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Completed Initiatives of Interest to
Small Business

  • Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
    Effective Date:  September 23, 2013
    [Release No. 33-9415 (July 10, 2013); Federal Register version (July 24, 2013)]
    See also: Small Entity Compliance Guide; Proposed Rule Release No. 33-9354 (July 10, 2013) and comments.
     
  • Disqualification of Felons and Other "Bad Actors" from Rule 506 Offerings
    Effective Date: September 23, 2013
    [Release No. 33-9414 (July 10, 2013); Federal Register version (July 24, 2013)]
    See also: Small Entity Compliance Guide; Proposed Rule Release No. 33-9211, and comments.
     
  • Net Worth Standard for Accredited Investors
    Effective Dates:  February 27, 2012
    [Release No. 33-9287 (Dec. 21, 2011);
    Federal Register version (Dec. 29, 2011)]
    See also:  Small Entity Compliance Guide, Proposed Rule Release No. 33-9177 (Jan. 25, 2011) and comments.
     
  • Electronic Filing and Revision of Form D
    Effective Dates:  September 15, 2008; see effective date section of the release for exceptions.
    [Release No. 33-8891 (Feb. 6, 2008);
    Federal Register version (Feb. 27, 2008)]
    See also:  Small Entity Compliance Guide, Proposed Rule Release No. 33-8814 (Jun. 29, 2007) and comments.
     
  • Revisions to Rules 144 and 145
    Effective Date:  February 15, 2008
    [Release No. 33-8869 (Dec. 6, 2007);
    Federal Register version (Dec. 17, 2007)]
    See also:  Small Entity Compliance Guide, Proposed Rule Release No. 33-8813 (Jun. 22, 2007) and comments.
     
  • Smaller Reporting Company Regulatory Relief & Simplification
    Effective Date:  February 4, 2008
    [Release No. 33-8876 (Dec. 19, 2007);
    Federal Register version (Jan. 4, 2008)]
    See also:  Small Entity Compliance Guide, Proposed Rule Release No. 33-8819 (Jul. 5, 2007) and comments.
     
  • Revisions to Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
    Effective Date:  January 28, 2008
    [Release No. 33-8878 (Dec. 19, 2007);
    Federal Register version (Dec. 27, 2007)]
    See also:  Small Entity Compliance Guide, Proposed Rule Release No. 33-8812 (Jun. 20, 2007) and comments.
     
  • Exemption of Compensatory Employee Stock Options From Registration Under Section 12(g) of the Securities Exchange Act of 1934
    Effective Date:  December 7, 2007
    [Release No. 34-56887 (Dec. 3, 2007);
    Federal Register version (Dec. 7, 2007)]
    See also:  Proposed Rule Release No. 34-56010 (Jul. 5, 2007) and comments.
     
  • Commission Guidance Regarding Management’s Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934
    Effective Date:  June 27, 2007
    [Release No. 33-8810 (Jun. 20, 2007);
    Federal Register version (Jun. 27, 2007)]
    See also:  Proposed Rule Release No. 33-8762 (Dec. 20, 2006) and comments.
     
  • Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
    Effective Date: February 20, 2007 (except temporary items as explained in release)
    [Release No. 33-8760 (Dec. 15, 2006);
    Federal Register version (Dec. 21, 2006)]
    See also:  Press Release 2006-210 (Dec. 15, 2006); Proposed Rule Release No. 33-8731 (Aug. 9, 2006) and comments
     
  • Advisory Committee on Smaller Public Companies (2004–2006)
     
  • Amendments to Rule 504 of Regulation D
    Effective Date: April 7, 1999
    [Release No. 33-7644 (Feb. 25, 1999)]
    See also:  Proposed Rule Release No. 33-7541 (May 21, 1998) and comments
     
  • Rule 701 - Exempt Offerings Pursuant to Compensatory Arrangements
    Effective Date: April 7, 1999
    [Release No. 33-7645 (Feb. 25, 1999)]
    See also:  Proposed Rule Release No. 33-7511 (Feb. 27, 1998) and comments
     
  • Offshore Offers and Sales (Regulation S)
    Effective Date: April 27, 1998 except 249.308, 249.308a, 249.308b, 249.310 and 249.310b (the amendments to Forms 8-K, 10-Q, 10-QSB, 10-K and 10-KSB) will become effective on January 1, 1999
    [Release No. 33-7505 - Part 1; 33-7505 - Part 2 (Feb. 17, 1998)]
    See also:  Proposed Rule Release No. 33-7392 (Feb. 20, 1997) and comments
     
  • Penalty-Reduction Policy for Small Entities
    Effective Date: March 29, 1997
    [Release No. 33-7408 (Mar. 27, 1997)]
     
  • Revision of Holding Period Requirements in Rules 144 and 145
    Effective Date: April 29, 1997
    [Release No. 33-7390 (Feb. 20, 1997)]
     
  • Informal Guidance Program for Small Entities
    Effective Date: March 29, 1997
    [Release No. 33-7407 (Mar. 27, 1997)]
     
  • Policy Statement: Designation of Small Business Compliance Guides
    Effective Date: date published in Federal Register
    [Release No. 33-7382 (Jan. 22, 1997)]
     
  • Exemption for Certain California Limited Issues
    Effective Date: June 10, 1996
    [Release No. 33-7285 (May 1, 1996)]
     
  • Relief from Reporting by Small Issuers
    Effective Date: May 9, 1996
    [Release No. 34-37157 (May 1, 1996)]
     
  • Additional Small Business Initiatives, including revisions to rules and forms to facilitate financings by small business issuers
    Effective Date: June 3, 1993
    [Release No. 33-6996 (Apr. 28, 1993)]
     
  • Small Business Initiatives, including revisions to Regulation A and Rule 504 as well as simplified registration and reporting requirements for small business issuers
    Effective Date: August 13, 1992
    [Release No. 33-6949 (Jul. 30, 1992)]
     

http://www.sec.gov/info/smallbus/sbrules.shtml


Modified: 10/16/2014