Rule 208 - Strengthening the Commission's Requirements Regarding Auditor Independence
Sec. 208-1. Introduction.
Sec. 208-2. Conflicts of Interest Resulting from Employment Relationships.
Sec. 208-3. Scope of Services Provided by Auditors.
Sec. 208-4. Partner Rotation.
Sec. 208-5. Audit Committee Administration of the Engagement.
Sec. 208-6. Compensation.
Sec. 208-7. Definitions.
Sec. 208-8. Communication with Audit Committees.
Sec. 208-9. Expanded Disclosure.
Sec. 208-10. Paperwork Reduction Act.
Sec. 208-11. Cost-Benefit Analysis.
Sec. 208-12. Final Regulatory Flexibility Act Analysis.
Sec. 208-13. Statutory Bases - Part 210.
Sec. 208-14. Statutory Bases - Part 240.
Sec. 208-15. Statutory Bases - Part 249.
Sec. 208-16. Statutory Bases - Part 274.
Sec. 208-17. Footnotes.
Rule 301 - Standards Relating to Listed Comany Audit Committees
Sec. 301-1. Background and Overview of the New Rule and Amendments.
Sec. 301-2. Discussion.
Sec. 301-3. Discussion - Advisors, Implementation Standards.
Sec. 301-4. Discussion - Compliance with Standards.
Sec. 301-5. Paperwork Reduction Act.
Sec. 301-6. Consideration of Burden on Competition.
Sec. 301-7. Statutory Authority - Parts 228/9.
Sec. 301-8. Statutory Authority - Part 240.
Sec. 301-9. Statutory Authority - Part 249.
Sec. 301-10. Statutory Authority - Part 274.
Sec. 301-11. Footnotes.
Rule 302 - Certification of Disclosure in Companies' Quarterly and Annual Reports
Sec. 302-1. Introduction.
Sec. 302-2. Certification of Quarterly and Annual Reports.
Sec. 302-3. Disclosure Controls and Procedures.
Sec. 302-4. Certification of Registered Investment Company Annual and Semi-Annual Reports.
Sec. 302-5. Paperwork Reduction Act.
Sec. 302-6. Cost Benefit Analysis.
Sec. 302-7. Final Regulatory Flexibility Analysis.
Sec. 302-8. Statutory Authority - Part 228
Sec. 302-9. Statutory Authority - Part 229
Sec. 302-10. Statutory Authority - Part 232
Sec. 302-11. Statutory Authority - Part 240
Sec. 302-12. Statutory Authority - Part 249
Sec. 302-13. Statutory Authority - Part 270
Sec. 302-14. Statutory Authority - Part 274
Sec. 302-15. Endnotes
Rule 303 - Improper Influence on Conduct of Audits
Sec. 303-1. Introduction.
Sec. 303-2. Discussion of Final Rules.
Sec. 303-3. Paperwork Reduction Act.
Sec. 303-4. Final Regulatory Flexibility Analysis.
Sec. 303-5. Statutory Authority.
Sec. 303-6. Footnotes.
Rule 306 - Insider Trades During Pension Fund Blackout Periods
Sec. 306-1. Introduction.
Sec. 306-2. Regulation BTR - Part I.
Sec. 306-3. Regulation BTR - Part II.
Sec. 306-4. Paperwork Reduction Act.
Sec. 306-5. Cost-Benefit Analysis.
Sec. 306-6. Final Regulatory Flexibility Analysis.
Sec. 306-7. Statutory Authority - Part 240.
Sec. 306-8. Statutory Authority - Part 245.
Sec. 306-9. Statutory Authority - Part 249.
Sec. 306-10. Footnotes.
Rule 307 - Implementation of Standards of Professional Conduct for Attorneys
Sec. 307-1. Introduction.
Sec. 307-2. Definitions - Part I.
Sec. 307-3. Definitions - Part II.
Sec. 307-4. Issuer as Client.
Sec. 307-5. Issuer Confidences.
Sec. 307-6. Responsibilities of Supervisory Attorneys.
Sec. 307-7. Sanctions.
Sec. 307-8. Paperwork Reduction Act.
Sec. 307-9. Costs and Benefits.
Sec. 307-10. Final Regulatory Flexibility Analysis.
Sec. 307-11. Statutory Authority.
Sec. 307-12. Endnotes.
Rule 401(a) - Disclosure in Management's Discussion and Analysis about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations
Sec. 401(a)-1. Introduction.
Sec. 401(a)-2. Overview of Proposals, Comments and Amendments.
Sec. 401(a)-3. Discussion of Amendments.
Sec. 401(a)-4. Paperwork Reduction Act.
Sec. 401(a)-5. Final Regulatory Flexibility Analysis.
Sec. 401(a)-6. Statutory Authority and Text of Rule Amendments - Part 228.
Sec. 401(a)-7. Statutory Authority and Text of Rule Amendments - Part 229.
Sec. 401(a)-8. Statutory Authority and Text of Rule Amendments - Part 249.
Sec. 401(a)-9. Endnotes - Part I.
Sec. 401(a)-10. Endnotes - Part II.
Rule 401(b) - Conditions for Use of Non-GAAP Financial Measures
Sec. 401(b)-1. Introduction.
