| Release No. |
Date |
Details |
| 34-50486 |
Oct. 4, 2004 |
Proposed Rule Changes of Self-Regulatory Organizations
File No.: S7-18-04
Effective Date: November 8, 2004, except §240.11Aa3-2(b)(8) and §240.19b-4(m), shall be effective May 9, 2005
See also Proposed Rule, Rel. No. 34-49505; comments
|
| IC-26591 |
Sep. 2, 2004 |
Prohibition on the Use of Brokerage Commissions to Finance Distribution
File No.: S7-09-04
Effective Date: October 14, 2004
Compliance Date: December 13, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. IC-26356; comments
|
| 34-50295 |
Aug. 31, 2004 |
Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products
File No.: S7-34-02
Effective Date: October 7, 2004
Compliance Date: See Section II.I. of this release.
Federal Register PDF
See also Proposed Rule, Rel. No. 34-46492; comments
|
| 33-8458 |
Aug. 23, 2004 |
Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
Other Release Nos.: 34-50227; IC-26533
File No.: S7-12-04
Effective Date: Oct. 1, 2004
Compliance Date: See Section II.I. of this release.
Comments Due: Comments should be received on or before October 1, 2004
Federal Register PDF
 Click to submit comments on S7-12-04
See also Proposed Rule, Rel. No. 33-8396; comments |
| 33-8454 |
Aug. 11, 2004 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-50160; 35-27881; 39-2424; IC-26525
Effective Date: August 23, 2004
Federal Register PDF
|
| 33-8393A |
Aug. 9, 2004 |
Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies; Technical Amendment
Other Release Nos.: 34-49333A; IC-26372A
File No.: S7-51-02
Effective Date: August 12, 2004
Federal Register PDF
See also Final Rule, Rel. No. 33-8393
|
| 33-8400A |
Aug. 4, 2004 |
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date; Correction
Other Release No.: 34-49424A
File No.: S7-22-04
Effective Date: August 23, 2004
Federal Register PDF
|
| 34-50103 |
Jul. 28, 2004 |
Short Sales
File No.: S7-23-03
Effective Date: see release
Compliance Date: see release
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48709; comments;
Pilot Order
|
| IC-26520 |
Jul. 27, 2004 |
Investment Company Governance
File No.: S7-03-04
Effective Date: September 7, 2004.
Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins
Federal Register PDF
See also Proposed Rule, Rel. No. IC-26323; comments;
Response to Request for Stay
|
| 33-8442 |
Jul. 14, 2004 |
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-17-04
Effective Date: August 19, 2004
Federal Register PDF |
| 34-49973 |
Jul. 7, 2004 |
Delegations of Authority to the Director of the Division of Market Regulation, the Director of the Division of Investment Management and the Director of the Office of Compliance Inspections and Examinations
Other Release No.: IC-26493
Effective Date: July 13, 2004
Federal Register PDF
|
| IA-2256 |
Jul. 2, 2004 |
Investment Adviser Codes of Ethics
File No.: S7-04-04
Effective Date: August 31, 2004
Compliance Date: January 7, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. IA-2209; and comments
|
| 34-49928 |
Jun. 28, 2004 |
Collection Practices under Section 31 of the Exchange Act
File No.: S7-05-04
Effective Date: August 6, 2004, except § 240.31T is effective August 6, 2004 to January 1, 2005
Compliance Date: see release
Federal Register PDF
See also Proposed Rule, Rel. No. 34-49104; and comments
Notice of OMB Approval of Collection of Information
Comments Due: Comments should be received on or before August 6, 2004
Click to submit comments on S7-05-04
|
| 33-8433 |
Jun. 23, 2004 |
Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies
Other Release Nos.: 34-49909; IC-26486
File No.: S7-08-04
Effective Date: August 5, 2004, except that the amendments to Item 12 of Form N-1A, Item 18 of Form N-2, and Item 20 of Form N-33 are effective January 31, 2006
Compliance Date: see release
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8364; and comments
|
| 34-49831 |
Jun. 8, 2004 |
Supervised Investment Bank Holding Companies
File No.: S7-22-03
Effective Date: August 20, 2004.
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48694; and comments
Note: Correct version posted June 14, 2004.
|
| 34-49830 |
Jun. 8, 2004 |
Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
File No.: S7-21-03
Effective Date: August 20, 2004.
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48690; and comments
|
| 33-8427 |
Jun. 7, 2004 |
Disclosure of Breakpoint Discounts by Mutual Funds
Other Release Nos.: 34-49817; IC-26464
File No.: S7-28-03
Effective Date: July 23, 2004
Compliance Date: See Release, esp. Section II.G.
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8347; and comments
Notice of OMB Approval of Collections of Information
|
| 34-49616 |
Apr. 26, 2004 |
Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k)
Release No.: 34-49616
File No.: S7-15-03
Effective Date: April 30, 2004, except that § 249.220f is effective June 1, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48481; and comments
|
| 33-8410 |
Apr. 21, 2004 |
Mandated Electronic Filing for Form ID
Release No.: 34-49585, 35-27837, 39-2420, IC-26241
File No.: S7-14-04
Effective Date: April 26, 2004
Federal Register PDF
See also Correction;
Proposed Rule, Rel. No. 33-8399; and comments
|
| 33-8409 |
Apr. 19, 2004 |
Adoption of Updated EDGAR Filer Manual
Release No.: 34-49580; 35-27836; 39-2419; IC-26420
Effective Date: April 26, 2004
Federal Register PDF |
| 33-8408 |
Apr. 19, 2004 |
Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
Release No.: 33-8408
File No.: S7-26-03
Effective Date: May 28, 2004
Federal Register PDF
|
| 34-49562 |
Apr. 14, 2004 |
Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company Transactions
Release No.: 34-49562
Effective Date: May 20, 2004
Federal Register PDF
|
| 33-8400 |
Mar. 16, 2004 |
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
Release No.: 34-49424
File No.: S7-22-02
Effective Date: August 23, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8106 and comments
Amended Rule
|
| 34-49412 |
Mar. 12, 2004 |
Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission
File No.: S7-25-03
Effective Date: April 19, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48832 and comments
|
| 33-8393 |
Feb. 27, 2004 |
Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
Release Nos.: 33-8393; 34-49333; IC-26372
File No.: S7-51-02
Effective Date: May 10, 2004
Compliance Dates: See release
Federal Register PDF
See also: Proposed Rule, Rel. No. IC-25870; comments; and summary of comments
Technical Amendment
|
| 33-8392 |
Feb. 24, 2004 |
Management's Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Release Nos.: 34-49313; IC-26357
File Nos.: S7-40-02; S7-06-03
Effective Date: August 14, 2004
Compliance Dates: See release
Federal Register PDF
See also |
| 34-49259 |
Feb. 17, 2004 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: February 19, 2004
Federal Register PDF |
| 34-48949 |
Dec. 18, 2003 |
Recordkeeping Requirements for Registered Transfer Agents
File No.: S7-13-03
Effective Date: January 28, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48036 and comments
|
| IA-2204 |
Dec. 17, 2003 |
Compliance Programs of Investment Companies and Investment Advisers
Release No.: IC-26299
File No.: S7-03-03
Effective Date: February 5, 2004
Compliance Dates: (see text of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. IC-25925; comments; and Summary of Comments
Notice of OMB Approval of Collections of Information
|
| 34-48931 |
Dec. 16, 2003 |
Processing Requirements for Cancelled Security Certificates
File No.: S7-18-00
Effective Date: January 22, 2004
Federal Register PDF
See also Proposed Rule and comments |
| 33-8340 |
Nov. 24, 2003 |
Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors
Release Nos.: 34-48825; IC-26262
File No.: S7-14-03
Effective Date: January 1, 2004
Compliance Date: (see Compliance Dates section of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48301 and comments
|
| 33-8335 |
Nov. 10, 2003 |
Purchases of Certain Equity Securities by the Issuer and Others
Release Nos.: 34-48766; IC-26252
File No.: S7-50-02
Effective Date: December 17, 2003, except §§ 270.23c-1(a)(11) and 274.201 are effective July 15, 2004.
Compliance Date: (see Compliance Dates section of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8160; comments; and comment summary |
| 33-8294 |
Sep. 29, 2003 |
Amendments to Investment Company Advertising Rules
Release Nos.: 34-48558; IC-26195
File No.: S7-17-02
Effective Date: November 15, 2003.
Compliance Date: (see section II.F. of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. 34-45953; comments; and comment summary |
| IA-2176 |
Sep. 25, 2003 |
Custody of Funds or Securities of Clients by Investment Advisers
File No.: S7-28-02
Effective Date: November 5, 2003.
