SEC Final Rules: 2013

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Release No.	Date	Details
Fourth Quarter
34-71194	Dec. 27, 2013	Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 File No.: S7-15-11 Effective Date:  July 7, 2014 See also:  Correction, Release No. 34-71194A; Proposed Rule Release No. 34-64352; and comments Federal Register (79 FR 1521): HTML | PDF | text | XML
33-9506	Dec. 27, 2013	Removal of Certain References to Credit Ratings Under the Investment Company Act File No.: S7-07-11 Effective Date:  February 7, 2014 Compliance Date:  July 7, 2014 See also:  Small Entity Compliance Guide; Proposed Rule Release No. 33-9193; and comments Federal Register (79 FR 1316): HTML | PDF | text | XML
33-9503	Dec. 24, 2013	Technical amendments; Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans Other Release No.: IC-30845 Effective Date:  December 30, 2013 Federal Register (78 FR 79298): HTML | PDF | text | XML
BHCA-1	Dec. 10, 2013	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds File No.: S7-41-11 Effective Date:  April 1, 2014 See also:  Proposed Rule Release Nos. 34-66057; 34-65545; and comments Federal Register (79 FR 5535): HTML | PDF | text | XML
Third Quarter
33-9457	Sep. 25, 2013	Adoption of Updated EDGAR Filer Manual Other Release No.: 34-70497; 39-2492; IC-30722 Effective Date:  October 2, 2013 Federal Register (78 FR 60684): HTML | PDF | text | XML
34-70462	Sep. 20, 2013	Registration of Municipal Advisors (Corrected to conform to Federal Register version) File No.: S7-45-10 Effective Date:  January 13, 2014 Compliance Date:  The applicable compliance dates are discussed in the section of the release titled "V. Implementation and Compliance Dates". See also:  Small Entity Compliance Guide; Interim Temporary Final Rule Release No. 34-70468, Extension of Temporary Registration of Municipal Advisors; Proposed Rule Release No. 34-63576 Federal Register (78 FR 67467): HTML | PDF | text | XML
34-70073	Jul. 30, 2013	Broker-Dealer Reports (Corrected to conform to Federal Register Version) File No.: S7-23-11 Effective Date:  June 1, 2014, except the amendment to § 240.17a–5(e)(5) is effective October 21, 2013 and the amendments to § 240.17a–5(a) and (d)(6) and § 249.639 are effective December 31, 2013. See also:  Frequently Asked Questions; Small Entity Compliance Guide; Proposed Rule Release No. 34-64676; and comments Federal Register (78 FR 51909): HTML | PDF | text | XML
34-70072	Jul. 30, 2013	Financial Responsibility Rules for Broker-Dealers File No.: S7-08-07 Effective Date:  October 21, 2013 See also:  Small Entity Compliance Guide; Exemptive Order Release No. 34-70701; Proposed Rule Release Nos. 34-55431; 34-55777 (extension of comment period); 34-66901 (reopening of comment period); Frequently Asked Questions; and comments Federal Register (78 FR 51823): HTML | PDF | text | XML
34-70049	Jul. 26, 2013	Delegation of Authority to Director of the Division of Enforcement Effective Date:  August 1, 2013 Federal Register (78 FR 46498): HTML | PDF | text | XML
33-9433	Jul. 25, 2013	Adoption of Updated EDGAR Filer Manual Other Release No.: 34-70040, 39-2491, IC-30629 Effective Date:  July 31, 2013 Federal Register (78 FR 46256): HTML | PDF | text | XML
34-69979	Jul. 12, 2013	Rescission of Supervised Investment Bank Holding Company Rules Effective Date:  July 18, 2013 Federal Register (78 FR 42863): HTML | PDF | text | XML
34-69964	Jul. 11, 2013	Retail Foreign Exchange Transactions (Corrected to Conform to the Federal Register Version) File No.: S7-30-11 Effective Date:  July 16, 2013; the expiration date of Rule 15b12-1 (17 CFR 240.15b12-1) is July 31, 2016. See also:  Interim Final Temporary Rule Release No. 34-64874; Extension, Release No. 34-67405; and Correction, Release No. 34-67405A; and Notice of Expiration, Release No. 34-77874 Federal Register (78 FR 42439): HTML | PDF | text | XML
33-9415	Jul. 10, 2013	Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings (Corrected to Conform to the Federal Register Version) Other Release No.: 34-69959; IA-3624 File No.: S7-07-12 Effective Date: September 23, 2013 See also:  Small Entity Compliance Guide; Proposed Rule Release No. 33-9354 Federal Register (78 FR 44771): HTML | PDF | text | XML
33-9414	Jul. 10, 2013	Disqualification of Felons and Other "Bad Actors" from Rule 506 Offerings (Corrected to Conform to the Federal Register Version) File No.: S7-21-11 Effective Date: September 23, 2013 Comment Date: August 23, 2013 See also:  Small Entity Compliance Guide; Proposed Rule Release No. 33-9211 Federal Register (78 FR 44729): HTML | PDF | text | XML
Second Quarter
33-9403	May 14, 2013	Adoption of Updated EDGAR Filer Manual Other Release No.: 34-69568; 39-2490; IC-30515 Effective Date:  May 21, 2013 Federal Register (78 FR 29616): HTML | PDF | text | XML
34-69359	Apr. 10, 2013	Identity Theft Red Flags Rules (Joint Final Rules and Guidelines) Other Release Nos.: IA-3582, IC-30456 File No.: S7-02-12 Effective Date:  May 20, 2013 Compliance Date:  November 20, 2013 See also:  Small Entity Compliance Guide; Proposed Rule Release No. IC-29969 Federal Register (78 FR 23637): HTML | PDF | text | XML
34-69284	Apr. 3, 2013	Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies File No.: S7-29-11 Effective Date:  June 10, 2013 See also:  Interim Final Temporary Rule Release No. 34-64832 Federal Register (78 FR 21046): HTML | PDF | text | XML
First Quarter
33-9387	Feb. 27, 2013	Adjustments to Civil Monetary Penalty Amounts Other Release Nos.: 34-68994; IA-3557; IC-30408 Effective Date:  March 5, 2013 Federal Register (78 FR 14179): HTML | PDF | text | XML
34-68668	Jan. 16, 2013	Lost Securityholders and Unresponsive Payees File No.: S7-11-11 Effective Date:  March 25, 2013 Compliance Date:  January 23, 2014 See also:  Proposed Rule Release No. 34-64099 and Comments Federal Register (78 FR 4768): HTML | PDF | text | XML
33-9382	Jan. 14, 2013	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-68644; 39-2488; IC-30348 Effective Date:  January 23, 2013 Federal Register (78 FR 4766): HTML | PDF | text | XML

http://www.sec.gov/rules/final/finalarchive/finalarchive2013.shtml