We encourage the public to submit comments on the following proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:
| Release No. |
Date |
Details |
|
33-8496 |
Sep. 27, 2004 |
XBRL Voluntary Financial Reporting Program on the EDGAR System
Other Release Nos.: 34-50453, 35-27894, 39-2498, IC-26622
File No.: S7-35-04
Comments Due: Comments should be received on or before November 1, 2004.
 Click to submit comments on S7-35-04
Comments received are available for this proposal.
|
|
34-50361 |
Sep. 14, 2004 |
Disposal of Consumer Report Information
Other Release Nos.: IA-2293, IC-26596
File No.: S7-33-04
Comments Due: Comments should be received on or before October 20, 2004.
Click to submit comments on S7-33-04
|
|
33-8477 |
Aug. 25, 2004 |
Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates
Other Release No.: 34-50254
File No.: S7-32-04
Comments Due: Comments should be received on or before October 1, 2004.
Federal Register PDF
Click to submit comments on S7-32-04
Comments received are available for this proposal.
|
|
34-50213 |
Aug. 18, 2004 |
Certain Broker-Dealers Deemed Not To Be Investment Advisers
Reopening of Comment Period
Other Release No.: IA-2278
File No.: S7-25-99
Comments Due: Comments should be received on or before September 22, 2004.
Federal Register PDF
Click to submit comments on S7-25-99
Comments received are available for this proposal.
See also: Release No. 34-42099 (original proposing release) |
|
34-50056 |
Jul. 22, 2004 |
Regulation B
Extension of Comment Period
Other Release No.: International Series Release No. 1279
File No.: S7-26-04
Comments Due: Comments should be received on or before September 1, 2004.
Federal Register PDF
See also: Release No. 34-49879 and comments
|
|
IA-2266 |
Jul. 20, 2004 |
Registration Under the Advisers Act of Certain Hedge Fund Advisers
File No.: S7-30-04
Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins
Comments Due: Comments should be received on or before September 15, 2004.
Federal Register PDF
Comments received are available for this proposal.
Click to submit comments on S7-30-04
|
|
34-49985 |
Jul. 8, 2004 |
Limitations on Affiliate Marketing (Regulation S-AM)
Other Release Nos.: IC-26494, IA-2259
File No.: S7-29-04
Comments Due: Comments should be received on or before August 13, 2004.
Federal Register PDF
Click to submit comments on S7-29-04
Comments received are available for this proposal.
|
|
34-49895 |
Jun. 21, 2004 |
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Other Release Nos.: 35-27861; IC-26471
File No.: S7-27-04
Comments Due: Comments should be received on or before August 9, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-27-04
|
|
34-49879 |
Jun. 17, 2004 |
Regulation B
[Corrected June 23, 2004]
Other Release No.: International Series Release No. 1278
File No.: S7-26-04
Comments Due: Comments should be received on or before August 2, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-26-04
|
|
34-49858 |
Jun. 15, 2004 |
Removal from Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934
File No.: S7-25-04
Comments Due: Comments should be received on or before July 22, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-25-04
|
|
34-49804 |
Jun. 4, 2004 |
Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries
File No.: S7-24-04
Comments Due: Comments should be received on or before July 12, 2004.
See also Correction
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-24-04
|
|
34-49749 |
May 20, 2004 |
Regulation NMS
Extension of Comment Period and Supplemental Request for Comment
File No.: S7-10-04
Comments Due: Comments should be received on or before June 30, 2004.
See also: Release No. 34-49325 and comments
Federal Register PDF
|
|
33-8419 |
May 3, 2004 |
Asset-Backed Securities
File No.: S7-21-04
Release No.: 34-49644
Comments Due: Comments should be received on or before July 12, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-21-04
|
|
34-49639 |
May 3, 2004 |
Certain Thrift Institutions Deemed Not To Be Investment Advisers
File No.: S7-20-04
Release Nos.: 34-49639, IA-2232
Comments Due: Comments should be received on or before July 9, 2004.
Federal Register PDF
Click to submit comments on S7-20-04
Comments received are available for this proposal.
|
|
33-8407 |
Apr. 15, 2004 |
Use of Form S-8 and Form 8-K by Shell Companies
File No.: S7-19-04
Release No.: 34-49566
Comments Due: Comments should be received on or before June 7, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-19-04
|
|
34-49505 |
Mar. 30, 2004 |
Proposed Rule Changes of Self-Regulatory Organizations
File No.: S7-18-04
Comments Due: Comments should be received on or before June 4, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-18-04
|
|
33-8404 |
Mar. 22, 2004 |
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-17-04
Comments Due: Comments should be received on or before April 26, 2004
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-17-04
|
|
33-8397A |
Mar. 18, 2004 |
First-Time Application of International Financial Reporting Standards; Correction
Release Nos.: 34-49403A; International Series Release No. 1274A
File No.: S7-15-04
Comments Due: Comments should be received on or before April 5, 2004.
Comments received are available for this proposal.
Click to submit comments on S7-15-04
See also: original release, 33-8397, below
|
|
33-8401 |
Mar. 16, 2004 |
Rulemaking for EDGAR System
Release Nos.: 34-49426; 35-27816; 39-2417; IC-26388
File No.: S7-16-04
Comments Due: Comments should be received on or before May 24, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-16-04
|
|
33-8399 |
Mar. 15, 2004 |
Mandated Electronic Filing for Form ID
Release Nos.: 34-49416, 35-27815, 39-2416, IC-26385
File No.: S7-14-04
Comments Due: Comments should be received on or before April 5, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-14-04
|
|
33-8397 |
Mar. 11, 2004 |
First-Time Application of International Financial Reporting Standards
Release Nos.: 34-49403; International Series Release No. 1274
File No.: S7-15-04 (file no. corrected, see 33-8397A)
Comments Due: April 19, 2004
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-15-04
|
|
33-8396 |
Mar. 11, 2004 |
Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
Release Nos.: 34-49398; IC-26383
File No.: S7-12-04
Comments Due: Comments should be submitted on or before May 21, 2004
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal; Final Rule 33-8458
|
|
IC-26375A |
Mar. 5, 2004 |
Mandatory Redemption Fees for Redeemable Fund Securities
[amended]
File No.: S7-11-04
Comments Due: Comments should be received on or before May 10, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-11-04
|
|
34-49325 |
Feb. 26, 2004 |
Regulation NMS
File No.: S7-10-04
Comments Due: Comments should be received on or before June 30, 2004. (See also: Extension of Comment Period 34-49749)
Comments received are available for this proposal.
Click to submit comments on S7-10-04
See also: Notice of Hearings; Notice of Change in Hearing Schedule; Spotlight on Regulation NMS (includes additional hearing information)
Federal Register PDF
|
|
IC-26356 |
Feb. 24, 2004 |
Prohibition on the Use of Brokerage Commissions to Finance Distribution
File No.: S7-09-04
Comments Due: Comments should be received on or before May 10, 2004.