Compliance Date: April 1, 2004.
Federal Register PDF
See also Proposed Rule, Rel. No. IA-2044
Staff Responses to Questions About Amended Custody Rule |
| 33-8255A |
Sep. 4, 2003 |
Adoption of Updated EDGAR Filer Manual; Correction
Release No.: 34-48204A; 35-27700A; 39-2409A; IC-26103A
Federal Register PDF
See also Final Rule, Rel. No. 33-8255 |
| 33-8267 |
Aug. 19, 2003 |
Adoption of Filing Fee Account Rule
Release No.: 34-48361; 35-27714; 39-2410; IC-26153
Effective Date: October 21, 2003
Federal Register PDF |
| 34-48272 |
Aug. 1, 2003 |
Broker-Dealer Exemption from Sending Certain Financial Information to Customers
Release No.: 34-48272
File No.: S7-48-02
Effective Date: September 5, 2003
Federal Register PDF
|
| 33-8255 |
July 22, 2003 |
Adoption of Updated EDGAR Filer Manual
Release No.: 34-48204; 35-27700; 39-2409; IC-26013
Effective Date: July 31, 2003
Federal Register PDF |
| 34-48167 |
July 11, 2003 |
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
Release No.: IA-2144
File No.: S7-10-00
Effective Date: July 31, 2003
Federal Register PDF
See also IA-1897; Proposed Rule, Rel. No. 34-42620 and comments
|
| IC-26077 |
June 16, 2003 |
Certain Research and Development Companies
File No.: S7-47-02
Effective Date: August 19, 2003
See also Proposed Rule, Rel. No. IC-25835 and comments
|
| 33-8240 |
June 11, 2003 |
Rules of Practice
Release Nos.: 34-48018; 35-27686; 39-2408; IA-2137; IC-26074
File No.: S7-04-03
Effective Date: July 17, 2003
See also Proposed Rule, Rel. No. 33-8190 and comments
|
| 33-8238 |
June 5, 2003 |
Management's Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Release Nos.: 34-47986; IC-26068
File Nos.: S7-40-02; S7-06-03
Effective Date: August 14, 2003.
Compliance Dates: See release for details.
See also Final Rules, Rel. Nos. 33-8177A, 33-8177, 34-47262;
Proposed Rules, Rel. Nos. 33-8212 and comments; 33-8138 and comments
|
| 34-47890 |
May 20, 2003 |
Improper Influence on Conduct of Audits
Release No.: IC-26050
File No.: S7-39-02
Effective Date: June 27, 2003
See also: Proposed Rule Rel. No. 34-46685 and comments |
| 33-8230 |
May 7, 2003 |
Mandated Electronic Filing and Website Posting for Forms 3, 4 and 5
Release No.: 34-47809, 35-27674, IC-26044
File No.: S7-52-02
Effective Date: June 30, 2003.
Compliance Date: June 30, 2003. See release for additional information.
See also: Proposed Rule Rel. No. 33-8170 and comments;
Summary of Comments |
| 33-8224 |
Apr. 30, 2003 |
Adoption of Updated EDGAR Filer Manual
Release Nos: 34-47766; 35-27672; 39-2407; IC-26032
Effective Date: May 7, 2003; See Release for further information. |
| IC-26031 |
Apr. 29, 2003 |
Customer Identification Programs for Mutual Funds
File No.: S7-26-02
Effective Date: June 9, 2003
Compliance Date: October 1, 2003. See release for additional information.
See also: Proposed Rule Rel. No. IC-25667, comments and Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule |
| 34-47752 |
Apr. 29, 2003 |
Customer Identification Programs For Broker-Dealers
File No.: S7-25-02
Effective Date: June 9, 2003
Compliance Date: October 1, 2003.
See also: Proposed Rule Rel. No. 34-46192 and comments |
| 33-8220 |
Apr. 9, 2003 |
Standards Relating to Listed Company Audit Committees
Release Nos: 34-47654; IC-26001
File No.: S7-02-03
Effective Date: April 25, 2003
Compliance Dates: Please see release.
See also: Proposed Rule Rel. No. 33-8173 and comments |
| 33-8128A |
Apr. 8, 2003 |
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
Release No.: 34-46464A; FR-63A
File No.: S7-08-02
Effective Date: April 14, 2003
See also: Final Rule Rel. No. 33-8128;
Proposed Rule Rel. No. 33-8089 and comments
|
| 33-8216 |
Mar. 27, 2003 |
Filing Guidance Related To: Conditions for Use of Non-GAAP Financial Measures; and Insider Trades During Pension Fund Blackout Periods
Release Nos: 34-47583; IC-25983; FR-69
File Nos.: S7-43-02 and S7-44-02
Effective Date: March 28, 2003
See also: Final Rules, Rel. Nos. 34-47225 and 33-8176;
Proposed Rules, Rel. Nos. 34-46778 and comments; 33-8145 and comments
|
| 33-8177A |
Mar. 26, 2003 |
Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Release No.: 34-47235A
File No.: S7-40-02
Effective Date: March 31, 2003
See also: Final Rule Rel. No. 33-8177;
Final Rule Rel. No. 34-47262;
Proposed Rule Rel. No. 33-8138 and comments |
| 33-8183A |
Mar. 26, 2003 |
Strengthening the Commission's Requirements Regarding Auditor Independence
Release Nos: 34-47265A; 35-27642A; IC-25915A; IA-2103A, FR-68
File No.: S7-49-02
Effective Date: March 31, 2003
See also: Final Rule Rel. No. 33-8183;
Proposed Rule Rel. No. 33-8154 and comments
|
| 34-44992A |
Mar. 26, 2003 |
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.: S7-26-98
Effective Date: May 2, 2003
Notice of OMB Approval of Collections of Information
See also: Final Rule Rel. No. 34-44992; Proposed Rule Rel. No. 34-40518 and comments
|
| 34-47480 |
Mar. 11, 2003 |
Customer Protection — Reserves and Custody of Securities:
Delegation of Authority to the Director of the Division of Market Regulation
File No.: S7-20-02
Effective Date: April 16, 2003
See also: Release No. 34-47683;
Proposed Rule Rel. No. 34-46019 and comments
|
| 33-8193 |
Feb. 20, 2003 |
Regulation Analyst Certification
Release No.: 34-47384
File No.: S7-30-02
Effective Date: April 14, 2003
Notice of OMB Approval of Collections of Information
See also: Proposed Rule Rel. No. 33-8119 and comments; Other Rule, Rel. No.34-47591
|
| 34-47364 |
Feb. 14, 2003 |
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
File No.: S7-41-02
Effective Date: March 26, 2003
Compliance Date: September 30, 2003
See also: Order Extending Temporary Exemption;
Proposed Rule Rel. No. 34-46745 and comments
See also Bank Dealer Compliance Guide
|
| IC-25934 |
Feb. 13, 2003 |
Custody of Investment Company Assets with a Securities Depository
File No.: S7-22-01
Effective Date: March 28, 2003
See also: Proposed Rule Rel. No. IC-25266 and comments
|
| 33-8188 |
Jan. 31, 2003 |
Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
Release Nos.: 34-47304, IC-25922
File No.: S7-36-02
Effective Date: April 14, 2003
Compliance Date: See Section III of this Release.
Comments Due: March 14, 2003
See also: Proposed Rule Rel. No. 33-8131 and comments
|
| IA-2106 |
Jan. 31, 2003 |
Proxy Voting by Investment Advisers
File No.: S7-38-02
Effective Date: March 10, 2003
Compliance Date: August 6, 2003
See also: Proposed Rule Rel. No. IA-2059 and comments
|
| 33-8185 |
Jan. 29, 2003 |
Implementation of Standards of Professional Conduct for Attorneys
Release Nos: 34-47276; IC-25919
File No.: S7-45-02
Effective Date: August 5, 2003
See also: Proposed Rule Rel. No. 33-8150 and comments
|
| 33-8183 |
Jan. 28, 2003 |
Strengthening the Commission's Requirements Regarding Auditor Independence
Release Nos: 34-47265; 35-27642; IC-25915; IA-2103, FR-68
File No.: S7-49-02
Effective Date: May 6, 2003.
Transition Dates: See text of Release.
Notice of OMB Approval of Collections of Information
See also Correction to Final Regulations, Release No. 33-8183a; Proposed Rule Rel. No. 33-8154 and comments
|
| 33-8182 |
Jan. 28, 2003 |
Disclosure in Management's Discussion and Analysis about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations
Release Nos: 34-47264; FR-67; International Series No. 1266
File No.: S7-42-02
Effective Date: April 7, 2003
Compliance Date: See text of Release.
