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U.S. Securities and Exchange Commission

Division of Corporation Finance

Frequently Requested Materials

This page contains materials frequently requested by investors, companies, attorneys and accountants. The staff currently is identifying and preparing materials to add to this page. So, please check back here again soon.

Selected No-Action Letters Issued Under Exchange Act Rule 14a-8

Securities Act Releases

  • Release No. 33-6099   Resales of Restricted and Other Securities (August 2, 1979)
  • Release No. 33-6269   Procedures Applicable to Requests for No-Action and Interpretive Letters (December 5, 1980)
  • Release No. 33-6253   Procedures Utilized by the Division of Corporation Finance for Rendering Informal Advice (Interpretive Release; October 28, 1980)
  • Release No. 33-4552   Non Public Offering Exemption (Final Rule, November 6, 1962)
  • Release No. 33-6835   Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures (Interpretive Rule, May 18, 1989)
  • Release No. 33-4790   Employee Stock Purchase Plans (Interpretive Release; July 13, 1965)
  • Release No. 33-5515   Interpretation of the Division of Corporation Finance Relating to Dividend Reinvestment and Similar Plans (Interpretive Release; July 22, 1974)
  • Release No. 33-6188   Employee Benefit Plans; Interpretations of Statute (Interpretive Release; February 1, 1980)
  • Release No. 33-6281   Employee Benefit Plans (Interpretive Release; January 15, 1981)

Exchange Act Releases

  • Release No. 34-28869   Ownership Reports and Trading By Officers, Directors and Principal Security Holders (February 8, 1991)

Interpretive Letters Issued Under Exchange Act Section 16 Cited in the Section 16 Compliance and Disclosure Interpretations

Modified: 07/17/2008