Final Rule Releases

Serious businesswoman is standing at a subway station, holding coffee to go and waiting for a train.

SEC final rule: Form N-PORT reporting, delays in compliance dates

Featured April 22 2025

Mature Businessman Leading Meeting in Conference Room

Form PF; Reporting Requirements for All Filers and Large Hedge Fund...

IA Rules & Regulatory Actions April 11 2025

Adoption of Updated EDGAR Filer Manual

IA Rules & Regulatory Actions March 18 2025

Hard to choose or decide the name of new born baby, with “what name“ question on blackboard and woman’s hand holding positive pregnancy test

Investment Company Names; Extension of Compliance Date

Featured March 17 2025

Changes Coming in 2025 written on a blackboard

SEC final rule: Delegation of Authority to Director of the Division...

IA Rules & Regulatory Actions March 14 2025

Calendar reminder event concept.Woman hand planner or organizer writing on diary book and 2020 Calendar page.Student planning appointment,noted and count Down schedule dayCalendar reminder event concept,work from home

Daily Computation of Customer and Broker-Dealer Reserve Requirements under the B-D...

BD Rules & Regulatory Actions December 23 2024

Woman using laptop while sitting at home.

Adoption of Updated EDGAR Filer Manual

IA Rules & Regulatory Actions December 18 2024

Two young women laughing while talking in the office behind their male colleague

SEC final rule: Electronic submissions, changes to FOCUS reports

IA Rules & Regulatory Actions December 18 2024

Brazil Argentina and world flags is flying

Provisions Pertaining to U.S. Investments in Certain National Security Technologies and...

Private Funds November 15 2024

SEC Final rule: Conforming amendments to commission rules and forms

IA Rules & Regulatory Actions November 7 2024

Business team investment trading do this deal on a stock exchange. People working in the office.

Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better...

BD Rules & Regulatory Actions October 9 2024

BSA Section 210 — AML/CFT programs for investment advisers

Investment Advisers September 11 2024

Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity...

IA Rules & Regulatory Actions September 11 2024

Man holding big stack of US paper currency by safety deposit boxes. Focus on money

FinCEN AML rules for RIAs/ERAs

IA Rules & Regulatory Actions September 3 2024

United States 100 dollar bills printing with american money printing press, uncut us dollars sheet closeup. US economy, banking, finance, tax, cash, stock market, business investment design background

Qualifying Venture Capital Funds Inflation Adjustment

IA Rules & Regulatory Actions August 30 2024

Man looks through binoculars in mountain

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

Featured June 3 2024

Senior couple consults with female real estate agent

Retirement Security Rule: Definition of an Investment Advice Fiduciary

IA Rules & Regulatory Actions April 25 2024

Exemption for Certain Investment Advisers Operating Through the Internet

Featured April 9 2024

Group of people gambling sitting at a table in a casino top view. Betting gambling.

Further Definition of “As a Part of a Regular Business” in...

Featured February 29 2024

SPAC, special purpose acquisition company symbol. Wooden cubes with word 'SPAC' on beautiful background from dollar bills, copy space. Business and SPAC, special purpose acquisition company concept.

Special Purpose Acquisition Companies, Shell Companies, and Projections

IA Rules & Regulatory Actions February 24 2024

Four businesspeople sitting on bench and looking up at clock. Horizontally framed shot.

Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution...

IA Rules & Regulatory Actions December 15 2023

Stock market in Manhattan by Wall Street

Prohibition Against Conflicts of Interest in Certain Securitizations

IA Rules & Regulatory Actions December 7 2023

silver brick and golden coins laying on dollar banknotes

Securities Act Rule 192 – Conflicts of interest relating to certain...

Securities Act November 27 2023

Unrecognizable man taking notepad from his female colleague in the office. Focus is on his hand and note pad.

Modernization of Beneficial Ownership Reporting

Broker-Dealers November 7 2023

Reporting of Securities Loans

BD Rules & Regulatory Actions November 3 2023

A road sign with short sale words on sky background

Short Position and Short Activity Reporting by Institutional Investment Managers

IA Rules & Regulatory Actions November 1 2023

Project management, leadership and planning with business people in meeting for marketing strategy, consulting and teamwork. Collaboration, growth and future with employees in office for research

Investment Company Names

IA Rules & Regulatory Actions October 11 2023

Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews

IA Rules & Regulatory Actions September 14 2023

Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.

