SEC Final Rules

Final rules currently available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

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
33-9692	Dec. 17, 2014	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-73868; 39-2499; IC-31383 Effective Date:  December 23, 2014 Federal Register (79 FR 76878): HTML | PDF | text | XML
IA-3984	Dec. 17, 2014	Temporary Rule Regarding Principal Trades With Certain Advisory Clients File No.: S7-23-07 Effective Date: The amendments in this document are effective December 30, 2014 and the expiration date for 17 CFR 275.206(3)-3T is extended to December 31, 2016. See also: Interim Final Temporary Rule Release No. IA-2653; Proposed Rule Release Nos. IA-3893, IA-3483, and IA-3118; Final Rule Release Nos. IA-3522, IA-3128, IA-2965, IA-2965a; Small Entity Compliance Guide Federal Register (79 FR 76880): HTML | PDF | text | XML
34-73639	Nov. 19, 2014	Regulation Systems Compliance and Integrity (Corrected to conform to Federal Register version) File No.: S7-01-13 Effective Date: February 3, 2015 Compliance Date: see Section IV.F of this release. See also: Final Rule Correction Release No. 34-73639A; Staff Guidance on Current SCI Industry Standards; Proposed Rule Release No. 34-69077 Federal Register (79 FR 72251): HTML | PDF | text | XML
34-73407	Oct. 22, 2014	Credit Risk Retention File No.: S7-14-11 Effective Date: One year after the date of publication in the Federal Register with respect to asset-backed securities collateralized by residential mortgages and two years after the date of publication in the Federal Register with respect to all other classes of asset-backed securities. See also:  Division of Economic and Risk Analysis White Paper: Qualified Residential Mortgage: Background Data Analysis on Credit Risk Retention; Proposed Rule Release Nos. 34-70277, 34-64603 and 34-64148; Comments received Federal Register (79 FR 77601): HTML | PDF | Text | XML
33-9668	Oct. 20, 2014	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-73390; 39-2498; IC-312941 Effective Date:  October 29, 2014 Federal Register (79 FR 64311): HTML | PDF | text | XML
Third Quarter
34-73229	Sep. 26, 2014	Delegation of Authority to the Chief Financial Officer Effective Date:  September 29, 2014 Federal Register (79 FR 59104): HTML | PDF | text | XML
33-9638	Sep. 4, 2014	Asset-Backed Securities Disclosure and Registration Other Release No.: 34-72982 File No.: S7-08-10 Effective Date:  November 24, 2014 See also:  Proposed Rule Release Nos. 33-9552, 33-9244 and 33-9117, Final Rule Correction, Release No. 33-9638A, Federal Register Version - 33-9638A (79 FR 66607), Federal Register Correction (79 FR 58674), Technical Amendment Release No. 33-9720, Comments received Federal Register (79 FR 57184): HTML | PDF | Text | XML
34-72936	Aug. 27, 2014	Nationally Recognized Statistical Rating Organizations (Updated to include Federal Register corrections dated 10/14/14) File No.: S7-18-11 Effective Date:  The amendments to existing rules are effective November 14, 2014; except that the amendments to § 240.17g-3(a)(7) and (b)(2) and Form NRSRO are effective on January 1, 2015; and the amendments to § 240.17g-2(a)(9), (b)(13), (b)(14), and (b)(15), § 240.17g-5(a)(3)(iii)(E), (c)(6), (c)(7), and (c)(8), § 240.17g-7(a) and (b), and Form ABS-15G are effective June 15, 2015. New rules § 240.15Ga-2, § 240.17g-8, § 240.17g-9, § 240.17g-10, and Form ABS Due Diligence-15E are effective June 15, 2015. See also:  Proposed Rule Release No. 34-64514; Correction, Release No. 34-72936A [Federal Register verson (79 FR 61576)]; Small Entity Compliance Guide Federal Register (79 FR 55077): HTML | PDF | text | XML
33-9616	Jul. 23, 2014	Money Market Fund Reform; Amendments to Form PF (Corrected to conform to Federal Register version) File No.: S7-03-13 Effective Date:  October 14, 2014 Compliance Dates:  see section III.N. of Release See also:  Rule 2a-7 Amendments Adopted by SEC in July 2014 Marked to Show Changes from Previous Rule 2a-7; Proposed Rule Release No. 33-9408; 2014 Money Market Fund Reform Frequently Asked Questions; Valuation Guidance Frequently Asked Questions Federal Register (79 FR 47736): HTML | PDF | text | XML
Second Quarter
34-72472	Jun. 25, 2014	Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities File No.: S7-02-13 Effective Date:  September 8, 2014 See also:  Proposed Rule Release No. 34-69490 Federal Register (79 FR 47277): HTML | PDF | text | XML
33-9600	Jun. 20, 2014	Adoption of Updated EDGAR Filer Manual Other Release No.: 34-72394; 39-2497; IC-31081 Effective Date:  June 20, 2014 Federal Register (79 FR 35280): HTML | PDF | text | XML
First Quarter
33-9554	Mar. 4, 2014	Adoption of Updated EDGAR Filer Manual Other Release No.: 34-71643; 39-2496; IC-30972 Effective Date:  March 10, 2014 Federal Register (79 FR 13216): HTML | PDF | text | XML
34-71288	Jan. 13, 2014	Temporary Stay of Final Rule on Registration of Municipal Advisors (Corrected to conform to Federal Register version) Effective Date:  Effective January 13, 2014, 17 CFR 240.15Ba1-1 through 15Ba1-8 and 240.15Bc4-1 and 17 CFR 249.1300, 249.1310, 249.1320, and 249.1330 are stayed until July 1, 2014. File No.: S7-45-10 See also:  Final Rule Release No. 34-70462; Interim Temporary Final Rule Release No. 34-70468, Extension of Temporary Registration of Municipal Advisors; Proposed Rule Release No. 34-63576; Small Entity Compliance Guide Federal Register (79 FR 2777): HTML | PDF | text | XML
34-71238	Jan. 6, 2014	Responsibilities of the General Counsel Effective Date:  January 10, 2014 Federal Register (79 FR 1734): HTML | PDF | text | XML

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