SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


SEC Final Rules: 1997

Archive of older SEC Final Rules available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
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 Oct. 1, 1997 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.
Federal Register version
Third Quarter
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
Second Quarter
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
First Quarter
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. 12, 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 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.

 

http://www.sec.gov/rules/final/finalarchive/finalarchive1997.shtml


Modified: 10/16/2014