Money Market Fund Reforms; Form PF Reporting Requirements

Featured August 3 2023

Two business people arguin at the office

SEC final rule: Security-Based Swaps and Prohibition against Undue Influence over...

Featured June 30 2023

Amendments to Form PF

IA Rules & Regulatory Actions June 12 2023

Handsome young African man in shirt using computer and smiling while working in the office

Shortening the Securities Transaction Settlement Cycle

Featured March 4 2023

Tailored Shareholder Reports for Mutual Funds and ETFs; Fee Information in...

IA Rules & Regulatory Actions January 24 2023

Two people human hands holding/ saving growing big tree on soil eco bio globe in clean CSR ESG natural sunlight background World environment day go green concept Element of the image furnished by NASA

ERISA rule 404a-1 (investment duties)

IA Rules & Regulatory Actions December 1 2022

Sign outside Department of Labor building, Washington, DC

Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights

Featured December 1 2022

Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information...

IA Rules & Regulatory Actions November 24 2022

Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based...

BD Rules & Regulatory Actions November 3 2022

Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting...

Featured November 2 2022

Proxy Voting Advice

IA Rules & Regulatory Actions July 19 2022

Performance-Based Investment Advisory Fees

IA Rules & Regulatory Actions November 10 2021

SEC issues swaps recordkeeping rule correction

BD Rules & Regulatory Actions June 11 2021

Amendments to the Commission’s Rules of Practice

IA Rules & Regulatory Actions April 23 2021

Investment Adviser Marketing

Featured March 5 2021

Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to...

IA Rules & Regulatory Actions January 14 2021

Good Faith Determinations of Fair Value

Investment Advisers January 6 2021

Use of derivatives by mutual funds and BDCs

Featured December 19 2020

Fiduciary Duties Regarding Proxy Voting and Shareholder Rights

IA Rules & Regulatory Actions December 16 2020

New final SEC rule amends Reg S-K disclosures

IA Rules & Regulatory Actions November 20 2020

Fund of Funds Arrangements

Featured November 19 2020

DOL final rule on ESG

Featured November 13 2020

Whistleblower Program Rules

IA Rules & Regulatory Actions November 5 2020

Procedural Requirements under Exchange Act Rule 14a-8

Broker-Dealers November 4 2020

Facilitating Capital Formation in Private Markets

IA Rules & Regulatory Actions November 3 2020

Accredited Investor Definition

Investment Advisers October 9 2020

Volcker Rule Correction

IA Rules & Regulatory Actions September 28 2020

Amendments to Procedures for ICA Applications

IA Rules & Regulatory Actions September 15 2020

Exemptions From the Proxy Rules for Proxy Voting Advice

IA Rules & Regulatory Actions July 23 2020

SEC corrects BDC/closed-end fund final rule

IA Rules & Regulatory Actions July 10 2020

Securities Offering Reform for Closed-End Investment Companies

Featured April 8 2020

Variable Annuity Updated Disclosure Requirements

IA Rules & Regulatory Actions March 11 2020

Risk Mitigation for Uncleared Security-Based Swaps

Broker-Dealers February 4 2020

Cross-Border Security Swap Requirements

Broker-Dealers February 4 2020

Capital, Margin, and Segregation Requirements; Correction

Exchange Act October 14 2019

Solicitations of Interest Prior to a Registered Public Offering

Securities Act September 26 2019

Exchange-Traded Funds

IA Rules & Regulatory Actions September 26 2019

Recordkeeping and Reporting Requirements for Swap Dealers, Participants, Broker-Dealers

Exchange Act September 20 2019

Regulation Best Interest: The Broker-Dealer Standard of Conduct

BD Rules & Regulatory Actions August 9 2019

FAST Act Modernization and Simplification of Regulation S-K; Correction

BD Rules & Regulatory Actions August 6 2019

Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers

Broker-Dealers June 24 2019

Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships

Investment Advisers June 24 2019

Amendment to Single Issuer Exemption for Broker-Dealers

Broker-Dealers June 11 2019

Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion...

