Final Rule Releases

In this final rule, the SEC extended the compliance deadline from Nov. 10, 2010 until Feb. 28, 2011.

This is the SEC's interim final temporary rule governing the registration of municipal advisors as called for in the Dodd-Frank law. This technically expires in ...

The SEC's final rule from September 2010 that delegates the authority to issue formal orders to its Director of Enforcement. This action formally proscribes a ...

This is an SEC final rule, released in August 2010, that extends authority to the director of the Enforcement Division to issue formal orders of ...

The final rule, released by the SEC in July 2010, for Form ADV amendments, including calling for a plain-English brochure for Form ADV Part 2

The final rule, released by the SEC in July 2010, related to so-called pay-to-play issues. This rule contains a two-year penalty for firms that violate ...

The SEC's final rule and interpretation, released in June 2010, amending disclosures related to municipal securities.

This is an SEC final rule, released in March 2010, that imposes a short-sale circuit breaker mechanism designed to curtail the problem of abusive short ...

This is a final rule released by the SEC in February 2010 affecting money market funds. It carries various compliance dates (S7–11–09 and S7–20–09).