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SEC Interpretive Releases Archive 2001

The Commission occasionally provides guidance on topics of general interest to the business and investment communities by issuing "interpretive" releases, in which we publish our views and interpret the federal securities laws and SEC regulations. Below are brief descriptions of and links to recent "interpretive" releases.

Additional Archives

Release No. Date Details
34-45194 Dec. 27, 2001 Commission Guidance on the Scope of Section 28(e) of the Exchange Act
Effective Date of Interpretation: January 1, 2002
33-8005a Sep. 21, 2001 Calculation of Average Weekly Trading Volume under Rule 144 and Termination of a Rule 10b5-1 Trading Plan
Effective Date of Interpretation: September 20, 2001
Other Release Nos.: 34-44820; FR-58
33-8004 Sep. 14, 2001 Bookkeeping Services Provided by Auditors to Audit Clients in Emergency or Other Unusual Situations
Effective Date of Interpretation: September 14, 2001
Other Release Nos.: 34-44792; IC-25157; FR-57
33-7985 Jun. 14, 2001 Application of the Electronic Signatures in Global and National Commerce Act to Record Retention Requirements Pertaining to Issuers under the Securities Act of 1933, Securities Exchange Act of 1934 and Regulation S-T
Effective Date of Interpretation: when published in the Federal Register
Other Release Nos.: 34-44424, 35-27419, IC-25003
34-44238 May 1, 2001 Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic Signatures in Global and National Commerce Act of 2000 with Respect to Rule 17a-4(f)
Effective Date of Interpretation: Date of publication in the Federal Register.

Modified: 01/21/2009