BD Rules & Regulatory Actions June 6 2019

Form CRS Relationship Summary; Amendments to Form ADV

IA Rules & Regulatory Actions June 5 2019

Regulation Best Interest: The Broker-Dealer Standard of Conduct

Broker-Dealers June 5 2019

Disclosure of Order Handling Information

Broker-Dealers April 30 2019

Disclosure of Order Handling Information

Broker-Dealers April 25 2019

FAST Act Modernization and Simplification of Regulation S-K

Investment Advisers March 21 2019

Amendments to the Timing Requirements for Filing Report on Form N-PORT

Investment Advisers February 28 2019

Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation...

Investment Advisers January 31 2019

Disclosure of Hedging by Employees, Officers and Directors

Investment Advisers December 20 2018

Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for...

Broker-Dealers December 19 2018

Transaction Fee Pilot for NMS Stocks

Broker-Dealers December 19 2018

Covered Investment Fund Research Reports

Broker-Dealers December 3 2018

Form N-1A; Correction

Investment Advisers November 30 2018

Regulation of NMS Stock Alternative Trading Systems

Broker-Dealers November 13 2018

Disclosure of Order Handling Information

Broker-Dealers November 5 2018

Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of...

BD Rules & Regulatory Actions September 21 2018

Delegation of Authority to General Counsel of the Commission

Investment Advisers August 27 2018

Amendments to Municipal Securities Disclosure

Broker-Dealers August 27 2018

Disclosure Update and Simplification

Investment Advisers August 27 2018

Regulation of NMS Stock Alternative Trading Systems

Broker-Dealers August 7 2018

Investment Company Liquidity Disclosure

Investment Advisers June 29 2018

Optional Internet Availability of Investment Company Shareholder Reports

Investment Advisers June 6 2018

Technical Amendments to Rules of Practice and Rules of Organization; Conduct...

Broker-Dealers June 1 2018

Amendments to forms and schedules to remove provision of certain personally...

Investment Advisers April 26 2018

Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs

Investment Advisers February 22 2018

Amendments to Forms and Schedules to Remove Voluntary Provision of Social...

Investment Advisers January 25 2018

Amendments to Investment Advisers Act Rules to Reflect Changes Made by...

IA Rules & Regulatory Actions January 8 2018

Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased...

Investment Advisers January 8 2018

Investment Company Reporting Modernization: Temporary Rule

Investment Advisers December 14 2017

Covered Securities Pursuant to Section 18 of the Securities Act

BD Rules & Regulatory Actions October 27 2017

Commission Delegated Authority Provisions for Designated Contract Markets’ System Safeguards Requirements

September 29 2017

Technical Amendments to Form ADV and Form ADV-W

Investment Advisers May 4 2017

Inflation Adjustments and Other Technical Amendments Under Titles I and III...

Broker-Dealers April 12 2017

Amendment to Securities Transaction Settlement Cycle

Broker-Dealers March 22 2017

Exemptions for Security-Based Swaps

Investment Advisers February 10 2017

Adjustments to Civil Monetary Penalty Amounts

Investment Advisers January 6 2017

Changes to Exchange Act Registration Requirements To Implement Title V and...

Broker-Dealers December 28 2016

Changes to Exchange Act Registration Requirements to Implement Title V and...

Broker-Dealers December 22 2016

Exemptions to Facilitate Intrastate and Regional Securities Offerings

Broker-Dealers October 26 2016

Investment Company Liquidity Risk Management Programs

Investment Advisers October 17 2016

Investment Company Reporting Modernization

Investment Advisers October 17 2016

Investment Company Swing Pricing

Investment Advisers October 17 2016

Standards for Covered Clearing Agencies

Broker-Dealers October 13 2016

Form ADV and Investment Advisers Act Rules

Investment Advisers August 29 2016

Access to Data Obtained by Security-Based Swap Data Repositories

Broker-Dealers August 29 2016

Disclosure of Payments by Resource Extraction Issuers

Broker-Dealers July 27 2016

Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information

Broker-Dealers July 15 2016

Amendments to the Commission’s Rules of Practice

Broker-Dealers July 13 2016

Adjustments to Civil Monetary Penalty Amounts

Investment Advisers June 27 2016

Asset-Backed Securities Disclosure and Registration: Technical correction

Broker-Dealers June 22 2016

Trade Acknowledgment and Verification of Security-Based Swap Transactions

Broker-Dealers June 14 2016

Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap...