Sec. 401(b)-2. The Rules and Amendments.
Sec. 401(b)-3. Paperwork Reduction Act.
Sec. 401(b)-4. Cost-Benefit Analysis.
Sec. 401(b)-5. Regulatory Flexibility Act Certification.
Sec. 401(b)-6. Statutory Basis - Part 228.
Sec. 401(b)-7. Statutory Basis - Part 229.
Sec. 401(b)-8. Statutory Basis - Part 244.
Sec. 401(b)-9. Statutory Basis - Part 249.
Sec. 401(b)-10. Endnotes.
Rule 403 - Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Sec. 403-1. Introduction.
Sec. 403-2. Rule and Form Amendments.
Sec. 403-3. Administrative Matters.
Sec. 403-4. Statutory Authority - Part 240.
Sec. 403-5. Statutory Authority - Part 249/274.
Sec. 403-6. Endnotes.
Rule 403 ET - Mandated Electronic Filing and Website Posting for Forms 3, 4 and 5
Sec. 403ET-1. Introduction
Sec. 403ET-2. The Amendments.
Sec. 403ET-3. The New Electronic Filing System.
Sec. 403ET-4. Paperwork Reduction Act.
Sec. 403ET-5. Statutory Basis.
Sec. 403ET-6. Statutory Basis - Part 274.
Sec. 403ET-7. Endnotes.
Rule 404 - Management's Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Sec. 404-1. Introduction.
Sec. 404-2. Discussion of Amendments Implementing Section 404.
Sec. 404-3. Management's Annual Assessment of, and Report on, the Company's Internal Control over Financial Reporting.
Sec. 404-4. Quarterly Evaluations of Internal Control over Financial Reporting.
Sec. 404-5. Differences between Internal Control over Financial Reporting and Disclosure Controls and Procedures.
Sec. 404-6. Types of Companies Affected, Transition Period.
Sec. 404-7. Discussion of Amendments Related to Certifications.
Sec. 404-8. Paperwork Reduction Act.
Sec. 404-9. Cost-Benefit Analysis.
Sec. 404-10. Effect on Efficiency, Competition and Capital Formation.
Sec. 404-11. Final Regulatory Flexibility Analysis.
Sec. 404-12. Statutory Authority and Text of Rule Amendments - Part 210.
Sec. 404-13. Statutory Authority and Text of Rule Amendments - Part 228.
Sec. 404-14. Statutory Authority and Text of Rule Amendments - Part 229.
Sec. 404-15. Statutory Authority and Text of Rule Amendments - Part 240.
Sec. 404-16. Statutory Authority and Text of Rule Amendments - Part 249.
Sec. 404-17. Statutory Authority and Text of Rule Amendments - Part 270.
Sec. 404-18. Statutory Authority and Text of Rule Amendments - Part 274.
Sec. 404-19. Endnotes - Part I.
Sec. 404-20. Endnotes - Part II.
Rule 406/407 - Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Sec. 406/407-1. Introduction.
Sec. 406/407-2. Discussion - Audit Committee Financial Experts.
Sec. 406/407-3. Discussion - Proposed Definition of the Term 'Financial Expert'.
Sec. 406/407-4. Discussion - Final Definition of 'Audit Committee Financial Expert'.
Sec. 406/407-5. Safe Harbor from Liability for Audit Committee Financial Experts.
Sec. 406/407-6. Code of Ethics.
Sec. 406/407-7. Foreign Private Issuers and Requests for Comments.
Sec. 406/407-8. Paperwork Reduction Act.
Sec. 406/407-9. Costs and Benefits.
Sec. 406/407-10. Effect on Efficiency, Competition and Capital Formation.
Sec. 406/407-11. Final Regulatory Flexibility Analysis.
Sec. 406/407-12. Statutory Basis - Part 228.
Sec. 406/407-13. Statutory Basis - Part 229.
Sec. 406/407-14. Statutory Basis - Part 249.
Sec. 406/407-15. Endnotes.
Rule 802 - Retention of Records Relevant to Audits and Reviews
Sec. 802-1. Introduction.
Sec. 802-2. Discussion of Final Rule.
Sec. 802-3. Administrative Matters.
Sec. 802-4. Final Regulatory Flexibility Act Analysis.
Sec. 802-5. Statutory Basis - Part 210.
Sec. 802-6. Endnotes.
Rule RMIC - Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms; Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Sec. RMIC-1. Introduction.
Sec. RMIC-2. Discussion.
Sec. RMIC-3. Paperwork Reduction Act.
Sec. RMIC-4. Cost-Benefit Analysis.
Sec. RMIC-5. Final Regulatory Flexibility Analysis.
Sec. RMIC-6. Statutory Authority - Part 240.
Sec. RMIC-7. Statutory Authority - Part 249.
Sec. RMIC-8. Statutory Authority - Part 270.
Sec. RMIC-9. Statutory Authority - Part 274 - Form N-SAR.
Sec. RMIC-10. Statutory Authority - Part 274 - Form N-CSR.
Sec. RMIC-11. Footnotes.
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Rule 208 - Strengthening the Commission's Requirements Regarding Auditor Independence