See also: Proposed Rule Rel. No. 33-8144 and comments
|
| 34-47262 |
Jan. 27, 2003 |
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
Release No.: IC-25914
File No.: S7-33-02 and S7-40-02
Effective Date: March 1, 2003.
Compliance Date: See Section III of this Release.
See also: Final Rules, Rel. Nos. 33-8238, 33-8177A; 33-8177;
Proposed Rules, Rel. Nos. 33-8138 and comments; 34-46441 and comments
|
| 33-8180 |
Jan. 24, 2003 |
Retention of Records Relevant to Audits and Reviews
Release Nos.: 34-47241; IC-25911; FR-66
File No.: S7-46-02
Effective Date: March 3, 2003
Compliance Date: October 31, 2003
See also: Proposed Rule Rel. No. 33-8151 and comments
|
| 33-8177 |
Jan. 23, 2003 |
Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Release Nos.: 34-47235
File No.: S7-40-02
Effective Date: March 3, 2003.
Comments Due: February 18, 2003; see text for details
Compliance Date: See text of release.
(Note: Text of release corrected Jan. 24, 2003, 9:35 am)
See also: Correction to Final Regulations, Rel. No. 33-8177a; Final Rule Rule Rel. No. 34-47262; Proposed Rule Rel. No. 33-8138 and comments
|
| 34-47225 |
Jan. 22, 2003 |
Insider Trades During Pension Fund Blackout Periods
Release Nos.: IC-25909
File No.: S7-44-02
Effective Date: January 26, 2003
Compliance Date: March 31, 2003
See also: Final Rule Rel. No. 33-8216;
Proposed Rule Rel. No. 34-46778 and comments
|
| 33-8176 |
Jan. 22, 2003 |
Conditions for Use of Non-GAAP Financial Measures
Release Nos.: 34-47226; FR-65
File No.: S7-43-02
Effective Date: March 28, 2003
Compliance Date: See text of release.
See also: Final Rule Rel. No. 33-8216;
Proposed Rule Rel. No. 33-8145 and comments
|
| IC-25888 |
Jan. 14, 2003 |
Transactions of Investment Companies with Portfolio and Subadviser Affiliates
File No.: S7-13-02
Effective Date: February 24, 2003
Compliance Date: April 23, 2003. Section II of this document contains more information on transition prior to the compliance date.
See also: Proposed Rule Rel. No. IC-25557 and comments
|
| 33-8171 |
Dec. 23, 2002 |
Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
Release No.: 34-47082
File No.: S7-29-02
Effective Date: January 2, 2003
See also: Proposed Rule Rel. No. 33-8114 and comments
|
| 34-47013 |
Dec. 17, 2002 |
Repeal of the Trade-Through Disclosure Rules for Options
File No.: S7-18-02
Effective Date: December 27, 2002
See also: Proposed Rule Rel. No. 34-46002 and comments
|
| IA-2091 |
Dec. 12, 2002 |
Exemption for Certain Investment Advisers Operating Through the Internet
File No.: S7-10-02
Effective Date: January 20, 2003
See also: Proposed Rule Rel. No. IA-2028 and comments
|
| 33-8147 |
Nov. 13, 2002 |
Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts
Release No.: IC-25802;
File No.: S7-07-02
Effective Date: December 23, 2002.
Compliance Dates:
Initial Compliance Date: Form N-4 or Form N-6 on or after January 1, 2003.
Final Compliance Date: Form N-4 or N-6 filed on or after January 1, 2003, and no later than January 1, 2004.
See also: Proposed Rule Rel. No. 33-8087 and comments
|
| 34-46667 |
Oct. 16, 2002 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: October 23, 2002 |
| 34-46473 |
Sept. 9, 2002 |
Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
File No.: S7-17-01
Effective Date: September 13, 2002, except § 240.17a-4(l) and (m) will be effective May 2, 2003.
See also: Proposed Rules, Rel. Nos. 34-44996, 34-44854 and comments
|
| 34-46471 |
Sept. 6, 2002 |
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
File No.: S7-19-02
Effective Date: October 15, 2002
Compliance Dates: October 15, 2002 and June 1, 2003. Section V of this document contains more information on transition prior to June 1, 2003.
See also: Proposed Rule Rel. No. 34-46014 and comments
|
| 33-8128 |
Sept. 5, 2002 |
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
File No.: S7-08-02
Effective Date: November 15, 2002.
Compliance Dates: See release.
Release Nos.: 34-46464; FR-63
See also: Technical Amendments to Final Rule Release No. 33-8128;
Proposed Rule Rel. No. 33-8089 and comments
|
| 33-8124 |
Aug. 29, 2002 |
Certification of Disclosure in Companies' Quarterly and Annual Reports
File No.: S7-21-02
Effective Date: August 29, 2002
Comment Date: Comments on the extension of the certification requirement to definitive proxy and information statements should be received on or before 30 days after publication in the Federal Register.
Release Nos.: 34-46427, IC-25722
See also: Revised statement by the Division of Corporation Finance regarding compliance by asset-backed issuers with Exchange Act Rules 13a-14 and 15d-14 and Release No. 34-46441, IC-25723, "Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms;"
Proposed Rules, Rel. Nos. 33-8109, 34-46079 and comments
|
| 34-46421 |
Aug. 27, 2002 |
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
File No.: S7-31-02
Effective Date: August 29, 2002
Comment Date: Comments on the amended rules must be received on or before September 30, 2002.
Release Nos.: 34-46421; 35-27563; IC-25720
See also: Release. No. 34-46313 and comments
|
| 34-46418 |
Aug. 27, 2002 |
Delegation of Authority to the General Counsel of the Commission
Effective Date: September 3, 2002 |
| 34-46292 |
Aug. 1, 2002 |
Customer Margin Rules Relating to Security Futures
File No.: S7-16-01
Effective Date: September 13, 2002
See also: Proposed Rules, Rel. Nos. 34-44996, 34-44853 and comments
|
| IC-25666 |
July 18, 2002 |
Investment Company Mergers
File No.: S7-21-01
Effective Date: July 25, 2002.
Compliance Date: October 25, 2002. See Section II of this document for more information.
See also: Proposed Rule Rel. No. IC-25259 and comments
|
| 34-46169 |
July 8, 2002 |
Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
File No.: S7-14-02
Effective Date: August 12, 2002
See also Proposed Rule, Rel. No. 34-45854 and comments
|
| 34-46106 |
June 24, 2002 |
Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act
Release No.: IC-25621
Effective Date: July 8, 2002 |
| 34-45956 |
May 17, 2002 |
Cash Settlement and Regulatory Halt Regulations for Security Futures Products
File No.: S7-15-01
Effective Date: June 24, 2002
See also Proposed Rule, Rel. No. 34-44743 and comments
|
| 33-8099 |
May 14, 2002 |
Mandated EDGAR Filing for Foreign Issuers
File No.: S7-18-01
Effective Date: November 4, 2002, except for §232.101(d), §232.101(b)(10), and §232.101(c)(9), which are effective May 24, 2002.
Comments Due: Comments are due on or before June 24, 2002.
See also Proposed Rule, Rel. No. 33-8016 and comments
|
| IC-25560 |
Apr. 30, 2002 |
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
File No.: S7-20-00
Effective Date: May 10, 2002
See also Proposed Rule, Rel. No. IC-24775 and comments
|
| 34-45848 |
April 30, 2002 |
Delegation of Authority to the Secretary of the Commission
Effective Date: May 6, 2002. |
| 33-8091 |
Apr. 17, 2002 |
Amendment to Definition of "Equity Security"
File No.: S7-11-02
Effective Date: Effective June 7, 2002.