Broker-Dealers May 20 2016

Changes to Exchange Act Registration Requirements to Implement Title V and...

Broker-Dealers May 3 2016

Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap...

Broker-Dealers April 14 2016

Crowdfunding; Correction (adding effective date)

BD Rules & Regulatory Actions February 3 2016

Regulation Systems Compliance and Integrity; Correction

Broker-Dealers December 30 2015

Crowdfunding; Correction

Broker-Dealers December 22 2015

Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants

Broker-Dealers August 6 2015

Freedom of Information Act Regulations

Broker-Dealers July 10 2015

Regulation SBSR – Reporting and Dissemination of Security-Based Swap Information

Broker-Dealers March 19 2015

Security-Based Swap Data Repository Registration, Duties, and Core Principles

Broker-Dealers March 19 2015

Regulation Systems Compliance and Integrity (Reg SCI)

Broker-Dealers December 5 2014

Credit Risk Retention

Broker-Dealers October 23 2014

Nationally Recognized Statistical Rating Organizations

Broker-Dealers September 15 2014

Asset-Backed Securities Disclosure and Registration

Broker-Dealers September 5 2014

Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions

Broker-Dealers June 25 2014

Revised Custody Rule

IA Rules & Regulatory Actions February 18 2014

Extension of Exemptions for Security- Based Swaps

Broker-Dealers February 10 2014

Stay of MA Registration

Broker-Dealers January 16 2014

Registration of Municipal Advisors 2013 FR

Broker-Dealers September 25 2013

Broker-Dealer Reports

Broker-Dealers July 31 2013

Financial Responsibility Rules for Broker-Dealers

Broker-Dealers July 31 2013

Rescission of Supervised Investment Bank Holding Company Rules

Broker-Dealers July 18 2013

Retail Foreign Exchange Transactions

Broker-Dealers July 16 2013

Regulation S-ID: Identity Theft Red Flags Rules

BD Rules & Regulatory Actions April 19 2013

Lost Securityholders and Unresponsive Payees

Broker-Dealers January 2 2013

Clearing Agency Standards

Broker-Dealers November 2 2012

Ext. Temporary Registration of Municipal Advisors

Broker-Dealers September 26 2012

Process for Submissions for Review of Security-based Swaps

Broker-Dealers July 13 2012

Further Definition of ‘‘Swap Dealer,’’ ‘‘Security-Based Swap Dealer,’’ ‘‘Major Swap Participant,’’...

July 5 2012

Listing Standards for Compensation Committees

Broker-Dealers June 27 2012

Submissions for Review of Swaps

Broker-Dealers June 27 2012

Swap Definitions

Broker-Dealers May 23 2012

successful Asian businessman flies in private luxury jet with glass of champagne and listens to music in headphones, Korean entrepreneur in suit rests and relaxes in airplane, luxury lifestyle

Net Worth Standard for Accredited Investors

IA Rules & Regulatory Actions December 29 2011

Extension of Municipal Advisor Registration

Broker-Dealers December 27 2011

Rescission of Outdated Rules and Forms

Broker-Dealers November 21 2011

Disclosure for Asset-Backed SecuritiesA

Broker-Dealers September 1 2011

Suspension of the Duty To File Reports for Classes of Asset-Backed...

Broker-Dealers August 23 2011

Commission Rules and Forms Related to the FASB’s Accounting Standards Codification

Broker-Dealers August 12 2011

Large Trader Reporting

Broker-Dealers July 28 2011

Implementation of the Whistleblower Provisions

Broker-Dealers May 25 2011

Disclosure for Asset-Backed Securities Required by Section 943

Broker-Dealers January 26 2011

Regulation SHO

Broker-Dealers November 9 2010

Facilitating Shareholder Director Nominations

Broker-Dealers September 16 2010

Temporary Registration of Municipal Advisors

Broker-Dealers September 9 2010

Delegation of Authority to Enforcement Director

Broker-Dealers September 8 2010

Delegation of Authority to Enforcement Director

Broker-Dealers August 16 2010

Indian female agent helping client sign the application document

Amendments to Form ADV

IA Rules & Regulatory Actions July 29 2010

Amendment to Municipal Securities Disclosure

Broker-Dealers June 10 2010

Amendments to Regulation SHO

Broker-Dealers May 10 2010

Amendments to Regulation SHO

Broker-Dealers July 31 2009

Disclosure of Short Sales and Short Positions by Institutional Investment Managers...

