Securities and Exchange Commission (SEC)
| Statutes and Regulations | Description |
|---|---|
| Securities Act of 1933 | The Securities Act of 1933, often referred to as the "Truth in Securities" law, was enacted by the United States Congress on May 27, 1933, during the Great Depression. |
| Securities Exchange Act of 1934 | The Securities Exchange Act of 1934 was enacted to regulate the secondary trading of securities in the United States. |
| Trust Indenture Act of 1939 | The Trust Indenture Act of 1939 is a federal law that regulates the sale of certain securities and the trust indentures under which they are issued. |
| Investment Company Act of 1940 | The Investment Company Act of 1940 is a significant piece of legislation that regulates investment companies in the United States. |
| Investment Advisers Act of 1940 | The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers, requiring them to register with the SEC and adhere to specific regulations designed to protect investors. |
| Sarbanes-Oxley Act of 2002 | The Sarbanes-Oxley Act of 2002 (SOX) is a U.S. law enacted to protect investors by enhancing the accuracy and reliability of corporate disclosures. |
| Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 | The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 was signed into law by President Barack Obama on July 21, 2010, in response to the financial crisis of 2007-2009. |
| Rules and Regulations | Securities and Exchange Commission Rules and Regulations. |
| Policy Details | Date | Release No |
|---|---|---|
| Procedures for the Commission’s Use of Certain Authorities under Rule 21F-3(B)(3) and Rule 21F-6 of the Securities Exchange Act of 1934 Effective Date: August 13, 2021 Federal Register version (86 FR 44604) | Aug. 5, 2021 | 34-92565 |
| Commission Statement on Insurance Product Fund Substitution Applications Effective Date: February 26, 2021 Federal Register version (86 FR 11813) | Feb. 23, 2021 | IC-34199 |
| Sample #3Custody of Digital Asset Securities by Special Purpose Broker-Dealers; Statement and Request for Comment File No.: S7-25-20 Effective Date: April 27, 2021 Comments received are available. Federal Register version (86 FR 11627) See Also: Press Release No. 2020-340 | Dec. 23, 2020 | 34-90788 |
| Statement on Central Counterparties Authorized under the European Markets Infrastructure Regulation Seeking to Register as a Clearing Agency or to Request Exemptions from Certain Requirements Under the Securities Exchange Act of 1934 Effective Date: Date of publication in the Federal Register | Nov. 23, 2020 | 34-90492 |
| Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers (Conformed to Federal Register version) Effective Date: September 3, 2020 See Also: Final Rule Rel. No. 34-89372 | Jul. 22, 2020 | IA-5547 |
| Commission Statement on Market Structure Innovation for Thinly Traded Securities (Conformed to Federal Register version) File No.: S7-18-19 Effective Date: October 17, 2019 Comments received are available. See also: Background Paper on the Market Structure for Thinly Traded Securities Federal Register version (84 FR 56956) | Oct. 17, 2019 | 34-87327 |
| Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers Other Release No.: IC-33605 Effective Date: September 10, 2019 Federal Register version (82 FR 47420) | Aug. 21, 2019 | IA-5325 |
| Commission Statement on Certain Provisions of Business Conduct Standards for Security- Based Swap Dealers and Major Security-Based Swap Participants (Conformed to Federal Register version) File No.: S7-24-18 Effective Date: November 6, 2018 | Oct. 31, 2018 | 34-84511 |
| Commission Statement Concerning a Request Made Pursuant to Exchange Act Rule 3a68-2 | Jun. 7, 2017 | 34-80870 |
| Final Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies File No.: S7-10-15 | May 27, 2015 | 34-75050 |
| Extension of Comment Period for Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies File No.: S7-08-13 Comments Due: February 7, 2014 | Dec. 19, 2013 | 34-71134 |
| Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies and Request for Comment File No.: S7-08-13 Comments Due: December 24, 2013 | Oct. 22, 2013 | 34-70731 |
| Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps Adopted Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File No.: S7-05-12 Comments Due: 60 days from publication of 34-69491 in the Federal Register | Jun. 11, 2012 | 34-67177 |
| Policy Statement Concerning Cooperation by Individuals in its Investigations and Related Enforcement Actions Effective Date: January 19, 2010 | Jan. 13, 2010 | 34-61340 |
| Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities | File No.: S7-08-06 | Effective Date: January 11, 2007 | Jan. 5, 2007 | 34-55043 |
| Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities See also: Federal Register Posting (May 16, 2006) File No.: S7-08-06 Comments Due: June 15, 2006 | May 9, 2006 | 34-53773 |
| Policy Statement Concerning Subpoenas to Members of the News Media | Effective Date: April 12, 2006 | Apr. 12, 2006 | 34-53638 |
| Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities; Extension of Comment Period | File No.: S7-22-04 Comments Due: July 19, 2004 | Jun. 16, 2004 | 34-49873 |
| Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities File No.: S7-22-04 | May 13, 2004 | 34-49695 |
| Business Continuity Planning for Trading Markets File No.: S7-17-03 | Effective Date: October 1, 2003 Comments Due: October 31, 2003 | Sep. 25, 2003 | 34-48545 |
| Commission Statement of Policy Reaffirming the Status of the FASB as a Designated Private-Sector Standard Setter Release No.: 34-47743 | Apr. 25, 2003 | 33-8221 |
| Commission Policy Statement on the Establishment and Improvement of Standards Related to Auditor Independence | Jul. 17, 2001 | 33-7993 |
| Commission Statement of Policy on Regulatory Moratorium to Facilitate the Year 2000 Conversion | Aug. 27, 1998 | 33-7568 |
| Final Statement of Policy: Alternative Dispute Resolution Policy || Effective Date: date of publication in Federal Register | Aug. 5, 1998 | 34-40306 |
| Policy Statement: Designation of Small Business Compliance Guides Effective Date: date published in Federal Register | Jan. 22, 1997 | 33-7382 |
| Policy Statement: Automated Systems of Self-Regulatory Organizations (II) Effective Date: May 9, 1991 | May 9, 1991 | 34-29185 |
| Policy Statement: Automated Systems of Self-Regulatory Organizations || Effective Date: November 16, 1989 | Nov. 16, 1989 | 34-27445 |
| Sample ID |
|---|
| Staff Accounting Bulletins |
| Staff Legal Bulletins |
| Corporation Finance Staff Guidance |
| Investment Management Frequently Asked Questions |
| Topical Reference Guide |
| Trading and Markets Frequently Asked Questions |
| Staff Letters |