Comment Date: Comments must be received on or before May 23, 2002. |
| 33-8088 |
Apr. 12, 2002 |
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies
File No.: S7-9-98
Effective Date: June 1, 2002
Release Nos.: 33-8088; IC-25522 |
| 33-8071 |
Mar. 20, 2002 |
Approved Information Collections
Effective Date: March 27, 2002
Release Nos.: 34-45601 35-27505; 39-2396; IC-25471; and IA-2021 |
| 33-8070 |
Mar. 18, 2002 |
Requirements for Arthur Andersen LLP Auditing Clients
File No.: S7-03-02
Effective Date: March 18, 2002, except Temporary Notes 1T, 2T and 3T preceding § 210.3-01; § 228.304T; Temporary Notes 1T and 2T in § 228.310; §§ 228.601T, 229.304T, 229.601T, 230.427T; Instruction 2T following paragraph (b)(2)(iv) in § 230.428; and the amendments to Form 20-F will be effective from March 18, 2002 to December 31, 2002. |
| 34-45371 |
Jan. 31, 2002 |
Exemption of Transactions in Certain Options and Futures on Security Indexes from Section 31 of the Exchange Act
Effective Date: February 1, 2002 |
| 34-45291 |
Jan. 16, 2002 |
Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees
File No.: S7-02-02
Effective Date: January 16, 2002 |
| 33-8049 |
Dec. 21, 2001 |
Options Disclosure Document
File No.: S7-19-98
Effective Date: February 1, 2002 |
| 33-8048 |
Dec. 21, 2001 |
Disclosure of Equity Compensation Plan Information
File No.: S7-04-01
Effective Date: February 1, 2002
Compliance Dates: See release for details
See also Proposed Rule, Rel. No. 33-7944 and comments
|
| 34-44992 |
Oct. 26, 2001 |
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.: S7-26-98
Effective Date: May 2, 2003
Correction to Final Rule |
| 34-44965 |
Oct. 22, 2001 |
Debt Collection — Amendments to Collection Rules and Adoption of Wage Garnishment Rules
Effective Date: November 26, 2001 |
| 34-44852 |
Sept. 26, 2001 |
Extension of Compliance Date, Firm Quote and Trade-Through Disclosure Rules for Options
File No.: S7-17-00
Effective Date: The effective date for Rule 11Ac1-7, published on December 1,2000 (65 FR 75439), remains February 1, 2001
See also Other Rule, Rel. No. 34-45654; Proposed Rule, Rel. No. 34-43085 and comments
|
| 33-8010 |
Sept. 26, 2001 |
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date
File No.: S7-09-00
Effective Date: The effective date published on February 5, 2001, remains April16, 2001
Other Release Nos.: 34-44850; IC-25175
See also Final Rule, Rel. No. 33-7941;
Proposed Rule, Rel. No. 33-7809 and comments
|
| 34-44834 |
Sept. 24, 2001 |
Adoption of Updated EDGAR Filer Manual
Release Nos.: 33-8007; 35-27443; 39-2393; IC-25168
Effective Date: October 1, 2001 |
| 34-44730 |
Aug. 21, 2001 |
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 (includes Appendix A: Form BD-N in PDF format)
File No.: S7-13-01
Effective Date: August 27, 2001
See also Proposed Rule, Rel. No. 34-44455 and comments
|
| 34-44724 |
Aug. 20, 2001 |
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
File No.: S7-11-01
Effective Date: August 21, 2001
See also Proposed Rules, Rel. Nos. 34-44475, 34-44288 and comments
|
| 34-44692 |
Aug. 13, 2001 |
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations (includes Appendix A: Form 1-N in PDF format and Appendix B: Form 19b-7)
File No.: S7-10-01
Effective Date: August 20, 2001
Comments Due: On or before September 4, 2001
See also Proposed Rule, Rel. No. 34-44279 and comments
|
| 34-44691 |
Aug. 13, 2001 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: August 20, 2001 |
| 33-7999 |
Aug. 7, 2001 |
Adoption of Updated EDGAR Filer Manual
Release Nos.: 34-44660; 35-27430; 39-2391; IC-25102
Effective Date: August 16, 2001 |
| 34-44626 |
Jul. 31, 2001 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: August 6, 2001 |
| IC-25058 |
Jul. 5, 2001 |
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
File No.: S7-21-99
Effective Date: August 15, 2001 |
| 34-44494 |
Jun. 29, 2001 |
Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers
File No.: S7-12-00
Effective Date: Becomes effective 30 days after publication in the Federal Register, except §240.17a-25(b), which shall become effective 180 days after publication in the Federal Register
See also Proposed Rule, Rel. No. 34-42741 and comments
|
| 33-7983 |
Jun. 12, 2001 |
International Disclosure Standards; Correction
File No.: S7-03-99
Effective Date: Date of publication in the Federal Register
Other Release Nos.: 34-44406; IA-1249 |
| 34-44397 |
Jun. 7, 2001 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: Date of publication in the Federal Register |
| 35-27404 |
May 24, 2001 |
Electronic Recordkeeping by Public Utility Holding Companies
File No.: S7-07-01
Effective Date: May 31, 2001
See also Proposed Rule, Rel. No. 35-27357 and comments
|
| IC-24991 |
May 24, 2001 |
Electronic Recordkeeping by Investment Companies and Investment Advisers
Other Release Nos.: IA-1945
File No.: S7-06-01
Effective Date: May 31, 2001
See also Proposed Rule, Rel. No. IC-24890 and comments
|
| 34-44291 |
May 11, 2001 |
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
File No.: S7-12-01
Effective Date: May 11, 2001
Comments Due: July 17, 2001 (see rule summary for details)
See also Order Extending Temporary Exemption and Notice of Intent to Amend Rules and Extension of Comment Period (July 18, 2001); also Order Extending Temporary Exemption and Notice of Intent to Amend Rules (May 8, 2002)
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Dealer" (Oct. 30, 2002)
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Broker"; Notice of Intent to Amend Rules (April 8, 2003)
See also Bank Dealer Compliance Guide
Comments received electronically are available for this proposal.
See also summary of comments.
Note: Also Available in PDF Format: 34-44291 |
| 34-44227 |
Apr. 27, 2001 |
Record keeping Requirements for Transfer Agents
File No.: S7-17-99
Effective Date: May 31, 2001 |
| 34-44079 |
Mar. 15, 2001 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: Mar. 15, 2001 |
| 34-44078 |
Mar. 15, 2001 |
Firm Quote and Trade-Through Disclosure Rules for Options
Effective Date: The effective date for Rule 11Ac1-7, published on Dec. 1, 2000(65 FR 75439), remains Feb. 1, 2001
Compliance Date: The compliance date for Rule 11Ac1-7 is extended from Apr. 1,2001 to Oct. 1, 2001.
Release No.: 34-44078; File No.: S7-17-00 |
| 34-44060 |
Mar. 9, 2001 |
Disclosure of Order Execution and Routing Practices
File No.: S7-16-00
Effective Date: The effective date of Rule 11Ac1-5 published on Dec. 1, 2000 (65FR 75414) remains Jan. 30, 2001.
Compliance Date: The initial compliance date for the first phase-in of securities subject to Rule 11Ac1-5 is extended from Apr. 2, 2001, to May 1, 2001. While this order alters the initial compliance date for Rule 11Ac1-5, the subsequent phase-in dates of Rule 11Ac1-5 and the compliance date of Rule 11Ac1-6 are unchanged.
See also Final Rule, Rel. No. 34-43590; Proposed Rule, Rel. No. 34-43084 and comments
|
| IC-24828A |
Mar. 8, 2001 |
Investment Company Names: Correction
Effective Date: Mar. 14, 2001
|
| 33-7959 |
Mar. 5, 2001 |
Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities
Effective Date: Mar. 12, 2001.
Other Release Nos.: 33-7959; IC-24886 |
| 33-7932A |
Feb. 27, 2001 |
Role of Independent Directors of Investment Companies; Correction
File No.: S7-23-99
Effective Date: Mar. 5, 2001
Other Release Nos.: 34-43786A; IC-24816A; |
| 34-43985 |
Feb. 21, 2001 |
Delegation of Authority to the Director of the Division of Market Regulation.
Effective Date: Feb. 26, 2001 |
| 33-7946 |
Jan. 29, 2001 |
Adjustments to Civil Monetary Penalty Amounts.
Effective Date: Feb. 2, 2001
Other Release Nos. : 33-7946; 34-43897; IA-1921; IC-24846 |
| 33-7943 |
Jan. 26, 2001 |
Integration of Abandoned Offerings.
Effective Date: Mar. 7, 2001
Release No. : 33-7943; S7-30-98 |
| 33-7941 |
Jan. 18, 2001 |
Disclosure of Mutual Fund After-Tax Returns
File No.: S7-09-00
Effective Date: Apr. 16, 2001.
Compliance Date: Section II. J. of this release contains information on compliance dates.
Other Release Nos.: 34-43857; IC-24832
Note: Additional material is available for this release:
Frequently Asked Questions About Mutual Fund After-Tax Return Requirements
Final Rule, Rel. No. 33-8010;
Proposed Rule, Rel. No. 33-7809 and comments
|
| IC-24828 |
Jan. 17, 2001 |
Investment Company Names
File No.: S7-11-97
Effective Date: Mar. 31, 2001
Compliance Date: Registered investment companies must comply with §270.35d-1 by Jul. 31, 2002.