Broker-Dealers October 15 2008

‘Naked’ Short Selling Antifraud Rule

Broker-Dealers October 14 2008

Amendments to Regulation SHO

Broker-Dealers October 14 2008

Amendments to Regulation SHO (Interim final temporary rule)

Broker-Dealers October 14 2008

Exemption From Registration Under Section 12(g) of the Securities Exchange Act...

Broker-Dealers September 5 2008

Commission Guidance and Amendment to the Rules Relating to Organization and...

Broker-Dealers July 3 2008

Regional Office Reorganization

Broker-Dealers May 28 2008

Definitions of Terms and Exemptions Relating to the ‘Broker’ Exceptions for...

Broker-Dealers April 11 2008

Proposed Rule Changes of Self-Regulatory Organizations

Broker-Dealers March 19 2008

Delegation of Authority to the Director of the Division of Corporation...

Broker-Dealers February 7 2008

ELECTRONIC SHAREHOLDER FORUMS

Broker-Dealers January 18 2008

SHAREHOLDER PROPOSALS RELATING TO THE ELECTION OF DIRECTORS

Broker-Dealers December 6 2007

EXEMPTION OF COMPENSATORY EMPLOYEE STOCK OPTIONS FROM REGISTRATION UNDER SECTION 12(g)...

Broker-Dealers December 3 2007

Amendments to Regulation SHO

Broker-Dealers October 15 2007

Short Selling in Connection with a Public Offering

Broker-Dealers October 9 2007

Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act...

Broker-Dealers September 24 2007

DEFINITIONS OF TERMS AND EXEMPTIONS RELATING TO THE ‘BROKER’ EXCEPTIONS FOR...

Broker-Dealers September 24 2007

SHAREHOLDER CHOICE REGARDING PROXY MATERIALS

Broker-Dealers July 26 2007

Regulation SHO and Rule 10a-1

Broker-Dealers June 28 2007

Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating...

Broker-Dealers June 5 2007

Technical Amendments to Form BD and Form BDW

Broker-Dealers April 23 2007

TERMINATION OF A FOREIGN PRIVATE ISSUERS REGISTRATION OF A CLASS OF...

Broker-Dealers March 27 2007

INTERNET AVAILABILITY OF PROXY MATERIALS

Broker-Dealers January 22 2007

Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative...

Broker-Dealers January 5 2007

Delegation of Authority to Chief Administrative Law Judg

Broker-Dealers December 4 2006

ELECTRONIC FILING OF TRANSFER AGENT FORMS

Broker-Dealers December 4 2006

AMENDMENTS TO THE TENDER OFFER BEST-PRICE RULES

Broker-Dealers November 1 2006

Joint Final Rules: Application of the Definition of Narrow-Based Security Index...

Broker-Dealers August 14 2006

Amendments to Plan of Organization and Operation Effective During Emergency Conditions

Broker-Dealers June 9 2006

Regulation NMS

Broker-Dealers May 24 2006

DESCRIPTION OF DUTIES OF THE GENERAL COUNSEL

Broker-Dealers May 3 2006

Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance...

Broker-Dealers April 10 2006

Adoption of Amendments to the Rules of Practice and Related Provisions...

Broker-Dealers January 4 2006

ADOPTION OF AMENDMENT TO DELEGATION OF AUTHORITY TO SECRETARY OF THE...

