|
|
Home |Fast Answers | Site Map | Search: |
|
|
|
|
|||
|
||||
|
|
|||
|
||||
|
Petitions for Rulemaking
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| File No. | Date | Description |
| 4-494 | Jul. 29, 2004 |
Request for rulemaking requiring that a rating that is an assessment of the quality of a company's reported earnings be a listing requirement for any publicly traded company
Submitted by: Richard S. Furlin, President, Furlin Financial |
| 4-493 | Apr. 12, 2004 | Request for Rulemaking Concerning Shareholder Communications
Submitted by: Steve Odland, Chairman-Corporate Governance Task Force, Business Roundtable Comments received are available for this proposal. |
| 4-492 | Dec. 16, 2003 | Request for Rulemaking Concerning Soft Dollars and Directed Brokerage
Submitted by: Matthew Fink, President, Investment Company Institute Comments received are available for this proposal. |
| 4-490 | Feb. 4, 2004 | Request for Rulemaking to Amend Rule 1-02(w) under Regulation S-X to require complete disclosure of all subsidiaries for filers of Form 10-K, regardless of the size of the subsidiary
Submitted by: Scott Schulke Comments received are available for this proposal. |
| 4-489 | Oct. 3, 2003 | Request for the Commission to Amend Rule 206(4)-1(a)(1) under the Investment Advisers Act of 1940 Concerning the Use of Testimonials by Investment Advisers Who Are Also Planners
Submitted by: Chris Grande, Walnut Hill Advisors |
| 4-488 | Oct. 9, 2003 | Request for Rulemaking to Amend Rule 146(b) under Section 18(b)(1)(B) of the Securities Act of 1933 to Designate Securities Listed on the International Securities Exchange as Covered Securities for the Purpose of Section 18 of the Act
Submitted by: Michael Simon, Senior Vice President and General Counsel, International Securities Exchange |
| 4-487 | Sept. 30, 2003 | Request for Rulemaking to Repeal a Proposed Rule Change (SR-NASD-2003-52, Release No. 34-48279, 8/1/2003), which allowed Nasdaq to Establish a Fee for Receipt of Mutual Fund Quotation Service Data by Distributors.
Submitted by: Robert C. Pelletier, President and CEO, Commodity Systems Inc. Comments received are available for this proposal. |
| 4-484 | July 29, 2003 | Request for Rulemaking to Require that Amended Registrant Filings Include an Explicit Summary of Specific Changes in Language or Figures
Submitted by: Scott H. Schulke |
| 4-483 | July 3, 2003 | Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name"
Submitted by: Stephen Nelson, The Nelson Law Firm, on behalf of Nine Institutional Investors Comments received are available for this proposal. |
| 4-491 | May 15, 2003 | Request for Rulemaking to Permit Shareholder-Nominated Director Candidates to Appear in Corporate Proxy Statements and Proxy Cards
Submitted by: Richard L. Trumka, AFL-CIO |
| 4-482 | May 14, 2003 | Petition for a Rulemaking to Repeal Rule 500 of the New York Stock Exchange
Submitted by: Edward S. Knight, Executive Vice President, The Nasdaq Stock Market, Inc. |
| 4-480 | Apr. 14, 2003 | Request for Rulemaking under the Securities Exchange Act of 1934 to Adopt New Rule 11Ac1-8 to Address the Practices of Trading-Through and Locking or Crossing OTC Quotes Across Separate Market Centers
Submitted by: John M. Schaible, President, NexTrade Holdings, Inc. Comments received are available for this proposal. |
| 4-479 | Apr. 11, 2003 | Request for Rulemaking under the Securities Exchange Act of 1934 Concerning Trading of Nasdaq-Listed Securities
Submitted by: Edward Knight, Executive Vice President, The Nasdaq Stock Market, Inc. |
| 4-478 | Apr. 3, 2003 | Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collateral Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies
Submitted by: Paul Schott Stevens, Jack W. Murphy and Ethan D. Corey of Dechert LLP on behalf of Federated Investors, Inc. Comments received are available for this proposal. |
| 4-477 | Mar. 24, 2003 | Request for Rulemaking Requiring Pre-Notification and Disclosure of Certain Communications by Trial Lawyers
Submitted by: Daniel J. Popeo, Chairman and General Counsel and Paul D. Kamenar, Senior Executive Counsel, Washington Legal Foundation |
| 4-475 | Sept. 4 2002 | Request for Rulemaking Concerning Changes to Fundamental Investment Policies of Closed-End Funds (Section 12 - Majority of a Quorum to Approve a Change in Investment Policy)
Submitted by: George W. Karpus, Karpus Investment Management |
| 4-474 | Request for Rulemaking to Adopt New Rule 19c-6 Concerning Exchange-Sponsored Options Payment for Order Flow Programs | |
| June 11, 2003 | Submitted by: Mr. Joel Greenberg, Chief Legal Officer, Susquehanna International Group, LP | |
| Feb. 3, 2003 | Submitted by: Meyer S. Frucher, Chairman and Chief Executive Officer, Philadelphia Stock Exchange, Inc. | |
| 4-469 | Nov. 1, 2002 | Request for Rulemaking to Amend Rule 19c-5 Regarding Certain Options Exchange Licensing Arrangements
Submitted by: David Krell, President and Chief Executive Officer, International Securities Exchange Comments received are available for this proposal. |
| 4-465 | Sept. 24, 2002 | Request for Rulemaking Concerning Corporate Elections
Submitted by: Deborah Pastor, Portfolio Manager, eRaider.com Inc. Comments received are available for this proposal. |
| 4-463 | Sept. 20, 2002 | Request for Rulemaking
for Clarification of Material Disclosures with Respect to Financially Significant Environmental Liabilities and Compliance with Existing Material Financial Disclosures Submitted by: Jill Ratner, President, Rose Foundation for Communities and the Environment Comments received are available for this proposal. |
| 4-461 | Aug. 1, 2002 | Request for Rulemaking to Amend Rule 14a-8(i) to Allow Shareholder Proposals To Elect Directors Submitted by: The Committee of Concerned Shareholders and James McRitchie Comments received are available for this proposal. |
| 4-457 | May 23, 2002 | Request for Rulemaking Concerning Definition of Investment Company Submitted by: Matthew A. Chambers and John C. Nagel, Wilmer, Cutler & Pickering, on behalf of the Biotechnology Industry Organization |
| 4-450 | Dec. 31, 2001 | Request for Interpretive Release Concerning MD&A; Under Regulation S-K, Item 303 Submitted by: Arthur Andersen LLP, Deloitte and Touche LLP, Ernst & Young LLP, KPMG LLP, PricewaterhouseCoopers LLP, and the American Institute of Certified Public Accountants Comments received are available for this proposal. |
| 4-449 | Dec. 12, 2001 | Request for Rulemaking to Amend Regulation S-K, Items 401 and 404, Concerning Director Conflicts of Interest Submitted by: Richard Trumka, Secretary-Treasurer, American Federation of Labor and Congress of Industrial Organizations |
| 4-448 | Dec. 11, 2001 | Request for Rulemaking Concerning Definition of Independent Auditor and Limiting Services Accounting Firms May Provide to Audit Clients Submitted by: Richard Trumka, Secretary-Treasurer, American Federation of Labor and Congress of Industrial Organizations |
http://www.sec.gov/rules/petitions.shtml
| Contact | Employment | Links | FOIA | Forms | Privacy | Modified: 08/27/2004 |