Note: Additional material is available for this release:
Frequently Asked Questions about Rule 35d-1 (Investment Company Names) |
| 33-7933 |
Jan. 17, 2001 |
Adoption of Updated EDGAR Filer Manual
Effective Date: Date of publication in the Federal Register
Other Release Nos.: 34-43843; 35-27338; 39-2388; IC-24827 |
| 33-7932 |
Jan. 2, 2001 |
Role of Independent Directors of Investment Companies
File No.: S7-23-99
Effective Date: Feb. 15, 2001, except that the rescission of§ 270.2a19-1 under the Investment Company Act will become Effective 12, 2001
Other Release Nos.: 34-43786; IC-24816 |
| IA-1916 |
Dec. 21, 2000 |
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
Effective Date: Jan. 1, 2001
Other Release Nos.: 34-43758 |
| 34-43651 |
Dec. 1, 2000 |
Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness
File No.: S7-12-98
Effective Date: 17 CFR 242.301(b)(5)(i)(D) and (E) and 242.301(b)(6)(i)(D) and(E) are stayed until Dec. 1, 2001
|
| 34-43621 |
Nov. 27, 2000 |
Adoption of Amendments to National Market System Plan
File No.: 4-434
Effective Date: Jan. 2, 2001
|
| 33-7919 |
Nov. 21, 2000 |
Revision of the Commission's Auditor Independence Requirements
File No.: S7-13-00
Effective Date: Feb. 5, 2001.
Other Release Nos.: 34-43602; 35-27279; IC-24744; IA-1911; FR-56
See also Proposed Rules, Rel. Nos. 33-7883, 34-42994 and comments
|
| 34-43591 |
Nov. 17, 2000 |
Firm Quote and Trade-Through Disclosure Rules for Options
File No.:
Effective Date: 30 days after publication in the Federal Register
|
| 34-43590 |
Nov. 17, 2000 |
Disclosure of Order Execution and Routing Practices
File No.: S7-16-00
Effective Date: Jan. 30, 2001
See also Final Rule, Rel. No. 34-44060; Proposed Rule, Rel. No. 34-43084 and comments
|
| 33-7912 |
Oct. 27, 2000 |
Delivery of Proxy Statements and Information Statements to Households
File No.: S7-26-99
Effective Date: Dec. 4, 2000
Other Release Nos.: 34-43487; IC-24715 |
| 34-34961 |
Oct. 19, 2000 |
Amendments to Rule 9b-1 under the Securities Exchange Act of 1934Relating to the Options Disclosure Document
File No.: S7-18-98
Effective Date: 30 days after publication in the Federal Register
|
| IA-1897 |
Sep. 12, 2000 |
Electronic Filing by Investment Advisers; Amendments to Form ADV
File No.: S7-10-00
Effective Date: Oct. 10, 2000
See also 34-48167;
Proposed Rule, Rel. No. 34-42620 and comments
|
| 34-43239 |
Sep. 1, 2000 |
Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83
File No.: S7-14-99
Effective Date: Oct. 13, 2000
Other Release Nos.: FOIA-191;
PA-30 |
| 34-43217 |
Aug. 29, 2000 |
Unlisted Trading Privileges
File No.: S7-29-99
Effective Date: Nov. 6, 2000
|
| 33-7881 |
Aug. 15, 2000 |
Selective Disclosure and Insider Trading
File No.: S7-31-99
Effective Date: Oct. 23, 2000
Other Release Nos.: 34-43154; IC-24599 |
| 33-7878 |
Aug. 15, 2000 |
Financial Statements and Periodic Reports for Related Issuers and Guarantors
File No.: S7-7-99
Effective Date: Oct. 23, 2000
Other Release Nos.: 34-43124; International Series No. 1229; FR-55 |
| 33-7877 |
Jul. 27, 2000 |
Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies
File No.: S7-14-00
Other Release Nos.: IC-24582 |
| 34-42974 |
Jun. 22, 2000 |
Privacy of Consumer Financial Information (Regulation S-P)
File No.: S7-6-00
Effective Date: Nov. 13, 2000
Other Release Nos.: IC-24543, IA-1883
Note: Additional material is available for this release:
Staff Responses to Questions About Regulation S-P
Proposed Rule, Rel. No. 34-42484 and comments
|
| 33-7867 |
Jun. 14, 2000. |
Adoption of Updated EDGAR Filer Manual
Effective Date: Jun. 23, 2000
Other Release Nos.: 34-42942; 35-27185; 39-2386; IC-24498 |
| 33-7860 |
Jun. 7, 2000 |
Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts.
File No.: S7-10-99
Effective Date: Jun. 23, 2000
Other Release Nos.: 34-42905, IC-24491; International Series Release No.1226 |
| 34-42892 |
Jun. 2, 2000 |
Revised Transfer Agent Form and Related Rule
File No.: S7-11-99
Effective Date: 30 days after date of publication in Federal Register.
|
| 33-7858 |
May 16, 2000 |
Adoption of Updated EDGAR Filer Manual.
Effective Date: May 30, 2000
Other Release Nos.: 34-42789; 35-27177; 39-2385; IC-24455 |
| IC-24424 |
Apr. 27, 2000 |
Custody of Investment Company Assets Outside the United States.
File No.: S7-15-99
Effective Date: Jun. 12, 2000
Other Release Nos.: IS-1221 |
| 33-7855 |
Apr. 24, 2000 |
Rulemaking for EDGAR System
File No.: S7-05-00
Effective Date: May 30, 2000
Other Release Nos.: 34-42712; 35-27172; 39-2384; IC-24400
See also Proposed Rule, Rel. No. 342462 and comments
|
| 3442603A |
Mar. 31, 2000 |
Regulation of Alternative Trading Systems; Suspension (Extension of Effective date to Dec. 1, 2000)
File No.: S7-12-98
|
| 33-7789 |
Jan. 12, 2000. |
Adoption of Updated EDGAR Filer Manual
File No.:
Effective Date: Jan. 12, 2000.
Other Release Nos.: 34-42327; 35-27123; 39-2380; IC-24235 |
| 34-42266 |
Dec. 22, 1999 |
Audit Committee Disclosure
File No.: S7-22-99
Effective Date: Jan. 31, 2000
|
| 34-42212 |
Dec. 9, 1999 |
Adoption of Amendments to the Intermarket Trading System Plan To Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities
File No.: 4-208
Effective Date: Feb. 14, 2000
|
| IC-24177 |
Nov. 30, 1999 |
Temporary Exemption for Certain Investment Advisers
File No.: S7-22-98
Effective Date: Dec. 13, 1999
Other Release Nos.: IA-1846 |
| 33-7766 |
Nov. 5, 1999 |
Delivery of Disclosure Documents to Households
File No.: S7-27-97
Effective Date: Dec. 20, 1999
Other Release Nos.: 34-42101; IC-24123 |
| 33-7760 |
Oct. 26, 1999 |
Regulation of Takeovers and Security Holder Communications
File No.: S7-28-98
Effective Date: Jan. 24, 2000
Other Release Nos.: 34-42055 |
| 33-7759 |
Oct. 26, 1999 |
Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings
File No.: S7-29-98
Effective Date: Jan. 24, 2000
Other Release Nos.: 34-42054 |
| 33-7752 |
Oct. 7, 1999 |
Adoption of Updated EDGAR Filer Manual
File No.:
Effective Date: Oct. 18, 1999
Other Release Nos.: 34-41986; 35-27081; 39-2376; IC-24075 |
| 34-41936 |
Sep. 28, 1999 |
International Disclosure Standards
File No.: S7-3-99
Effective Date:
|
| 34-41905 |
Sep. 23, 1999 |
Purchases of Certain Equity Securities by the Issuer and Others
File No.: S7-27-98
Effective Date: 30 days after date of publication in Federal Register.
|
| 33-7728 |
Aug. 24, 1999. |
Personal Investment Activities of Investment Company Personnel
File No.: S7-25-95
Effective Date: Oct. 29, 1999
Other Release Nos.: IC-23958, IA-1815 |
| 34-41661 |
Jul. 29, 1999 |
Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents
File No.: S7-8-99
Effective Date: Aug. 30, 1999 |
| 34-41594 |
Jul. 2, 1999 |
Broker-Dealer Registration and Reporting
Effective Date: Jul. 30, 1999
File No.: S7-16-99
Note: Additional material is available for this release:
Appendix A; Appendix B: Form BD in Adobe Acrobat format; Amendments:(File name: 34-41672.htm). |
| IA-1804 |
Jun. 22, 1999 |
Delegation of Authority To Cancel Registration of Certain Investment Advisers
Effective Date: Jun. 28, 1999 |
| 34-41453 |
May 26, 1999. |
Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities;
File No.: S7-4-99
Effective Date: Jun. 2, 1999. |
| 33-7685 |
May 18, 1999 |
Adoption of Updated EDGAR Filer Manual;
Effective Date: amendment to 17 CFR part 232 (Regulation S-T): Jun. 28,1999; New edition of the EDGAR Filer Manual (Release 6.50): Jun. 28, 1999.