Broker-Dealers November 21 2005

Amendments to the Penny Stock Rules

Broker-Dealers September 12 2005

Regulation NMS

Broker-Dealers September 12 2005

Amendments to the Penny Stock Rules

Broker-Dealers September 12 2005

REGULATION NMS

Broker-Dealers August 29 2005

Regulation NMS

Broker-Dealers August 29 2005

Regulation NMS

Broker-Dealers August 29 2005

Certain Broker-Dealers Deemed Not To Be Investment Advisers

Broker-Dealers April 15 2005

ISSUER RESTRICTIONS OR PROHIBITIONS ON OWNERSHIP BY SECURITIES INTERMEDIARIES

Broker-Dealers March 7 2005

Disposal of Consumer Report Information

Broker-Dealers January 11 2005

Certain Broker-Dealers Deemed Not To Be Investment Advisers

Broker-Dealers January 6 2005

Proposed Rule Changes of Self-Regulatory Organizations

Broker-Dealers November 8 2004

Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products

Broker-Dealers September 30 2004

Regulation SHO: Final Rule

Broker-Dealers September 7 2004

Collection Practices under Section 31 of the Exchange Act

Broker-Dealers August 6 2004

Revision of Rule Concerning Holding Period and Disclosure Requirements for Members’...

Broker-Dealers May 20 2004

SHAREHOLDER REPORTS AND QUARTERLY PORTFOLIO DISCLOSURE OF REGISTERED MANAGEMENT INVESTMENT COMPANIES

Broker-Dealers May 10 2004

Delegation of Authority to the Director of the Division of Market...

Broker-Dealers February 17 2004

Recordkeeping Requirements for Registered Transfer Agents

Broker-Dealers January 28 2004

Broker-Dealer Exemption from Sending Certain Financial Information to Customers

Broker-Dealers September 5 2003

Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments

Broker-Dealers July 11 2003

Customer Identification Programs For Broker-Dealers

Broker-Dealers June 9 2003

Books and Records Requirements for Brokers and Dealers Under the Securities...

Broker-Dealers May 2 2003

Books and Records Requirements for Brokers and Dealers Under the Securities...

Broker-Dealers May 2 2003

Customer Protection — Reserves and Custody of Securities Delegation of Authority...

Broker-Dealers April 16 2003

Definition of Terms in and Specific Exemptions for Banks, Savings Associations,...

Broker-Dealers March 26 2003

Insider Trades During Pension Fund Blackout Periods

Broker-Dealers January 26 2003

Repeal of the Trade-Through Disclosure Rules for Options

Broker-Dealers December 27 2002

Delegation of Authority to the Director of the Division of Market...

Broker-Dealers October 23 2002

Confirmation Requirements for Transactions of Security Futures Products Effected in Futures...

Broker-Dealers October 15 2002

Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy...

Broker-Dealers September 13 2002

Customer Margin Rules Relating to Security Futures

Broker-Dealers September 13 2002

Delegation of Authority to the General Counsel of the Commission

Broker-Dealers September 3 2002

Ownership Reports and Trading by Officers, Directors and Principal Security Holders

Broker-Dealers August 29 2002

Assessments on Security Futures Transactions and Fees on Sales of Securities...

Broker-Dealers August 12 2002

Investment Company Mergers

IA Rules & Regulatory Actions July 26 2002

Technical Amendments to Rules and Forms Due to the National Securities...

Broker-Dealers July 8 2002

Cash Settlement and Regulatory Halt Requirements for Security Futures Products

Broker-Dealers June 24 2002

Delegation of Authority to the Secretary of the Commission

Broker-Dealers May 6 2002

Exemption of Transactions in Certain Options and Futures on Security Indexes...

Broker-Dealers February 1 2002

Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees

Broker-Dealers January 16 2002

Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness

Broker-Dealers December 1 2001

Debt Collection — Amendments to Collection Rules and Adoption of Wage...

Broker-Dealers November 26 2001

Adoption of Updated EDGAR Filer Manual

Broker-Dealers October 1 2001

Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange...

Broker-Dealers August 27 2001

Method for Determining Market Capitalization and Dollar Value of Average Daily...

Broker-Dealers August 21 2001

Delegation of Authority to the Director of the Division of Market...

Broker-Dealers August 20 2001

Delegation of Authority to the Director of the Division of Market...

Broker-Dealers August 6 2001

Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and...

Broker-Dealers July 29 2001

Delegation of Authority to the Director of the Division of Market...

Broker-Dealers June 7 2001

Recordkeeping Requirements for Transfer Agents

Broker-Dealers May 31 2001

Definition of Terms in and Specific Exemptions for Banks, Savings Associations,...