See also: Final Rule Release No. IC-26591
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-09-04
|
|
33-8364 |
Feb. 11, 2004 |
Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies
File No.: S7-08-04
Release Nos.: 34-49219; IC-26350
Comments Due: April 26, 2004
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-08-04
See also: Outline of Comments on this proposal; Final Rule Release No. 33-8433
|
|
33-8358 |
Jan. 29, 2004 |
Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds
File No.: S7-06-04
Release Nos.: 34-49148; IC-26341
Comments Due: April 12, 2004
See Also: Attachments 1 - 5, Form Examples
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-06-04
|
|
34-49104 |
Jan. 20, 2004 |
Collection Practices under Section 31 of the Exchange Act
File No.: S7-05-04
Comments Due: February 26, 2004
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-05-04
See also: Final Rule, Rel. No. 34-49928
|
|
IA-2209 |
Jan. 20, 2004 |
Investment Adviser Codes of Ethics
File No.: S7-04-04
Comments Due: March 15, 2004
Release No.: IC-26337
See also: Appendix A: Key Distinctions Between Existing And Proposed Rules
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-04-04
See also: Final Rule, Rel. No. IA-2256
|
|
IC-26323 |
Jan. 15, 2004 |
Investment Company Governance
File No.: S7-03-04
Comments Due: March 10, 2004
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-03-04
|
|
34-49037 |
Jan. 8, 2004 |
Amendments to the Penny Stock Rules
File No.: S7-02-04
Comments Due: March 16, 2004
Comments received are available for this proposal.
Federal Register PDF
See also: Exemptive Order Rel. No. 34-49038
Click to submit comments on S7-02-04
|
|
33-8347 |
Dec. 17, 2003 |
Disclosure of Breakpoint Discounts by Mutual Funds
Release Nos.: 34-48939; IC-26298; File No.: S7-28-03
Comments Due: February 13, 2004
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal.
|
|
IC-26288 |
Dec. 11, 2003 |
Amendments to Rules Governing Pricing of Mutual Fund Shares
File No.: S7-27-03
Comments Due: February 6, 2004
Comments received are available for this proposal.
Federal Register PDF |
|
33-8343 |
Dec. 11, 2003 |
Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
Release No.: IC-26287
File No.: S7-26-03
Comments Due: February 6, 2004
Comments received are available for this proposal.
Federal Register PDF
See also: Outline of Comments on this proposal.
|
|
34-48832 |
Nov. 23, 2003 |
Proposed Amendments to the Rules of Practice and Related Provisions
File No.: S7-25-03
Comments Due: January 5, 2004
Comments received are available for this proposal.
Federal Register PDF
|
|
34-48709 |
Oct. 28, 2003 |
Short Sales
File No.: S7-23-03
Comments Due: January 5, 2004
Comments received are available for this proposal.
See also: Final Rule, Release No. 34-50103
Summary of Comments
Federal Register PDF
|
|
34-48694 |
Oct. 24, 2003 |
Supervised Investment Bank Holding Companies
File No.: S7-22-03
Comments Due: February 4, 2004
Federal Register PDF
Comments received are available for this proposal.
|
|
34-48690 |
Oct. 24, 2003 |
Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
File No.: S7-21-03
Comments Due: February 4, 2004
Federal Register PDF
Comments received are available for this proposal.
|
|
33-8312 |
Oct. 23, 2003 |
Exemption from Shareholder Approval for Certain Subadvisory Contracts
Release Nos.: 34-48683, IC-26230
File No.: S7-20-03
Comments Due: January 8, 2004
Federal Register PDF
Comments received are available for this proposal.
|
|
34-48626 |
Oct. 14, 2003 |
Security Holder Director Nominations
Release No.: IC-26206
File No.: S7-19-03
Comments Due: December 22, 2003
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal and Supplemental Summary of Comments.
|
|
33-8297 |
Oct. 2, 2003 |
Fund of Funds Investments
Release No.: IC-26198;
File No.: S7-18-03
Comments Due: December 3, 2003.
Federal Register PDF
Comments received are available for this proposal.
|
|
33-8287 |
Sep. 11, 2003 |
Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts
Release Nos.: 34-48482, International Series Release No. 1273
File No.: S7-16-03
Comments Due: October 17, 2003
Comments received are available for this proposal.
|
|
34-48481 |
Sep. 11, 2003 |
Foreign Bank Exemption from The Insider Lending Prohibition of Exchange Act
Section 13(k)
Release No.: International Series Release No. 1272
File No.: S7-15-03
Comments Due: October 17, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
|
|
34-48301 |
Aug. 8, 2003 |
Disclosure Regarding Nominating Committee Functions and Communications between Security Holders and Boards of Directors
Release No.: IC-26145
File No.: S7-14-03
Comments Due: September 15, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
|
|
34-48036 |
Jun. 16, 2003 |
Recordkeeping Requirements for Registered Transfer Agents
File No.: S7-13-03
Comments Due: July 21, 2003.
Comments received are available for this proposal.
|
|
33-8212 |
Mar. 21, 2003 |
Certification of Disclosure in Certain Exchange Act Reports
Release No.: 33-8212, 34-47551, IC-25967
File No.: S7-06-03
Comments Due: May 15, 2003
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8238
|
|
33-8190 |
Feb. 12, 2003 |
Rules of Practice
Release No.: 34-47355; 35-27650; 39-2405; IA-2109; IC-25933
File No.: S7-04-03
Comments Due: March 21, 2003
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8240
|
|
IC-25925 |
Feb. 5, 2003 |
Compliance Programs of Investment Companies and Investment Advisers
Release No.: IA-2107
File No.: S7-03-03
Comments Due: April 18, 2003.
Comments received are available for this proposal;
See also: Summary of Comments on this proposal.
|
|
33-8186 |
Jan. 29, 2003 |
Implementation of Standards of Professional Conduct for Attorneys
Release Nos.: IC-25920; 34-47282
File No.: S7-45-02
Comments Due: April 7, 2003
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8185
|
|
33-8173 |
Jan. 8, 2003 |
Standards Relating To Listed Company Audit Committees
Release Nos.: 34-47137; IC-25885
File No.: S7-02-03
Comments Due: February 18, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
Final Rule, Rel. No. 33-8220
|
|
33-8170 |
Dec. 20, 2002 |
Mandated Electronic Filing and Website Posting for Forms 3, 4 and 5
Release Nos.: 34-47069, 35-27627, IC-25872
File No.: S7-52-02
Comments Due: February 10, 2003
Comments received are available for this proposal.
Summary of Comments on this proposal
See also: Final Rule, Rel. No. 33-8230
|
|
33-8164 |
Dec. 18, 2002 |
Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
Release Nos.:34-47023; IC-25870
File No.: S7-51-02
Comments Due: February 14, 2003
Summary of Comments on this proposal
Comments received are available for this proposal.
|
|
33-8160 |
Dec. 10, 2002 |
Rule 10b-18 and Purchases of Certain Equity Securities by the Issuer and Others
Release Nos.: 34-46980; IC-25845
File No.: S7-50-02
Comments Due: February 18, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
|
|
33-8154 |
Dec. 2, 2002 |
Strengthening the Commission's Requirements Regarding Auditor Independence
Release Nos.: 34-46934; 35-27610; IC-25838; IA-2088, FR-64
File No.: S7-49-02
Comments Due: January 13, 2003
Comments received are available for this proposal.