Note: The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of Jun. 28, 1999.
Other Release Nos.: 34-41411; 35-27026; 39-2373; IC-23844 |
| 33-7684 |
May 18, 1999 |
Rulemaking for EDGAR System
File No.: S7-9-99
Effective Date: Jun. 28, 1999 (and apply to filings submitted on or after that date).
Other Release Nos. : 34-41410; IC-23843 |
| 34-41356 |
May 3, 1999 |
Broker-Dealer Registration and Reporting
File No.: S7-17-96
Effective Date: 30 days after publication in the Federal Register
Note: Additional material is available for this release:
Form BDW in Adobe Acrobat format. |
| IC-23814 |
Apr. 30, 1999 |
Custody of Investment Company Assets Outside the United States; Extension of Compliance Date
File No.: S7-23-95
Effective Date: Rule amendments published on May 16, 1997 (62 FR 26923) remains Jun. 16, 1997.
Other Release Nos.: IS-1193 |
| 34-41297 |
Apr. 16, 1999 |
Regulation of Alternative Trading Systems; Technical Amendment
File No.: S7-12-98
Effective Date: Apr. 21, 1999.
Note: Additional material is available for this release:
Appendix: Schedule A |
| IC-23786 |
Apr. 15, 1999 |
Deregistration of Certain Registered Investment Companies.
File No.: S7-31-98
Effective Date: Jun. 1, 1999
Note: Additional material is available for this release in PDF format: Form N-8F |
| IA-1794 |
Mar. 29, 1999 |
Transition Rule for Ohio Investment Advisers
File No.: S7-2-99
Effective Date: May 3, 1999 |
| 3440760a |
Mar. 11, 1999 |
Regulation of Exchanges and Alternative Trading Systems. Correction;
File No.: S7-12-98
Effective Date: Apr. 21, 1999 |
| 34-41116 |
Mar. 1, 1999 |
Adoption of an Amendment to Rule 3a12-8
File No.: S7-15-98
Effective Date: Mar. 5, 1999
Other Release Nos.: International Series Release No. 118 |
| 33-7646 |
Feb. 26, 1999 |
Adoption of Amendments to Form S-8 related Rules Under the Securities Act, and Regulations S-K and S-B
File No.: S7-2-98
Effective Date: Apr. 7, 1999
Other Release Nos.: 34-41109 |
| 33-7645 |
Feb. 25, 1999 |
Rule 701 - Exempt Offerings Pursuant to Compensatory Arrangements
File No.: S7-5-98
Effective Date: Apr. 7, 1999 |
| 33-7644 |
Feb. 26, 1999 |
Adoption of Amendments to Rule 504 of Regulation D
Effective Date: Apr. 7, 1999
Other Release Nos.: S7-14-98 |
| IC-23670 |
Jan. 29, 1999 |
Extension of Compliance Date
File No.: S7-23-95
Effective Date: May 1, 1999
Other Release Nos.: IS-1179 |
| 34-40934 |
Jan. 12, 1999 |
Rulemaking for EDGAR System
File No.: S7-18-97
Effective Date: 30 days after publication in Federal Register
Note: Additional materials are available for this release in PDF format:
Form 13F and the 13F Table.
Other Release Nos.: IC-23640 |
| IA-1780 |
Jan. 11, 1999 |
Rules Implementing Amendments to the Investment Advisers Act of 1940; Correction to Technical Amendments Under the Investment Advisers Act of 1940
File No.: S7-31-96; S7-7-86
Effective Date: Jan. 15, 1999 |
| IA-1733A |
Jan. 7, 1999 |
Technical Changes to Schedule I to Form ADV
File No.: S7-28-97MIA-1733A
Effective Date: Jan. 7, 1999
Reference see also Release No. IA-1733 |
| 33-7620 |
Jan. 5, 1999 |
Segment Reporting
File No.: S7-17-98
Effective Date: Feb. 11, 1999 |
| 34-40760 |
Dec. 8, 1998 |
Regulation of Exchanges and Alternative Trading Systems
File No.: : S7-12-98
Effective Date: Apr. 21, 1999
Compliance Date: The first two brackets are 120 days (Apr. 21, 1999) and the third bracket is 240 days (Aug. 30, 1999).
Note: Additional materials are available for this release in PDF format:
Form 1, Form ATS, Form ATS-R, and Form PILOT |
| 34-40761 |
Dec. 8, 1998 |
Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
File No.: S7-13-98
Effective Date: Feb. 22, 1999
Note: Additional materials are available for this release in PDF format:
Form 19b-4(e). |
| 34-40594a |
Nov. 5, 1998 |
OTC Derivatives Dealers; Correction
File No.: S7-30-97
Effective Date: Jan. 1, 1999 |
| 34-40636 |
Nov. 4, 1998 |
Rules of Practice
File No.: S7-23-98
Effective Date: 30 days after publication in Federal Register |
| 33-7608 |
Nov. 4, 1998 |
Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
File No.: S7-19-97
Effective Date: Date of publication in Federal Register |
| 34-40608 |
Oct. 28, 1998 |
Reports to be Made by Certain Brokers and Dealers
File No.: S7-7-98
Effective Date: 60 days after publication in Federal Register. |
| 34-40587 |
Oct. 22, 1998 |
Year 2000 Readiness Reports to be Made by Certain Non-Bank Transfer Agents
File No.: S7-8-98
Effective Date: Dec. 2, 1998 |
| 34-40594 |
Oct. 23, 1998 |
OTC Derivatives Dealers
File No.: S7-30-97
Effective Date: Jan. 4, 1999 |
| 33-7593 |
Oct. 19, 1998 |
Amendment to Rule 102(e) of the Commission's Rules of Practice
File No.: S7-16-98
Effective Date: Nov. 25, 1998. |
| IA-1769 |
Oct. 1, 1998 |
Investment Adviser Year 2000 Reports
File No.: S7-20-98
Effective Date: Nov. 13, 1998. |
| IA-1733 |
Jul. 20, 1998 |
Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers with Principal Offices and Places of Business in Colorado or Iowa
File No.: S7-28-97
Effective Date: Aug. 31, 1998. |
| 34-40163A |
|
Correction to Final Rule: Year 2000 Readiness Reports
File No.: S7-8-98
Effective Date: date of publication in Federal Register |
| IA-1731 |
Jul. 15, 1998 |
Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
File No.: S7-29-97
Effective Date: Aug. 20, 1998. |
| 34-40163 |
Jul. 2, 1998 |
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
File No.: S7-8-98
Effective Date: Aug. 12, 1998. |
| 34-40162 |
Jul. 2, 1998 |
Reports to be Made by Certain Brokers and Dealers
File No.: S7-7-98
Effective Date: Aug. 12, 1998. |
| 33-7548 |
Jun. 24, 1998 |
Definitions of "Small Business" or "Small Organization" Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
File No.: S7-4-97
Effective Date: Jul. 30, 1998. |
| 33-7539 |
May 19, 1998 |
Adoption of Updated EDGAR Filer Manual
Effective Date: Jun. 1, 1998 |
| IC-23201 |
May 21, 1998 |
Extension of Compliance Date: Custody of Investment Company Assets Outside the United States
File No.: S7-23-95
Effective Date: Jun. 16, 1997.
Compliance Date: Feb. 1, 1999 |
| 34-40018 |
May 21, 1998 |
Amendments to Rules on Shareholder Proposals
File No.: S7-25-97
Effective Date: 30 days after publication in Federal Register. |
| 33-7513 |
Mar. 13, 1998 |
New Disclosure Option for Open-End Management Investment Companies
File No.: S7-18-97
Effective Date: Jun. 1, 1998. |
33-7512r;
33-7512f |
Mar. 13, 1998 |
Registration Form Used by Open-End Management Investment Companies
File No.: S7-10-97
Effective Date: Jun. 1, 1998.