Broker-Dealers May 11 2001

Delegation of Authority to the Director of the Division of Market...

Broker-Dealers March 15 2001

Role of Independent Directors of Investment Companies

Broker-Dealers February 15 2001

Firm Quote and Trade-Through Disclosure Rules for Options

Broker-Dealers February 1 2001

Disclosure of Order Execution and Routing Practices

Broker-Dealers January 30 2001

Disclosure of Order Execution and Routing Practices

Broker-Dealers January 30 2001

Options Price Reporting Authority

Broker-Dealers January 2 2001

Regulation of Alternative Trading Systems; Temporary Stay of Effectiveness

Broker-Dealers December 1 2000

Firm Quote and Trade-Through Disclosure Rules for Options

Broker-Dealers December 1 2000

Firm Quote and Trade-Through Disclosure Rules for Options

Broker-Dealers December 1 2000

Amendments to Rule 9b-1 under the Securities Exchange Act of 1934...

Broker-Dealers November 18 2000

Privacy of Consumer Financial Information (Regulation S-P)

Broker-Dealers November 13 2000

Unlisted Trading Privileges

Broker-Dealers November 6 2000

AMENDMENTS TO THE COMMISSION’S FREEDOM OF INFORMATION AND PRIVACY ACT RULES...

Broker-Dealers October 13 2000

International Disclosure Standards

Broker-Dealers September 30 2000

REVISED TRANSFER AGENT FORM and RELATED RULE

Broker-Dealers July 2 2000

Privacy of Consumer Financial Information (Regulation S-P)

BD Rules & Regulatory Actions March 2 2000

Adoption of Amendments to the Intermarket Trading System Plan to Expand...

Broker-Dealers February 14 2000

Audit Committee Disclosure

Broker-Dealers January 31 2000

Adoption of Updated EDGAR Filer Manual

Broker-Dealers January 24 2000

Delivery of Disclosure Documents to Households

Broker-Dealers December 20 1999

Purchases of Certain Equity Securities by the Issuer and Others

Broker-Dealers October 23 1999

Adoption of Updated EDGAR Filer Manual

Broker-Dealers October 18 1999

YEAR 2000 OPERATIONAL CAPABILITY REQUIREMENTS FOR REGISTERED BROKER-DEALERS AND TRANSFER AGENTS

Broker-Dealers August 30 1999

Broker-Dealer Registration and Reporting

Broker-Dealers July 30 1999

Broker-Dealer Registration and Reporting

Broker-Dealers May 30 1999

Exemption of the Securities of the Kingdom of Sweden under the...

Broker-Dealers May 26 1999

Correction to Final Rule: Regulation of Exchanges and Alternative Trading Systems

Broker-Dealers April 21 1999

Regulation of Alternative Trading Systems; Technical Amendment

Broker-Dealers April 21 1999

Regulation of Exchanges and Alternative Trading Systems

Broker-Dealers April 7 1999

Exemption of the Securities of the Kingdom of Belgium under the...

Broker-Dealers March 5 1999

Rulemaking for EDGAR System

Broker-Dealers February 12 1999

Amendment To Rule Filing Requirements For Self-Regulatory Organizations Regarding New Derivative...

Broker-Dealers February 8 1999

OTC Derivatives Dealers; Correction

Broker-Dealers January 4 1999

OTC Derivatives Dealers

Broker-Dealers January 4 1999

Reports to be Made by Certain Brokers and Dealers

Broker-Dealers December 27 1998

Rules of Practice

Broker-Dealers December 4 1998

Year 2000 Readiness Reports to be Made by Certain Non-Bank Transfer...

Broker-Dealers December 2 1998

Year 2000 Readiness Reports to be made by certain transfer agents

Broker-Dealers August 12 1998

Year 2000 Readiness Reports To Be Made by Certain Transfer Agents

Broker-Dealers August 12 1998

Reports To Be Made by Certain Brokers and Dealers

Broker-Dealers August 12 1998

Amendments to Rules on Shareholder Proposals

Broker-Dealers June 21 1998

Adoption of Updated EDGAR Filer Manual

Broker-Dealers June 1 1998

OFFSHORE OFFERS AND SALES

Broker-Dealers April 18 1998

Nearly there!

FINAL RULE RELEASES