See also: Final Rules, Rel. Nos. 33-8183A and 33-8183
|
|
34-46920 |
Nov. 26, 2002 |
Broker-Dealer Exemption from Sending Certain Financial Information to Customers
File No.: S7-48-02
Comments Due: January 2, 2003
Comments received are available for this proposal. |
|
IC-28535 |
Nov. 26, 2002 |
Certain Research and Development Companies
Release No.: IC-25835
File No.: S7-47-02
Comments Due: January 15, 2003
Comments received are available for this proposal.
See also: Final Rule, Rel. No. IC-26077
|
|
33-8151 |
Nov. 21, 2002 |
Retention of Records Relevant to Audits and Reviews
Release No.: 34-46869; IC-25830;
File No.: S7-46-02
Comments Due: December 27, 2002
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8180
|
|
33-8150 |
Nov. 21, 2002 |
Implementation of Standards of Professional Conduct for Attorneys
Release Nos.: 34-46868; IC-25829;
File No.: S7-45-02
Comments Due: December 18, 2002
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8185
|
|
34-46778 |
Nov. 6, 2002 |
Insider Trades During Pension Fund Blackout Periods
File No.: S7-44-02
Release No.: IC-25795
Comments Due: December 16, 2002
Comments received are available for this proposal.
See also: Final Rules, Rel. Nos. 33-8216 and
34-47225
|
|
33-8145 |
Nov. 5, 2002 |
Conditions for Use of Non-GAAP Financial Measures
File No.: S7-43-02
Release No.: 34-46768
Comments Due: December 13, 2002
Comments received are available for this proposal.
See also: Final Rules, Rel. Nos. 33-8216 and
33-8176
|
|
33-8144 |
Nov. 4, 2002 |
Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements, Contractual Obligations and Contingent Liabilities and Commitments
File No.: S7-42-02
Release Nos.: 34-46767; International Series Release No. 1264
Comments Due: December 9, 2002
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
Final Rule, Rel. No. 33-8182
|
|
34-46745 |
Oct. 31, 2002 |
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
Comments Due: December 5, 2002
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-47364
|
|
33-8138 |
Oct. 22, 2002 |
Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
Release Nos.: 34-46701; IC-25775
File No.: S7-40-02
Comments Due: November 29, 2002
Comments received are available for this proposal.
See also: Final Rules, Rel. Nos. 33-8238, 33-8177A, 34-47262, 33-8177
|
|
34-46685 |
Oct. 18, 2002 |
Improper Influence on Conduct of Audits
Release No.: IC-25773
File No.: S7-39-02
Comments Due: November 25, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-47890
|
|
IA-2059 |
Sep. 20, 2002 |
Proxy Voting by Investment Advisers
File No.: S7-38-02
Comments Due: December 6, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. IA-2106
|
|
33-8131 |
Sep. 20, 2002 |
Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
Release No.: 34-46518, IC-25739;
File No.: S7-36-02
Comments Due: December 6, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8188
|
|
34-46492 |
Sep. 12, 2002 |
Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products
File No.: S7-34-02
Comments Due: October 23, 2002.
Revised copy now available: numbering of notes revised to match Federal Register text
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-50295
|
|
34-46441 |
Aug. 30, 2002 |
Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms
Release Nos.: 34-47262; IC-25723;
File No.: S7-33-02
Comments Due: October 16, 2002.
See also: Release Nos. 33-8124, 34-46427, IC-25722, "Certification of Disclosure in Companies' Quarterly and Annual Reports."
Final Rule, Rel. No. 34-47262
Comments received are available for this proposal.
Summary of Comments on this proposal
|
|
33-8119 |
Aug. 2, 2002 |
Regulation Analyst Certification
Release No.: 34-46301;
File No. S7-30-02
Comments Due: September 23, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8193;
Other, Rel. No. 34-47591
|
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34-46300 |
Aug. 2, 2002 |
Certification of Disclosure in Companies' Quarterly and Annual Reports
Release No.: S7-21-02
Comments Due: August 19, 2002.
See also: Final Rule, Rel. No. 33-8124;
Proposed Rule, Rel. No. 34-46079.
|
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33-8114 |
Jul. 25, 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
File No.: S7-29-02
Release No.: 34-46264
Comments Due: September 3, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8171
|
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IA-2044 |
Jul. 18, 2002 |
Custody of Funds or Securities of Clients by Investment Advisers
File No.: S7-28-02
Comments Due: September 25, 2002.
Comments received are available for this proposal.
Summary of Comments on Custody of Funds or Securities of Clients by Investment Advisers |
|
IC-25657 |
Jul. 12, 2002 |
Customer Identification Programs for Mutual Funds
File No.: S7-26-02
Comments Due: September 6, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. IC-26031
|
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34-46192 |
Jul. 12, 2002 |
Customer Identification Programs For Broker-Dealers
File No.: S7-25-02
Comments Due: September 6, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-47752
|
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33-8109 |
Jun. 26, 2002 |
Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process
Release No.: 34-46120; 35-27543; IA-2039; IC-25624
File No.: S7-24-02
Comments Due: September 3, 2002.
Comments received are available for this proposal.
|
|
33-8106 |
Jun. 17, 2002 |
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
[revised 6/18, 1:30 pm]
File No.: S7-22-02
Release No.: 34-46084
Comments Due: August 26, 2002.
Comments received are available for this proposal.
|
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34-46079 |
Jun. 17, 2002 |
Certification of Disclosure in Companies' Quarterly and Annual Reports
File No.: S7-21-02
Comments Due: August 19, 2002.
Comments received are available for this proposal
See also: Final Rule, Rel. No. 33-8214;
Proposed Rule, Rel. No. 34-46300
|
|
34-46019 |
Jun. 3, 2002 |
Customer Protection - Reserves and Custody of Securities
Release No.: File No.: S7-20-02
Comments Due: July 25, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-47480
|
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34-46014 |
May 31, 2002 |
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
File No.: S7-19-02
Comments Due: July 10, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-46471
|
|
34-46002 |
May 30, 2002 |
Repeal of Options Trade-Through Disclosure Rule
File No.: S7-18-02
Comments Due: July 22, 2002.
Comments received are available for this proposal
See also: Final Rule, Rel. No. 34-47013
|
|
33-8101 |
May 17, 2002 |
Proposed Amendments to Investment Company Advertising Rules
File No.: S7-17-02
Release No.: 34-45953; IC-25575
Comments Due: July 31, 2002.
Comments received are available for this proposal.
Summary of Comments on this proposal.
See also: Final Rule, Rel. No. 33-8294
|
|
33-8098 |
May 10, 2002 |
Disclosure in Management's Discussion and Analysis about the Application of Critical Accounting Policies
File No.: S7-16-02
Release Nos.: 34-45907; International Series Release No. 1258
Comments Due: July 19, 2002.
Comments received are available for this proposal.
|
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34-45854 |
May 1, 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
Comments Due: June 6, 2002.
Comments received are available for this proposal
See also: Final Rule, Rel. No. 34-46169
|
|
IC-25557 |
Apr. 30, 2002 |
Transactions of Investment Companies With Portfolio and Subadvisory Affiliates
File No.: S7-13-02
Comments Due: July 19, 2002.
