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SEC Final Rules: 1996

Archive of older SEC Final Rules available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-38073 Dec. 23, 1996 Securities Transactions Exempt From Transaction Fees
File No.: S7-32-96.
Other Release Nos.: IC-22415
IA-1602 Dec. 20, 1996 Suspension of Form ADV-S
33-7375 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 Odd-Lot Tender Offers by Issuers
File No.: S7-12-96.
Other Release Nos.: 34-38068; IC-22413
33-7373 Dec. 16, 1996 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 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 Revised Compliance Dates – Order Execution Obligations.
File No.: S7-30-95
33-7361 Nov. 1, 1996 Adjustments to Civil Monetary Amounts
Effective Date: 30 days after publication in Federal Register
34-37893 Oct. 30, 1996 Delegation of Authority to the General Counsel
Effective Date: date of publication in Federal Register
33-7355 Oct. 10, 1996 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 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 Adoption of Updated EDGAR Filer Manual
Effective Date: Oct. 7, 1996.
Other Release Nos.: 34-37774; 35-26585; 39-2343; IC-22257
Third Quarter
33-7331 Sep. 17, 1996 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 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 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 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.
Second Quarter
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.
First Quarter
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

 

http://www.sec.gov/rules/final/finalarchive/finalarchive1996.shtml


Modified: 10/16/2014