SEC Final Rules Archive: 2018
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
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| Release No. | Date | Details |
|---|---|---|
| 33-10593 | Dec. 20, 2018 | Disclosure of Hedging by Employees, Officers and Directors (Conformed to Federal Register version)
File No: S7-01-15 Effective Date: March 8, 2019 Compliance Dates: see release See also: Small Entity Compliance Guide; Proposed Rule Rel. No. 33-9723 Federal Register version (84 FR 2402) |
| 34-84875 | Dec. 19, 2018 | Transaction Fee Pilot for NMS Stocks (Conformed to Federal Register version)
File No.: S7-05-18 Effective Date: April 22, 2019 See also:
|
| 33-10591 | Dec. 19, 2018 | Amendments to Regulation A (Conformed to Federal Register version)
File No.: S7-29-18 Effective Date: Date of publication in the Federal Register Comments Due: 30 days after publication in the Federal Register Comments received are available Federal Register version (84 FR 520) |
| 34-84858 | Dec. 19, 2018 | Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or be Involved in Effecting Security-Based Swaps (Conformed to Federal Register version)
File No.: S7-14-15 Effective Date: April 22, 2019 See also: Proposed Rule Rel. No. 34-75612 Federal Register version (84 FR 4906) |
| 33-10585 | Dec. 14, 2018 | Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version) Effective Date: December 26, 2018 Other Release Nos.: 34-84825; 39-2524; IC-33324 Federal Register version (83 FR 66100) |
| 33-10580 | Nov. 30, 2018 | Covered Investment Fund Research Reports (Conformed to Federal Register version)
File No.: S7-11-18 Other Release Nos.: 34-84710; IC-33311 Effective Date: January 14, 2019 except that amendatory instruction 4 amending Sec. 230.139b(a)(1)(i)(A)(1) is effective May 1, 2020. Comments Due: Comments regarding the collection of information requirements within the meaning of the Paperwork Reduction Act of 1995 should be received on or before February 11, 2019 See also: Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10498 |
| 33-10577 | Nov. 29, 2018 | Form N-1A; Correction (Conformed to Federal Register version)
File Nos.: S7-08-15 and S7-04-18 Effective Date: see release See also: Final Rule Rel. Nos. 33-10506; IC-33142; and 33-10231 Federal Register version (83 FR 62454) |
| 34-84541 | Nov. 6, 2018 | Regulation of NMS Stock Alternative Trading Systems (Technical Correction) (Conformed to Federal Register version)
File No.: S7-23-15 Effective Date: November 13, 2018 See also: Final Rule Rel. No. 34-83663, Proposed Rule Rel. No. 34-76474 Federal Register version (83 FR 56257) |
| 34-84528 | Nov. 2, 2018 | Disclosure of Order Handling Information
File No.: S7-14-16 Effective Date: January 18, 2019 Compliance Date: May 20, 2019 See also: Proposed Rule Rel. No. 34-78309 Federal Register version (83 FR 58338) |
| 33-10570 | Oct. 31, 2018 | Modernization of Property Disclosures for Mining Registrants (Conformed to Federal Register version)
Other Release Nos.: 34-84509 Effective Date: The final rule amendments are effective February 25, 2019, except for the amendments to 17 CFR 229.801(g) and 229.802(g), which will be effective on January 1, 2021. Compliance Date: Registrants engaged in mining operations must comply with the final rule amendments for the first fiscal year beginning on or after January 1, 2021. Industry Guide 7 will remain effective until all registrants are required to comply with the final rules, at which time Industry Guide 7 will be rescinded. See also: Proposed Rule Rel. No. 33-10098 and Small Entity Compliance Guide Federal Register version (83 FR 66344) |
| 33-10566A | Oct. 1, 2018 | Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version) Effective Date: November 5, 2018 Other Release Nos.: 33-10566A; 34-84325A; 39-2522A; IC-33261A Federal Register version (83 FR 55264) |
| Third Quarter | ||
| 33-10537 | Aug. 22, 2018 | Delegation of Authority to General Counsel of the Commission (Conformed to Federal Register version)
Other Release Nos.: 34-83911, IA-4994, IC-33212 Effective Date: Aug. 31, 2018 Federal Register version (83 FR 44465) |
| 34-83885 | Aug. 20, 2018 | Amendments to Municipal Securities Disclosure (Conformed to Federal Register version)