Comments received are available for this proposal
Summary of Comments for this proposal.
See also: Final Rule, Rel. No. IC-25888
|
| IA-2028 |
Apr. 12, 2002 |
Exemption for Certain Investment Advisers Operating Through the Internet
File No.: S7-10-02
Comments Due: June 6, 2002.
Comments received are available for this proposal.
Summary of Comments on SEC-Registration of Internet Investment Advisers.
See also: Final Rule, Rel. No. IA-2091
|
| 33-8090 |
Apr. 12, 2002 |
Form 8-K Disclosure of Certain Management Transactions; Release No. 33-8090; 34-45742; File No. S7-09-02
File No.: S7-09-02
Release No.: 34-45742
Comments Due: June 24, 2002.
Comments received are available for this proposal. |
| 33-8089 |
Apr. 12, 2002 |
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
File No.: S7-08-02
Release No.: 34-45741
Comments Due: May 23, 2002.
Comments received are available for this proposal
Summary of Comments on Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports.
See also: Final Rules, Rel. Nos. 33-8128A and 33-8128
|
| 33-8087 |
Apr. 12, 2002 |
Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts
File No.: S7-07-02
Release No.: IC-25521
Comments Due: June 14, 2002
Comments received are available for this proposal
Summary of Comments on Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts.
See also: Final Rule, Rel. No. 33-8147
|
| 33-8041 |
Dec. 19, 2001 |
Defining the Term "Qualified Purchaser" under the Securities Act of 1933
File No.: S7-23-01
Comments Due: February 25, 2002.
Comments received are available for this proposal. |
| IC-25266 |
Nov. 15, 2001 |
Custody of Investment Company Assets with a Securities Depository
File No.: S7-22-01
Comments Due: January 31, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. IC-25934
|
|
IC-25259 |
Nov. 8, 2001 |
Investment Company Mergers
Release No.: IC-25259
File No.: S7-21-01
Comments Due: January 18, 2002.
Comments received are available for this proposal.
Summary of Comments on Investment Company Mergers
See also: Final Rule, Rel. No. IC-25666 |
| 34-44996 |
Oct. 29, 2001 |
Extension of Comment Period: Customer Margin Rules Relating to Security Futures; 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.: S7-16-01 and S7-17-01
Comments Due: December 5, 2001.
See also: Final Rules, Rel. Nos. 34-46473 and 34-46292;
Proposed Rules, Rel. Nos. 34-44854 and comments; 34-44853 and comments
|
| 33-8016 |
Sep. 28, 2001 |
Mandated EDGAR Filing for Foreign Issuers
File No.: S7-18-01
Reference: International Series Release No. 1250;
Comments Due: December 3, 2001.
Comments received are available for this proposal.
Summary of Comments regarding Mandated EDGAR Filing for Foreign Issuers.
See also: Final Rule, Rel. No. 33-8099
|
| 34-44854 |
Sep. 25, 2001 |
Joint Proposed Rule: 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
Comments Due: November 5, 2001.
See also Rel. No. 34-44996
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-46473
Proposed Rule, Rel. No. 34-44996
|
| 34-44853 |
Sep. 25, 2001 |
Joint Proposed Rule: Customer Margin Rules Relating to Security Futures
File No.: S7-16-01
Comments Due: November 5, 2001.
See also Rel. No. 34-44996
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-46292
|
| 34-44743 |
Aug. 24, 2001 |
Joint Proposed Rule: Cash Settlement and Regulatory Halt Requirements for Security Futures Products
File No.: S7-15-01
Comments Due: October 1, 2001.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-45956
|
| 34-44475 |
Jun. 26, 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
Comments Due: July 11, 2001.
See also: Final Rule, Rel. No. 34-44724
Proposed Rule, Rel. No. 34-44288 |
| 34-44455 |
Jun. 20, 2001 |
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
File No.: S7-13-01
Comments Due: July 26, 2001.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44730
|
| 34-44288 | May 10, 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
Comments Due: 30 days after date of publication in the Federal Register.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44724
Proposed Rule, Rel. No. 34-44475
|
| 34-44279 |
May 8, 2001 |
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations.
File No.: S7-10-01
Comments Due: 30 days after the date of publication in the Federal Register.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44692
|
| 35-27357 |
Mar. 19, 2001 |
Electronic Recordkeeping by Public Utility Holding Companies
File No.: S7-07-01
Comments Due: 30 days after publication in the Federal Register.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 35-27404
|
| IC-24890 |
Mar. 13, 2001 |
Electronic Recordkeeping by Investment Companies and Investment Advisers.
Reference: Rel. No. IC-24890; IA-1932; File No. S7-06-01;
File No.: S7-06-01
Comments Due: April 19, 2001.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. IC-24991
|
| 33-7955 |
Feb. 28, 2001 |
Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000.
Reference: Rel. Nos. 34-44014, 35-27350, IA-1929, IC-24879. |
| 35-27342 |
Feb. 1, 2001 |
Foreign Utility Companies.
Reference: Rel. No. International Series Release No. 1246;
File No.: S7-05-01
Comments Due: April 9, 2001.
Comments received electronically are available for this proposal. |
| 33-7944 |
Jan. 26, 2001 |
Disclosure of Equity Compensation Plan Information
Reference: Rel. No. 34-43892;
File No.: S7-04-01
Comments Due: 60 days after publication in the Federal Register.
Comments received electronically are available for this proposal.
Summary of Comments on Disclosure of Equity Compensation Plan Information
See also: Final Rule, Rel. No. 33-3048
|
| 34-43860 |
Jan. 19, 2001 |
Proposed Rule Changes of Self-Regulatory Organizations.
Rel. No.:S7-03-01
Comments Due: April 6, 2001.
Comments received electronically are available for this proposal. |
| IC-24775 |
Nov. 29, 2000 |
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
File No.: S7-20-00
Comments Due: 45 days after publication in the Federal Register
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. IC-25560
|
| 34-43401 |
Oct. 2, 2000 |
Processing Requirements for Cancelled Security Certificates
File No.: S7-18-00
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 33-7883 |
Aug. 29, 2000 |
Extension of time period to submit materials for public hearing on September 20, 2000; location of hearings: Revision of the Commission's Auditor Independence Requirements.
Reference: Rel. No. 34-43219
File No.: S7-13-00
Comments Due: 45 days after publication in the Federal Register
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 33-7919
|
| 34-43085 |
Jul. 28, 2000 |
Firm Quote and Trade-Through Disclosure Rules for Options
File No.: S7-17-00
Comments Due: 45 days after publication in the Federal Register
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44852;
Rule, Rel. No. 34-45654
|
| 34-43084 |
Jul. 28, 2000 |
Disclosure of Order Routing and Execution Practices
File No.: S7-16-00
Comments Due: September 22, 2000
Comments received electronically are available for this proposal.
See also: Final Rules, Rel. Nos. 34-44060 and 34-43590
|
| 34-42994 |
Jun. 30, 2000 |
Revision of the Commission's Auditor Independence Requirements
Reference: Rel. Nos. 33-7870, 35-27193, IC-24549, IA-1884
File No.: S7-13-00
Comments Due: September 25, 2000
Comments received electronically are available for this proposal.
