release No. 2020-220, Proposed Rule Rel. No. 34-87458 Federal Register version (85 FR 70240) |
| 34-89963 | Sep. 23, 2020 | Whistleblower Program Rules (Conformed to Federal Register version)
Effective Date: December 7, 2020 File No.: S7-16-18 See Also: Press Release No. 2020-219, Proposed Rule Rel. No. 34-83557 Federal Register version (85 FR 70898) |
| 33-10845 | Sep. 18, 2020 | Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Other Release Nos.: 34-89920; 39-2533; IC-34015 Effective Date: November 3, 2020 Federal Register version (85 FR 69499) |
| 33-10842 | Sep. 16, 2020 | Publication or Submission of Quotations Without Specified Information
Effective Date: December 28, 2020 File No.: S7-14-19 Other Release No.: 34-89891 See Also: Press Release No. 2020-212, Proposed Rule Rel. No. 34-87115 Federal Register version (85 FR 68124) |
| 33-10835 | Sep. 11, 2020 | Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Effective Date: November 16, 2020 File No.: S7-02-17 Other Release No.: 34-89835 See Also: Press Release No. 2020-205, Proposed Rule Rel. No. 33-10688 and Request for Comment Rel. No. 33-10321 Federal Register version (85 FR 66108) |
| 33-10825 | Aug. 26, 2020 | Modernization of Regulation S-K Items 101, 103, and 105 (Conformed to Federal Register version)
Effective Date: November 9, 2020 File No.: S7-11-19 Other Release No.: 34-89670 See Also: Proposed Rule Rel. No. 33-10668; Small Entity Compliance Guide Federal Register version (85 FR 63726) |
| 33-10824 | Aug. 26, 2020 | Accredited Investor Definition (Conformed to Federal Register version)
Effective Date: December 8, 2020 File No.: S7-25-19 See Also: Proposed Rule Rel. No. 33-10734; Order Rel. No. 33-10823 (Conformed to Federal Register version [85 FR 64234]); and Small Entity Compliance Guide Federal Register version (85 FR 64234) |
| 34-89618 | Aug. 19, 2020 | Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments (Conformed to Federal Register version)
Effective Date: November 16, 2020 File No.: S7-15-19 See Also: Proposed Rule Rel. No. 34-87193 Federal Register version (85 FR 65470) |
| 34-89394 | Jul. 24, 2020 | Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Effective Date: October 30, 2020 File No.: S7-02-16 See Also: Proposed Rule Rel. No. 34-77157 Federal Register version (85 FR 53645) |
| 34-89372 | Jul. 22, 2020 | Exemptions from the Proxy Rules for Proxy Voting Advice (Conformed to Federal Register version)
Effective Date: November 2, 2020 File No.: S7-22-19 See Also: Supplemental Guidance Rel. No. IA-5547; Proposed Rule Rel. No. 34-87457; Small Entity Compliance Guide Federal Register version (85 FR 55082) |
| IC-33921 | Jul. 6, 2020 | Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 (Conformed to Federal Register version)
Effective Date: June 14, 2021 File No.: S7-19-19 See Also: Proposed Rule Rel. No. IC-33658; Small Entity Compliance Guide Federal Register version (85 FR 57089) |
| Second Quarter | ||
| BHCA-9 | Jun. 25, 2020 | Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Effective Date: October 1, 2020 File No.: S7-02-20 See Also: Proposed Rule Rel. No. BHCA-8; Correction, Rel. No. BHCA-9A Federal Register version (85 FR 46422) |
| 33-10786 | May 20, 2020 | Amendments to Financial Disclosures about Acquired and Disposed Businesses (Conformed to Federal Register version)
Effective Date: January 1, 2021 Other Release Nos.: 34-88914; IC-33872 File No.: S7-05-19 See Also: Proposed Rule Rel. No. 33-10635; Technical Correction, Rel. No. 33-10762A Federal Register version (85 FR 54002) |
| 34-88890 | May 15, 2020 | Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Effective Date: June 22, 2020 File No.: S7-07-19 See Also: Proposed Rule Rel. No. 34-78963 Federal Register version (85 FR 31322) |
| 34-88616 | Apr. 9, 2020 | Definition of "Covered Clearing Agency" (Conformed to Federal Register version)
Effective Date: July 13, 2020 File No.: S7-23-16 See Also: Proposed Rule Rel. No. 34-78963 Federal Register version (85 FR 28853) |
| 33-10771 | Apr. 8, 2020 | Securities Offering Reform for Closed-End Investment Companies (Conformed to Federal Register version)
Effective Date: Effective as defined in the rule Other Release Nos.: 34–88606; IC–33836 File No.: S7-03-19 See Also: Final Rule Correction, Rel No. 33-10771A (Conformed to Federal Register version); Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10619 Form N-2 (effective as defined in the rule) Federal Register version (85 FR 33290) |
| First Quarter | ||
| 34-88365 | Mar. 12, 2020 | Accelerated Filer and Large Accelerated Filer Definitions (Conformed to Federal Register version)
Effective Date: April 27, 2020 File No.: S7-06-19 See Also: Small Entity Compliance Guide; Correction to the Final Rule; Proposed Rule Rel. No. 34-85814 Federal Register version (85 FR 17178) |
| 33-10765 | Mar. 11, 2020 | Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (Conformed to Federal Register version)
Other Release No.: 34-88358; IC-33814 Effective Date: July 1, 2020 except as defined in the rule File No.: S7-23-18 Federal Register version (85 FR 25964) See Also: Proposed Rule Rel. No. 33-10569; Technical Correction, Rel. No. 33-10765A (Conformed to Federal Register version; dated June 10, 2020; effective date July, 1, 2020) Form N-3 (effective as defined in the rule) Form N-4 (effective as defined in the rule) Form N-6 (effective as defined in the rule) |
| 33-10762 | Mar. 2, 2020 | Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities (Conformed to Federal Register version) Other Release No.: 34-88307 Effective Date: January 4, 2021 File No.: S7-19-18 See also: Technical Correction, Rel. No. 33-10762A and Small Entity Compliance Guide Federal Register version (85 FR 21940) |
| IA-5454 | Mar. 2, 2020 | Exemptions from Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies (Conformed to Federal Register version)
Effective Date: March 10, 2020 Federal Register version (85 FR 13734) |
| 33-10757 | Feb. 19, 2020 | Delegation of Authority to the General Counsel of the Commission
Other Release Nos.: 34-88245; IA-5446; IC-33802 Effective Date: March 2, 2020 Federal Register version (85 FR 12221) |
| 33-10749 | Jan. 27, 2020 | Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-88040; 39-2530; IC-33792 Effective Date: February 19, 2020 Federal Register version (85 FR 9365) |