File No: S7-01-17 Effective Date: Oct. 30, 2018 Compliance Date: Feb. 27, 2019 See also: Proposed Rule Rel. No. 34-80130 Federal Register version (83 FR 44700) |
| 33-10532 | Aug. 17, 2018 | Disclosure Update and Simplification
File No: S7-15-16 Effective Date: November 5, 2018 See also: Demonstration Version See also: Proposed Rule Rel. Nos. 34-76474, 33-10110, and Small Entity Compliance Guide Federal Register version (83 FR 50148) |
| 34-83663 | Jul. 18, 2018 | Regulation of NMS Stock Alternative Trading Systems; Correction to page 530 to include legend on Form ATS-N (Conformed to Federal Register version)
File No: S7-23-15 Effective Date: October 9, 2018 See also: Proposed Rule Rel. No. 34-76474 Federal Register version (83 FR 38768) |
| 33-10520 | Jul. 18, 2018 | Rule 701 — Exempt Offerings Pursuant to Compensatory Arrangements (Conformed to Federal Register version)
File No: S7-17-18 Effective Date: July 23, 2018 Comments Due: August 23, 2018 |
| 33-10518 | Jul. 10, 2018 | Adoption of Updated EDGAR Filer Manual Effective Date: Upon Publication in the Federal Register Other Release Nos.: 34-83614; 39-2521; IC-33153 Federal Register version (83 FR 33119) |
| Second Quarter | ||
| 33-10514 | Jun. 28, 2018 | Inline XBRL Filing of Tagged Data
(Conformed to Federal Register version) Effective Date: September 17, 2018 File No: S7-03-17 See also: Small Entity Compliance Guides: Operating Company Inline XBRL Filing of Tagged Data Open-End Management Investment Company Inline XBRL Filing of Tagged Data Proposed Rule Rel. No. 33-10323 Federal Register version (83 FR 40846) |
| IC-33142 | Jun. 28, 2018 | Investment Company Liquidity Disclosure (Conformed to Federal Register version) Effective Date: September 10, 2018 File No: S7-04-18 See also: Final Rule Rel. No. 33-10577; Proposed Rule Rel. No. IC-33046; and Small Entity Compliance Guide Federal Register version (83 FR 31859) |
| 33-10513 | Jun. 28, 2018 | Amendments to Smaller Reporting Company Definition (Conformed to Federal Register version) Effective Date: September 10, 2018 File No: S7-12-16 Other Release No.: 34-83550 See also: Small Entity Compliance Guide; Proposed Rule Rel. No. 33-10107 Federal Register version (83 FR 31992) |
| 34-83506 | Jun. 25, 2018 | Amendments to the Commission’s Freedom of Information Act Regulations
(Conformed to Federal Register version) Effective Date: July 30, 2018 File No: S7-09-17 Other Release No.: FOIA-193 See also: Proposed Rule Rel. No. 34-82373 Federal Register version (83 FR 30322) |
| 33-10506 | Jun. 5, 2018 | Optional Internet Availability of Investment Company Shareholder Reports
(Conformed to Federal Register version)
Effective Date: January 1, 2019 with exceptions (see rule) File No: S7-08-15 See also: Small Entity Compliance Guide; Final Rule Rel. Nos. 33-10577, 33-10442; and 33-10231; Proposed Rule Rel. No. 33-9776 Federal Register version (83 FR 29158) |
| 34-83325 | May 24, 2018 | Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests Effective Date: June 1, 2018 Federal Register version (83 FR 25365) |
| 33-10486 | Apr. 25, 2018 | Amendments to Forms and Schedules to Remove Provision of Certain Personally Identifiable Information (Conformed to Federal Register version) Effective Date: May 14, 2018 Other Release Nos.: 34-83097; IC-33077 Federal Register version (83 FR 22190) |
| First Quarter | ||
| 33-10467 | Mar. 8, 2018 | Adoption of Updated EDGAR Filer Manual Effective Date: March 16, 2018 Other Release Nos.: 34-82830; 39-2520; IC-33041 Federal Register version (83 FR 11637) |
| 33-7424A | Jan. 24, 2018 | Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers Effective Date: January 30, 2018 See also: Final Rule Rel. No. 33-7479 Federal Register version (83 FR 4138) |
| 33-10450 | Jan. 5, 2018 | Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants Effective Date: January 16, 2018 File No: S7-09-14 See also: Proposed Rule Rel. No. 33-9643 Federal Register version (83 FR 2046) |
| IA-4839 | Jan. 5, 2018 | Exemptions from Investment Adviser Registration for Advisers to Small Business Investment Companies (Conformed to Federal Register version) Effective Date: March 12, 2018 File No: S7-05-17 See also: Small Entity Compliance Guide; Proposed Rule Rel. No. IA-4697 Federal Register version (83 FR 1296) |