Additional materials are available for this release:
Final Rule, Rel. No. 33-7919
Proposed Rule, Rel. No. 33-7883
3rd Hearing/Day 2 Testimony (testimony), September 21, 2000;
3rd Hearing/Day 1 Testimony (testimony), September 20, 2000;
Public Testimony (text submitted by speakers) on the issues, September 21, September 20, September 13, 2000 and July 26, 2000
2nd Hearing Testimony (testimony), September 13, 2000;
Notice of Hearings, July 7, 2000;
Hearing Testimony (testimony), July 26, 2000;
Notice of Additional Hearings, August 10, 2000;
Notice of Extension of deadline to submit testimony for additional hearings, August 30, 2000)
|
| 34-42755 |
May 4, 2000 |
Options Price Reporting Authority; Proposed Amendments to National Market System Plan
File No.: 4-434
Comments Due: 30 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-42741 |
May 2, 2000 |
Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers
File No.: S7-12-00
Comments Due: June 7, 2000
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44494
|
| 34-42620 |
Apr. 5, 2000 |
Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV
Reference: Rel. No. IA-1862
File No.: S7-10-00
Comments Due: June 13, 2000
Comments received electronically are available for this proposal.
Additional materials are available for this release:
Final Rules, Rel. Nos. 34-48167 and IA-1897
Summary of Comments on Electronic Filing and Proposed Amendments to Form ADV |
| 33-7815 |
Mar. 21, 2000 |
Proposed rule; extension of comment period
Reference: Rel. Nos. 34-42552, IC-24343
File No.: S7-31-99
Comments Due: April 28, 2000
See also: Final Rule, Rel. No. 33-7881
Proposed Rule, Rel. No. 34-42259
|
| 33-7809 |
Mar. 15, 2000 |
Disclosure of Mutual Fund After-Tax Returns
Reference: Rel. Nos. 34-42528, IC-24339
File No.: S7-09-00
Comments Due: June 30, 2000
Comments received electronically are available for this proposal.
See also: Final Rules, Rel. Nos. 33-8010 and 33-7941
|
| 34-42484 |
Mar. 2, 2000 |
Privacy of Consumer Financial Information (Regulation S-P)
Reference: Rel. Nos. IC-24326, IA-1856
File No.: S7-6-00
Comments Due: March 31, 2000
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-42974
|
| 34-42462 |
Feb. 25, 2000 |
Rulemaking for EDGAR System
Reference: Rel. Nos. 33-7803, 35-27142, 39-2382, IC-24319
File No.: S7-05-00
Comments Due: April 3, 2000
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 33-7855
|
| 34-42354 |
Jan. 21, 2000 |
Supplementary Financial Information
Reference: Rel. No. 33-7793
File No.: S7-03-00
Comments Due: by April 17, 2000
Comments received electronically are available for this proposal. |
| 34-42259 |
Dec. 20, 1999 |
Selective Disclosure and Insider Trading
Reference: Rel. Nos. 33-7787, IC-24209
File No.: S7-31-99
Comments Due: March 29, 2000
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 33-7881
Proposed Rule, Rel. No. 33-7815
|
| 34-42209 |
Dec. 9, 1999 |
Unlisted Trading Privileges
File No.: S7-29-99
Comments Due: January 31, 2000
Comments received electronically are available for this proposal. |
| 33-7767 |
Nov. 5, 1999 |
Delivery of Proxy and Information Statements to Households
Reference: Rel. Nos. 34-42102, IC-24124
File No.: S7-26-99
Comments Due: January 18, 2000
Comments received electronically are available for this proposal. |
| 34-42099 |
Nov. 4, 1999 |
Certain Broker-Dealers Deemed Not To Be Investment Advisers
Reference: Rel. No. IA-1845
File No.: S7-25-99
Comments Due: January 14, 2000
Comments received electronically are available for this proposal.
See also: Release No. 34-50213 (reopening of comment period) |
| 34-42007 |
Oct. 15, 1999 |
Role of Independent Directors of Investment Companies
Reference: Rel. No. IC-24082
File No.: S7-23-99
Comments Due: January 28, 2000
Comments received electronically are available for this proposal.
Additional Materials are available for this release:
Summary of Comments received |
| 34-41987 |
Oct. 8, 1999 |
Audit Committee Disclosure
File No.: S7-22-99
Comments Due: 45 days after date of publication in the Federal Register
Comments received electronically are available for this proposal. |
| IC-24050 |
Sep. 23, 1999 |
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
File No.: S7-21-99
Comments Due: November 23, 1999 |
| IA-1812 |
Aug. 4, 1999 |
Political Contributions by Certain Investment Advisers
File No.: S7-19-99
Comments Due: November 1, 1999
Comments received electronically are available for this proposal. |
| 34-41644 |
Jul. 23, 1999 |
Exemption of the Securities of the Republic of Portugal under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
File No.: S7-18-99
Comments Due: thirty days after publication in the Federal Register |
| 34-41442 |
May 25, 1999 |
Recordkeeping Requirements for Transfer Agents
File No.: S7-17-99
Comments Due: July 2, 1999
Comments received electronically are available for this proposal. |
| 34-41204 |
May 11, 1999 |
Revised Transfer Agent Form and Related Rule
File No.: S7-11-99
Comments Due: 45 days after date of publication in the Federal Register
Comments received electronically are available for this proposal. |
| IC-23815 |
Apr. 30, 1999 |
Custody of Investment Company Assets Outside the United States
Reference: Rel. No. IS-1194
File No.: S7-15-99
Comments Due: July 15, 1999
Comments received electronically are available for this proposal. |
| 34-41351 |
Apr. 30, 1999 |
Broker-Dealer Registration and Reporting
(Appendix; File name: 3441351a.txt)
File No.: S7-16-99
Comments Due: May 30, 1999
Comments received electronically are available for this proposal.
Additional material is available for this release:
Proposed Form BD in Adobe Acrobat format |
| 34-41288 |
Apr. 14, 1999 |
Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
Reference: Rel. No. FOIA-190, PA- 27
File No.: S7-14-99
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-41261 |
Apr. 8, 1999 |
Extension of Comment Period: Reproposed Rule: Publication or Submission of Quotations Without Specified Information
Reference: Rel. No. 34-41110
File No.: S7-5-99
Comments Due: May 8, 1999 |
| 33-7659 |
Mar. 24, 1999 |
Extension of Comment Period: The Regulation of Securities Offerings
File No.: S7-30-98
Comments Due: June 30, 1999 |
| 33-7656 |
Mar. 19, 1999 |
Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
File No.: S7-10-99
Comments Due: May 28, 1999
Comments received electronically are available for this proposal. |
| 33-7653 |
Mar. 10, 1999 |
Rulemaking for EDGAR System (changes for EDGAR modernization)
Reference: Rel. Nos. 34-41150, IC-23735
File No.: S7-9-99
Comments Due: April 15, 1999
Comments received electronically are available for this proposal. |
| 34-41142 |
Mar. 8, 1999 |
Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance
File No.: S7-8-99
Comments Due: 30 days after publication in Federal Register
Comments received electronically are available for this proposal. |
| 34-41110 |
Mar. 2, 1999 |
Publication or Submission of Quotations Without Specified Information
File No.: S7-5-99
Comments Due: 30 days after publication in Federal Register
Comments received electronically are available for this proposal. |
| 33-7649 |
Mar. 1, 1999 |
Financial Statements and Periodic Reports for Related Issuers and Guarantors
Reference: Rel. Nos. 34-41118, International Series No. 1187
File No.: S7-7-99
Comments Due: May 4, 1999
Comments received electronically are available for this proposal. |
| 33-7647 |
Feb. 26, 1999 |
Proposed Rule; Extension of Comment Period and Further Request for Comment, on Registration of Securities on Form S-8
File No.: S7-2-98
Comments Due: May 7, 1999 |
| 33-7637 |
Feb. 2, 1999 |
International Disclosure Standards
Reference: Rel. Nos. 34-41014, International Series Release No. 1182
File No.: S7-3-99
Comments Due: April 12, 1999
Comments received electronically are available for this proposal.