Note: text of Form N-1A added, 3-23-98. |
| 35-26826 |
Feb. 20, 1998 |
Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
File No.: S7-11-95
Effective Date: date of publication in Federal Register. |
33-7505
Part 1 ; Part 2 |
Feb. 17, 1998 |
Offshore Offers and Sales (Regulation S)
Effective Date: 60 days after publication in Federal Register. |
| 34-39627 |
Feb. 9, 1998 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: date of publication in Federal Register |
| 34-39624 |
Feb. 5, 1998 |
Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act
Effective Date: date of publication in Federal Register |
| 33-7497 |
Jan. 28, 1998 |
Plain English Disclosure
File No.: S7-3-97
Effective Date: Oct. 1, 1998
Note: Additional materials are available for this release: Appendix A, Appendix B, and the Plain English Handbook. |
| 33-7495 |
Jan. 20, 1998 |
Adoption of Updated EDGAR Filer Manual
Effective Date: Jan. 26, 1998. |
| 33-7494 |
Jan. 13, 1998 |
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-17-97
Effective Date: date of publication in Federal Register. |
| 34-39538 |
Jan. 12, 1998 |
Amendments to Beneficial Ownership Reporting Requirements
File No.: S7-16-96
Effective Date: Feb. 17, 1998.
Note: Additional material (the chart "III. Effects of Amendments to Regulation13D-G") is available for this release. |
| 33-7479 |
Dec. 2, 1997 |
Technical Revisions to the Rules and Forms Regulating Money Market Funds
File No.: S7-29-96
Effective Date: Feb. 10, 1998
Note: Additional material (the illustration "'Look-Through' to Secondary ABSs Under the Rule's ABS Issuer Diversification Standards") is available for this release. |
| 33-7478 |
Dec. 2, 1997 |
Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
File No.: S7-19-97
Effective Date: Date of publication in the Federal Register. |
| 33-7472 |
Oct. 24, 1997 |
Rule to Provide That the Commission Will Not Accept Paper Filings That Are Required To Be Filed Electronically
Effective Date: Jan. 1, 1998 |
| 33-7470 |
Oct. 10, 1997 |
Offshore Press Conferences, Meetings with Company Representative Conducted Offshore, and Press-Related Materials Released Offshore
File No.: S7-26-96
Effective Date: 30 days after publication in Federal Register. |
| IC-22835 |
Sep. 26, 1997 |
Rule Amendments Relating to Multiple Class and Series Investment Companies
File No.: S7-24-96
Effective Date: Nov. 10, 1997. |
| 34-39176 |
|
Lost Securityholders
File No.: S7-21-96
Effective dates: §§240.17Ad-17 and 240.17Ad-7(i) will be effective Dec.8, 1997; and §§240.17a-24 and 249b-102 will be effective Feb. 4, 1998. |
| 33-7448 |
Sep. 10, 1997 |
Registration under the Securities Act of 1933 of Certain Investment Company Securities
File No.: S7-19-97
Effective Date: Oct. 11, 1997.
Note: Additional material (a copy of the registration form, to be used as a formatting example in preparing the filing; added 9-12-97) is available for this release. |
| 33-7445 |
Sep. 3, 1997 |
Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance
Effective Date: Sep. 9, 1997. |
| IC-22775 |
Jul. 31, 1997 |
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
File No.: S7-7-96
Effective Date: 60 days after publication in Federal Register. |
| 33-7432 |
Jul. 29, 1997 |
Adoption of Updated EDGAR Filer Manual (Release 5.30)
Effective Date: Aug. 25, 1997.
Other Release Nos.: 34-38883; 35-26747; 39-2356; IC-22769 |
33-7431
Two parts:
Part 1, Part 2 |
Jul. 18, 1997 |
Phase Two Recommendations of Task Force on Disclosure Simplification
Effective Date: Sep. 2, 1997
File No.: S7-15-96 |
| 33-7427 |
Jul. 1, 1997 |
Rulemaking for the EDGAR System
Effective Date: 30 days after publication in Federal Register
File No.: S7-28-96 |
| 33-7424 |
Jun. 25, 1997 |
Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers
Effective Date: Jul. 1, 1997. |
| IA-1633 |
May 15, 1997 |
Rules Implementing Amendments to the Investment Advisers Act of 1940.
File No.: S7-31-96
Effective dates: Jul. 8, 1997, except for §275.203A-2, which will become effective Jul. 21, 1997
Note: Additional materials are available. |
| IC-22658 |
May 12, 1997 |
Custody of Investment Company Assets Outside the United States
File No.: S7-23-95
Effective Date: Jun. 16, 1997
Note: Compliance date changed; see release of 05-22-98 |
| 33-7419 |
May 8, 1997 |
Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity
File No.: S7-23-96
Effective Date: 30 days after publication in Federal Register. |
| 33-7418 |
Apr. 30, 1997 |
Definition of "Prepared by or on Behalf of the Issuer" for Purposes of Determining if an Offering Document is Subject to State Regulation.
File No.: S7-6-97
Effective date : May 6, 1997. |
| IC-22597 |
Apr. 3, 1997 |
Privately Offered Investment Companies
File No.: S7-30-96
Effective Date: Jun. 9, 1997. |
| 33-7411 |
Apr. 2, 1997. |
Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation.
Effective Other Dates: see the release itself
Other Release Nos.: 34-38465; 35-26699; 39-2351; IC-22595 |
| 33-7408 |
Mar. 27, 1997 |
Penalty-Reduction Policy for Small Entities
Effective Date: Mar. 29, 1997; Comments due: Dec. 31, 1997 |
| 33-7407 |
Mar. 27, 1997 |
Informal Guidance Program for Small Entities
Effective Date: Mar. 29, 1997 |
| IC-22579 |
Mar. 24, 1997 |
Status of Investment Advisory Programs under the Investment Company Act of 1940
File No.: S7-24-95
Effective Date: Mar. 31, 1997. |
| 33-7405 |
Mar. 19, 1997 |
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation
Effective Other Dates: see the release itself.
Other Release Nos.: 34-38419; 35-26688; 39-2348; IC-22571 |
| 34-38387 |
Mar. 13, 1997 |
Implementation of Section 10A of the Securities Exchange Act of 1934
File No.: S7-20-96
Effective Date: 30 days after publication in the Federal Register. |
| 33-7400 |
Mar. 5, 1997 |
Anti-Manipulation Rules Concerning Securities Offerings - Corrections
File No.: S7-11-96 |
| 33-7394 |
Feb. 21, 1997 |
Adoption of Updated EDGAR Filer Manual
Effective Date: Delayed; see related notice
Other Release Nos.: 34-38319; 35-26672; 39-2346; IC-22522 |
| 33-7390 |
Feb. 20, 1997 |
Revision of Holding Period Requirements in Rules 144 and 145
File No.: S7-17-95
Effective Date: Apr. 29, 1997. |
| 35-26667 |
Feb. 14, 1997 |
Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Activities; Exemption of Capital Contributions and Advances to Such Companies (Rule 58)
File No.: S7-12-95
Effective Date: 30 days after publication in Federal Register. |
| 34-38248 |
Feb. 6, 1997 |
Net Capital Rule
File No.: S7-7-94
Effective Date: Sep. 1, 1997. |
| 34-38245 |
Feb. 5, 1997 |
Reporting Requirements for Brokers or Dealers under the Securities Exchange Act of 1934
File No.: S7-21-93
Effective Date: 60 days after publication in Federal Register. |
| 33-7386 |
Jan. 31, 1997 |
Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
File No.: S7-35-95
Effective Date: 60 days after publication in Federal Register. |
| 34-38139 |
Jan. 8, 1997 |
Final Rule: Revised Effective date; Revised Compliance Dates: Order Execution Obligations
File No.: S7-30-95. |
| 34-38110 |
Jan. 2, 1997 |
Final Rule; Revised Effective date; Revised Compliance Dates: Order Execution Obligations
Effective dates: for Order Execution Rules - Jan. 13, 1997; for Subject Security Definition in Quote Rule - Apr. 10, 1997; for ECN Amendment phase in - Jan. 13, Jan. 31, Feb. 21,and Mar. 28, 1997
File No.: S7-30-95. |
| 34-38073 |
Dec. 23, 1996 |
Final Rule: Securities Transactions Exempt From Transaction Fees
File No.: S7-32-96.
Other Release Nos.: IC-22415 |
| IA-1602 |
Dec. 20, 1996 |
Final Rule: Suspension of Form ADV-S
|
| 33-7375 |
|
Final Rule: Anti-Manipulation Rules Concerning Securities Offerings
File No.: S7-11-96.
Other Release Nos.: 34-38067; IC-22412; International Series Release No. 1039 |
| 33-7376 |
Dec. 20, 1996 |
Final Rule: Odd-Lot Tender Offers by Issuers
File No.: S7-12-96.
Other Release Nos.: 34-38068; IC-22413 |
| 33-7373 |
Dec. 16, 1996 |
Final Rule: Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southwest, Midwest, Central and Pacific Regional Offices
Effective Date: 30 days after publication in Federal Register except for Section 232.101(c) Effective 5, 1997 |
| IC-22389 |
Dec. 11, 1996 |
Final Rule: Custody of Investment Company Assets with Futures Commission Merchants
File No.: S7-15-94
Effective Date: 30 days after publication in Federal Register. |
| 34-37972 |
Nov. 26, 1996 |
Final Rule: Revised Compliance Dates – Order Execution Obligations.