Correction available for this proposal. |
| IA-1787 |
Feb. 2, 1999 |
Transition Rule for Ohio Investment Advisers
File No.: S7-2-99
Comments Due: March 8, 1999
Comments received electronically are available for this proposal. |
| IC-23588 |
Dec. 4, 1998 |
Deregistration of Certain Registered Investment Companies
File No.: S7-31-98
Comments Due: February 5, 1999
Additional material is available for this release:
23588f.doc (Word),
23588f.pdf (use Adobe Acrobat® reader to view file) |
| 33-7611 |
Nov. 13, 1998 |
Cross-Border Tender Offers, Business Combinations and Rights Offerings
File No.: S7-29-98
Comments Due: 60 days after publication in Federal Register
Comments received electronically are available for this proposal. |
| 33-7606A |
Nov. 13, 1998 |
The Regulation of Securities Offerings
File names: 337606a1.txt, 337606a2.txt, and 337606a3.txt (three large ASCII text files) or 337606a.zip (PKZip archive containing three WordPerfect 5.1+ files and two MS Excel 5.0 worksheets)
File No.: S7-30-98
Comments Due: April 5, 1999
Comments received electronically are available for this proposal.
(NOTE: Comments deadline extended to June 30, 1999; see Rel. No. 33-7659.) |
| 34-40643 |
Nov. 5, 1998 |
Extension of Comment Period: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.: S7-26-98
Comments Due: extended to December 9, 1998 |
| 33-7607 |
Nov. 3, 1998 |
Regulation of Takeovers and Security Holder Communications
File names: 33-7607a.htm, 33-7607b.htm (two HTML files),
33-7607a.doc, 33-7607b.doc (two MS Word files)
File No.: S7-28-98
Comments Due: April 5, 1999
Comments received electronically are available for this proposal. |
| 34-40617 |
Oct. 29, 1998 |
Purchases of Certain Equity Securities by the Issuer and Others
File No.: S7-27-98
Comments Due: 30 days after publication in Federal Register
Comments received electronically are available for this proposal. |
| 34-40518 |
Oct. 2, 1998 |
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.: S7-26-98
Comments Due: November 9, 1998
Comments received electronically are available for this proposal.
(NOTE: Comments deadline extended to December 9, 1998; see Rel. No. 34-40643, above.) |
| 34-40386 |
Aug. 31, 1998 |
Processing of Reorganization Events, Tender Offers, and Exchange Offers
File No.: S7-25-98
Comments Due: 60 days after publication in Federal Register
Comments received electronically are available for this proposal. |
| 34-40364 |
Aug. 26, 1998 |
Rules of Practice; Amendments to Rules 210 and 221
File No.: S7-23-98
Comments Due: 30 days after publication in the Federal Register |
| 34-40260 |
Jul. 24, 1998 |
Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System Plan ("ITS") to Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities and to Eliminate the Unanimous Vote Provision
File No.: 4-208
Comments Due: 30 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| IC-23325 |
Jul. 22, 1998 |
Temporary Exemption for Certain Investment Advisers
File No.: S7-22-98
Comments Due: September 30, 1998
Comments received electronically are available for this proposal. |
| 33-7555 |
Jul. 15, 1998 |
Extension of Comment Period: Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
File No.: S7-16-98
Comments Due: extended to August 20, 1998
Comments received electronically are available for this proposal. |
| 34-40204 |
Jul. 15, 1998 |
Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS") Plan To Link the PCX Applications of the OptiMark System to the ITS System
File No.: 4-208
Comments Due: 30 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-40165 |
Jul. 2, 1998 |
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
File No.: S7-8-98
Comments Due: August 12, 1998
Comments received electronically are available for this proposal. |
| 34-40164 |
Jul. 2, 1998 |
Reports to be Made by Certain Brokers and Dealers
File No.: S7-7-98
Comments Due: August 12, 1998
Comments received electronically are available for this proposal. |
| IA-1728 |
Jun. 30, 1998 |
Investment Adviser Year 2000 Reports
File No.: S7-20-98
Comments Due: August 10, 1998
Comments received electronically are available for this proposal. |
| 33-7550 |
Jun. 25, 1998 |
Options Disclosure Document
File No.: S7-19-98
Comments Due: July 31, 1998 |
| 34-40129 |
Jun. 25, 1998 |
Amendment to Rule 9b-1 under the Securities Exchange Act Relating to the Options Disclosure Document
File No.: S7-18-98
Comments Due: July 31, 1998 |
| 33-7549; |
Jun. 25, 1998 |
Segment Reporting
File No.: S7-17-98
Comments Due: July 31, 1998
Comments received electronically are available for this proposal. |
| 34-40089 |
Jun. 12, 1998 |
Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
Reference: Rel. Nos. 33-7546, 35-26884, 39-2364, IA-1726, IC-23250
File No.: S7-16-98
Comments Due: July 20, 1998
Comments received electronically are available for this proposal.
(NOTE: Comments deadline extended to August 20, 1998; see Rel. No. 33-7555, above.) |
| 34-40077 |
Jun. 8, 1998 |
Exemption of the Securities of the Kingdom of Belgium under the Securities Exchange Act of 1934 for Purposes of Trading Future Contracts on Those Securities
File No.: S7-15-98
Comments Due: July 15, 1998 |
| 33-7541 |
May 21, 1998 |
Proposed Revision of Rule 504 of Regulation D, the "Seed Capital" Exemption
File No.: S7-14-98
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-39885 |
Apr. 17, 1998 |
Proposed Amendment to Rule 19b-4 under the Securities Exchange Act of 1934
File No.: S7-13-98
Comments Due: 30 days after publication in the Federal Register
(NOTE: This is a ZIPped MS Word 6.0 file; use PKZip to decompress) |
| 34-39884 |
Apr. 17, 1998 |
Regulation of Exchanges and Alternative Trading Systems
File No.: S7-12-98
Comments Due: 90 days after publication in the Federal Register
Comments received electronically are available for this proposal.