File No.: S7-30-95 |
| 33-7361 |
Nov. 1, 1996 |
Final Rule: Adjustments to Civil Monetary Amounts
Effective Date: 30 days after publication in Federal Register |
| 34-37893 |
Oct. 30, 1996 |
Final Rule: Delegation of Authority to the General Counsel
Effective Date: date of publication in Federal Register |
| 33-7355 |
Oct. 10, 1996 |
Final Rule: Streamlining Disclosure Requirements Relating to Significant Business Acquisitions
File No.: S7-19-95
Effective Date: 30 days after publication in Federal Register. |
| 34-37801 |
Oct. 10, 1996 |
Final Rule: Periodic Reporting of Unregistered Equity Sales (Regulation S)
File No.: S7-19-95
Effective Date: 30 days after publication in Federal Register. |
| 33-7351 |
Oct. 2, 1996 |
Final Rule: Adoption of Updated EDGAR Filer Manual
Effective Date: Oct. 7, 1996.
Other Release Nos.: 34-37774; 35-26585; 39-2343; IC-22257 |
| 33-7331 |
Sep. 17, 1996 |
Final Rule: Changes Selected Rules in Order to Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952
File No.: S7-14-96
Effective Date: Oct. 7, 1996. |
| IC-22201 |
Sep. 9, 1996 |
Final Rule: Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company
File No.: S7-2-96
Effective Date: 30 days after publication in Federal Register. |
| IC-22202 |
Sep. 9, 1996 |
Final Rule: Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads (TEXT REVISED 9-16-96)
File No.: S7-8-95
Effective Date: 30 days after publication in Federal Register. |
| 34-37632 |
Sep. 4, 1996 |
Final Rule: Suspension of Compliance Date for Form BD Amendments
File No.: S7-2-95
Effective Date: date of publication in Federal Register. |
| 34-37619A |
Sep. 6, 1996 |
Order Execution Obligations (Rules 11Ac1-4 and 11Ac1-1) (TEXTREVISED 9-6-96)
File No.: S7-30-95
Effective Date: 120 days after publication in Federal Register.
Note: Additional materials are available. |
| 33-7320 |
Aug. 13, 1996 |
Suspension of Compliance Date: Revisions of Rules Regulating Money Market Funds.
File No.: S7-34-93. |
| 34-37431 |
Jul. 12, 1996 |
Form BD Amendments
File No.: S7-2-95
Effective Date: 30 days after publication in Federal Register. |
34-37260
Part 1 and Part 2 |
May 31, 1996 |
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
File No.: S7-21-94
Effective Date: Aug. 15, 1996
|
| 34-37261 |
May 31, 1996 |
Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934 (Extension of Phase-In Period)
Effective Date: Federal Register publication date |
| 33-7300 |
May 31, 1996 |
Phase One Recommendation of Task Force on Disclosure Simplification
File No.: S7-6-96
Effective Date: 30 days after publication in Federal Register. |
| 33-7289 |
May 9, 1996 |
Use of Electronic Media for Delivery Purposes
File No.: S7-31-95
Effective Date: 30 days after publication in the Federal Register. |
| 34-37159 |
May 2, 1996 |
Delegation of Authority to Director of Division of Enforcement
Effective Date: Date of publication in the Federal Register |
| 33-7285 |
May 1, 1996 |
Exemption for Certain California Limited Issues
File No.: S7-15-95
Effective Date: 30 days after publication in the Federal Register. |
| 34-37157 |
May 1, 1996 |
Relief From Reporting by Small Issuers;
File No.: S7-16-95
Effective Date: Date published in the Federal Register. |
| 200-30 |
Mar. 25, 1996 |
Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings)
File No.: S7-40-92
Effective Date: Jul. 24, 1995. |
| 33-7275 |
Mar. 21,1996 |
Revisions to Rules Regulating Money Market Funds
File No.: S7-34-93
Effective Date: Jun. 6, 1996, with several different compliance dates.
Other Release Nos.: IC-21837 |
| 34-36940 |
Mar. 7, 1996 |
Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
File No.: S7-34-95 |
| 34-36824 |
Feb. 9, 1996 |
Delegation of Authority to the Secretary of the Commission |
| 33-7241 |
Dec. 18, 1995 |
Adoption of Revised EDGAR Filer Manual and Technical Rule Changes
Other Release Nos.: 34-36479; 35-26407; IC-21500 |
| 34-36530 |
|
Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
File No.: S7-26-95 |
| 34-35124 |
|
Recordkeeping and Reporting Requirements For Trading Systems Operated by Broker-Dealers
File No.: S7-3-94 |
| 34-35123 |
|
Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, SecuritiesAssociations, and Reports of the Municipal Securities Rulemaking Board.
File No.: S7-17-94 |
| 34-34922 |
|
Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange
File No.: S7-16-95 |
| 33-7197 |
|
Payment for Investment Company Services With Brokerage Commissions
File No.: S7-22-94.
Other Release Nos.: IC-21221; FR-46 |
| 34-34961 |
|
Municipal Securities Disclosure
File No.: S7-5-94 |
| 33-7102 |
|
Amendments to Proxy Rules for Registered Investment Companies
File No.: S7-33-93
Other Release Nos.: 34-34832; IC-20614 |
| 34-34962 |
|
Confirmation of Transactions
File No.: S7-6-94 |
| 33-7119 |
|
Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations
File No.: S7-13-94
Other Release Nos.: 34-35095 ; International Series Release No. 759 |
| IC-20916 |
|
Exemption of Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads
File No.: S7-24-88 |
| 33-7118 |
|
Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules
File No.: S7-12-94
Other Release Nos.: 34-35094; IC-20766; International Series No. 758 |
| 33-7122 |
|
Rulemaking for EDGAR System
File No.: S7-20-94
Other Release Nos.: 34-35113; 35-26191; 39-2326; IC-20783 |
| 33-7123 |
|
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-35114; 35-26192; 39-2327; IC-20784 |
| 33-7143 |
|
Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure of Multiple Class and Master-Feeder Funds; Class Voting on Distribution Plans
File No.: S7-32-93
Other Release Nos.: IC-20915 |
| 33-7117 |
|
Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy
File No.: S7-11-94
Other Release Nos.: 34-35093; International Series Release No. 757 |
| 34-35341 |
|
Self-Regulatory Organizations; Order Approving Proposed Rule Changes by the American Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Incorporated, Municipal Securities Rulemaking Board, National Association of Securities Dealers, Inc., New York Stock Exchange, Inc., Pacific Stock Exchange Incorporated, and Philadelphia Stock Exchange, Inc. Relating to a Continuing Education Requirement for Registered Persons
File Nos.: SR-AMEX-94-59; SR-CBOE-94-49; SR-CHX-94-27; SR-MSRB-94-17;SR-NASD-94-72; SR-NYSE-94-43; SR-PSE-94-35; and SR-PHLX-94-52 |
| 34-34902 |
|
Payment for Order Flow
File No.: S7-29-93 |
| 33-7168 |
|
Prospectus Delivery; Securities Transactions Settlement
File No.: S7-7-95
Other Release Nos.: 34-35705 |
| 35-26311 |
|
Exemption of Issuance and Sale of Certain Securities By Public-Utility and Nonutility Subsidiary Companies of Registered Public-Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public-Utility Holding Company System of Certain Securities of Associate Companies; Exemption of Capital Contributions and Open Account Advances, Without Interest, by Parent Companies to Subsidiary Companies
File No.: S7-12-92 |
| 34-35548 |
|
Establishment of Commission Quorum Requirement |
| 34-35039 |
|
Notice of Assumption or Termination of Transfer Agent Services
File No.: S7-1-92 |
| 33-7113 |
|
Limited Partnership Roll-Up Transactions
File No.: S7-26-94
Other Release Nos.: 34-35036 |
| 34-35844 |
|
Rules of Practice
File No.: S7-40-92 |
| 33-7132 |
|
Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports
File No.: S7-36-94
Other Release Nos.: International Series Release No. 780 |
| 33-7072 |
Sep. 1, 1994 |
Rulemaking for EDGAR System: Financial Data Schedules
Other Release Nos.: 34-34330; 35-26079; IC-20388 |
| 33-6996 |
Apr. 28, 1993 |
Adoption of Additional Small Business Initiatives |
| 33-6949 |
Jul. 30, 1992 |
Adoption of Small Business Initiatives |
| 33-4552 |
Nov. 6, 1962 |
Nonpublic Offering Exemption |