(NOTE: This is a set of ZIPped MS Word 6.0 files; use PKZip to decompress) |
| 34-39859 |
Apr. 14, 1998 |
Proposed Rule; Extension of Comment Period: Year 2000 Readiness Reports To Be Made by Transfer Agents
File No.: S7-8-98
Comments Due: extended to April 27, 1998 |
| 34-39858 |
Apr. 14, 1998 |
Proposed Rule; Extension of Comment Period: Reports To Be Made by Certain Brokers and Dealers
File No.: S7-7-98
Comments Due: extended to April 27, 1998 |
| 33-7514 |
Mar. 13, 1998 |
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trust that Offer Variable Life Insurance Policies
File names [2]: 33-7514r.htm 33-7514f.htm
File No.: S7-9-98
Comments Due: July 1, 1998
(NOTE: text of Form N-6 added, 3-23-98)Additional materials are available for this release:
Summary of Comments
on Proposed Form N-6, Registration
Form for Insurance Company
Separate Accounts Registered
as Unit Investment Trusts That
Offer Variable Life Insurance
Policies |
| 34-39726 |
Mar. 5, 1998 |
Year 2000 Readiness Reports To Be Made by Transfer Agents
File No.: S7-8-98
Comments Due: date extended; see April 14, 1998 release
Comments received electronically are available for this proposal. |
| 34-39724 |
Mar. 5, 1998 |
Reports To Be Made by Certain Brokers and Dealers
File No.: S7-7-98
Comments Due: date extended; see April 14, 1998 release
Comments received electronically are available for this proposal. |
| 33-7511 |
Feb. 17, 1998 |
Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements
File No.: S7-5-98
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-39704 |
Feb. 17, 1998 |
Proposed Rules; Concept Release; Extension of Comment Period
Reference: Rel. Nos. 34-39454, 33-39455, 34-39456
File Nos.: S7-30-97, S7-31-97, S7-32-97
Comments Due: April 6, 1998 for Rel. 34-39454; May 4, 1998 for Rel. 33-39455; and May 4, 1998 for Rel. 34-39456 |
| 34-39670 |
Feb. 17, 1998 |
Publication or Submission of Quotations Without Specified Information
File No.: S7-3-98
Comments Due: 60 days after publication in the Federal Register
|
| 33-7506 |
Feb. 17, 1998 |
Registration of Securities on Form S-8
File No.: S7-2-98
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-39457 |
Dec. 17, 1997 |
Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
File No.: S7-33-97
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-39455 |
Dec. 17, 1997 |
Net Capital Rule
File No.: S7-31-97
Comments Due: 90 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-39454 |
Dec. 17, 1997 |
OTC Derivatives Dealers
File No.: S7-30-97
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 33-7475 |
Nov. 13, 1997 |
Delivery of Disclosure Documents to Households
File No.: S7-27-97
Comments Due: February 2, 1998
Comments received electronically are available for this proposal. |
| IA-1682 |
Nov. 13, 1997 |
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
Comments Due: January 20, 1998
Comments received electronically are available for this proposal. |
| IA-1681 |
Nov. 13, 1997 |
Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940
File No.: S7-28-97
Comments Due: January 20, 1998
Comments received electronically are available for this proposal. |
| 34-39093 |
Sep. 19, 1997 |
Amendments to Rules on Shareholder Proposals
Reference: Rel. No. IC-22828
File No.: S7-25-97
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
Concurring remarks by Commissioner Wallman also available: s72597cn.htm |
| 33-7430 |
Jul. 14, 1997 |
Registration under the Securities Act of 1933 of Certain Investment Company Securities
File No.: S7-19-97
Comments Due: August 18, 1997
Comments received electronically are available for this proposal. |
| 34-38800 |
Jul. 2, 1997 |
Rulemaking for EDGAR System (Form 13F)
File No.: S7-18-97
Comments Due: August 7, 1997
Comments received electronically are available for this proposal.
Additional materials available for this proposal. |
| 33-7422 |
Jun. 10, 1997 |
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-17-97
Comments Due: July 17, 1997 |
| 33-7404 |
Mar. 14, 1997 |
Proposed Rule - Extension of Comment Period: Definition of "Small Business" or "Small Organization" Under the Investment Comany 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
Comments Due: April 30, 1997
(NOTE: see actual proposed rule below) |
| 33-7398 |
Feb. 27, 1997 |
Registration Form used by Open-End Management Investment Companies
File No.: S7-10-97
Comments Due: June 9, 1997
Comments received electronically are available for this proposal.
Additional materials available for this proposal. |
| 33-7399 |
Feb. 27, 1997 |
Proposed New Disclosure Option for Open-End Management Investment Companies
File No.: S7-18-96
Comments Due: June 9, 1997
(NOTE: Comments on this proposal were received electronically some months before its release; all such comments, whether received before and after release, are available from the same page) |
| IC-22530 |
Feb. 27, 1997 |
Investment Company Names
File No.: S7-11-97
Comments Due: June 9, 1997
Comments received electronically are available for this proposal. |
| 33-7393 |
Feb. 20, 1997 |
Delayed Pricing for Certain Registrants
File No.: S7-9-97
Comments Due: April 29, 1997
Comments received electronically are available for this proposal. |
| 33-7392 |
Feb. 20, 1997 |
Offshore Offers and Sales
File No.: S7-8-97
Comments Due: April 29, 1997
Comments received electronically are available for this proposal. |
| 33-7391 |
Feb. 20, 1997 |
Revision of Rule 144, Rule 145 and Form 144
File No.: S7-7-97
Comments Due: April 29, 1997
Comments received electronically are available for this proposal. |
| 33-7388 |
Feb. 11, 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
Comments Due: 30 days after publication in the Federal Register |
| 33-7383 |
Jan. 22, 1997 |
Proposed Rule: 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
(NOTE: Comments deadline extended to April 30, 1997; see Rel. No. 33-7404, above) |
| 34-38164 |
Jan. 14, 1997 |
Proposed Rule: Plain English Disclosure
File No.: S7-3-97
Comments Due: March 24, 1997
Comments received electronically are available for this proposal.
(TEXT REVISED to include valid file number and comments due date, 1-16-97)
(Additional materials (Draft Plain English Handbook) available for this proposal.) |
| 34-38159 |
Jan. 13, 1997 |
Proposed Rule: Extension of Comment Period, Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.: S7-27-96
Comments Due: Extended to March 31, 1997 |
| IA-1601 |
Dec. 20, 1996 |
Proposed Rule: Rules Implementing Amendments to the Investment Advisers Act of 1940
File No.: S7-31-96
Comments received electronically are available for this proposal.
(Note: Form ADV-T can be obtained from our Public Reference Room; call 202-942-8090) |
| IC-22405 |
Dec. 18, 1996 |
Proposed Rule: Private Investment Companies
File No.: S7-30-96
Comments Due: February 10, 1997
Comments received electronically are available for this proposal. |
| 33-7371 |
Dec. 10, 1996 |
Proposed Rule: Technical Revisions to the Rules and Forms Regulating Money Market Funds (Rule 2a-7)
File No.: S7-29-96
Comments Due: January 24, 1997
Comments received electronically are available for this proposal. |
| 33-7369 |
Dec. 6, 1996 |
Proposed Rule: Rulemaking for the EDGAR System
File No.: S7-28-96
Comments Due: 30 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-37850 |
Oct. 22, 1996 |
Proposed Rule: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.: S7-27-96
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 33-7356 |
Oct. 10, 1996 |
Proposed Rule: Offshore Press Conference, Meetings with Company RepresentativesConducted Offshore, and Press-Related Materials Released Offshore
File No.: S7-26-96
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| IC-22203 |
Sep. 10, 1996 |
Proposed Rule: Rule Amendments Relating to Multiple Class and Series Investment Companies (TEXT REVISED 9-16-96)
File No.: S7-24-96
Comments Due: 60 days after publication in the Federal Register |
| 33-7326 |
Aug. 30, 1996 |
Proposed Rule: Expansion of Short-Form Registration to Include Companies withNon-voting Common Equity
File No.: S7-23-96
Comments Due: 30 days after publication in the Federal Register |
| 34-37620 |
Aug. 29, 1996 |
Proposed Amendment to Rule 11Ac1-1
File No.: S7-22-96
Comments Due: 60 days after publication inthe Federal Register |
| 34-37595 |
Aug. 22, 1996 |
Proposed Rule: Lost Securityholders
File No.: S7-21-96
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-37594 |
Aug. 22, 1996 |
Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934
File No.: S7-20-96
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-37432 |
Jul. 12, 1996 |
Proposed Rule: Broker-Dealer Registration and Reporting
File No.: S7-17-96
Comments Due: 30 days after publication in the Federal Register |
| 34-37403 |
Jul. 5, 1996 |
Reproposed Rules: Amendments to Beneficial Ownership Reporting Requirements
File No.: S7-16-96
Comments Due: 60 days after publication in the Federal Register
File name REVISED 7-16-96 |
| 33-7301 |
May 31, 1996 |
Proposed Rule: Phase Two Recommendations of Task Force on Disclosure Simplification
File No.: S7-15-96
Comments Due: 45 days after publicationin the Federal Register
Comments received electronically are available for this proposal. |
| 33-7283 |
Apr. 19, 1996 |
Proposed Rule: Odd-Lot Tender Offers by Issuers
File No.: S7-12-96
Comments Due: 30 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 33-7282 |
Apr. 11, 1996 |
Proposed Rule: Trading Practices Rules Concerning Securities Offerings
File No.: S7-11-96
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 33-7281 |
Apr. 9, 1996 |
Extension of Comment Period: Proposed Amendments to RequireDisclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
File No.: S7-35-95
Comments Due: May 20, 1996 |
| 33-7280 |
Apr. 9, 1996 |
Proposed Rule: Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instrument, Other Financial Instruments, and Derivative Commodity Instruments
File No.: S7-10-96
Comments Due: May 20, 1996 |
| IC-21838 |
Mar. 21, 1996 |
Proposed Rule: Exemption for the Acquisition of Securities During the Existence of an Underwriting
File No.: S7-7-96
Comments Due: June 3, 1996 |
| 34-36980 |
Mar. 15, 1996 |
Notice of Filing of Proposed Rule Change by the NASD Relating to Regulating the Conduct of Broker/Dealers Operating on the Premises of a Financial Institution
File No.: SR-NASD-95-63 |
| 34-36720 |
Jan. 16, 1996 |
Proposed Rule/Extension of Comment Period: NAqcess System
Reference: Rel. No. 34-36718
File No.: SR-NASD-95-42
Comments Due: January 26, 1996 |
| 33-7253 |
Jan. 11, 1996 |
Calculation of Yield by Unit Investment Trusts: Proposed amendments to rules and forms; extension of comment period
File No.: S7-32-95
Comments Due: March 29, 1996 |
| 33-7250 |
Dec. 28, 1995 |
Proposed amendments to require disclosure of accounting policies for derivatives
Reference: Rel. Nos. 34-36643, IC-21625
File No.: S7-35-95 |
| 34-36548 |
Dec. 1, 1995 |
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to NAqcess System and Accompanying Rules of Fair Practice
File No.: SR-NASD-95-42 |
| 33-7242 |
Nov. 22, 1995 |
Calculation of Yield by Certain Unit Investment Trusts
File No.: S7-32-95 |
| IC-21398 |
Oct. 5, 1995 |
Custody of Investment Company Assets Outside the United States -- Extension of Comment Period; Action: Proposed rule amendments and request for comment; extension of comment period. 17CFR 270
File No.: S7-23-95
RIN 3235-AE98 |
| 33-7212 |
Sep. 8, 1995 |
Proposed Rule: Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters (Rule 17j-1)
File No.: S7-25-95
Comments Due: November 13, 1995
Comments received electronically are available for this proposal. |
| IC-21260 |
July 27, 1995 |
Status of Investment Advisory Programs under the Investment Company Act of 1940
Reference: Rel. No. IA-1510 |
| IC-21259 |
Jul. 27, 1995 |
Custody of Investment Company Assets Outside the United States
Reference: Rel. No. International Series Rel. No. 831
File No.: S7-23-95 |
| IC-21217 |
Jul. 19, 1995 |
Money Market Fund Quarterly Reporting
Reference: Rel. No. 34-35991
File No.: S7-22-95 |
| 33-7196 |
Jul. 19, 1995 |
Money Market Fund Prospectuses
Reference: Rel. No. IC-21216 |
| 33-7183 |
Jun. 27, 1995 |
Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934
Reference: Rel. Nos. 34-35893, IC-21166 |
| 33-7184 |
Jun. 27, 1995 |
Streamlining and Consolidation of Executive and Director Compensation Disclosure
Reference: Rel. No. 34-35894
File No.: S7-14-95
Comments Due: September 8, 1995
Comments received electronically are available for this proposal. |
| 33-7188 |
Jun. 27, 1995 |
Solicitations of Interest Prior to an Initial Public Offering |
| 34-34923 |
|
Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others
Reference: Rel. Nos. 33-7106, IC-20670 |
| 35-26312 |
Jun. 20, 1995 |
Exemption of Issuance and Sale of Securities By Public-Utility and Non-Utility Subsidiary Companies of Registered Public-Utility Holding Companies |
| 35-26313 |
Jun. 20, 1995 |
Exemption of Acquisition By Registered Public Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies |
| 34-35375 |
Feb. 14, 1995 |
Disclosure by Investment Advisers Regarding Soft Dollar Practices
Reference: Rel. No. IA-1469
File No.: S7-5-95 |
| 34-35323 |
Feb. 2, 1995 |
Unlisted Trading Privileges
File No.: S7-4-95 |
| 33-7133 |
Feb. 1, 1995 |
Registration Fees for Certain Investment Companies
Reference: Rel. No. IC-20874
File No.: S7-3-95 |
| 34-35040 |
Dec. 1, 1994 |
Proposed Amendments to the Transfer Agent Rules
File No.: S7-35-94 |
| 34-34903 |
Oct. 27, 1994 |
Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices |
| 34-34753 |
Sep. 29, 1994 |
Customer Limit Orders
File No.: S7-28-94
Comments received electronically are available for this proposal. |
