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SEC Proposed Rules Archives: 1996

Archive of older proposed rules currently available on site. We encourage the public to submit comments on proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
IA-1601 Dec. 20, 1996 Proposed Rule: Rules Implementing Amendments to the Investment Advisers Act of 1940
File No.:   S7-31-96
Comments received electronically are available for this proposal.
(Note: Form ADV-T can be obtained from our Public Reference Room; call 202-942-8090)
IC-22405 Dec. 18, 1996 Proposed Rule: Private Investment Companies
File No.:   S7-30-96
Comments Due:   February 10, 1997
Comments received electronically are available for this proposal.
33-7371 Dec. 10, 1996 Proposed Rule: Technical Revisions to the Rules and Forms Regulating Money Market Funds (Rule 2a-7)
File No.:   S7-29-96
Comments Due:   January 24, 1997
Comments received electronically are available for this proposal.
33-7369 Dec. 6, 1996 Proposed Rule: Rulemaking for the EDGAR System
File No.:   S7-28-96
Comments Due:   30 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-37850 Oct. 22, 1996 Proposed Rule: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.:   S7-27-96
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
33-7356 Oct. 10, 1996 Proposed Rule: Offshore Press Conference, Meetings with Company RepresentativesConducted Offshore, and Press-Related Materials Released Offshore
File No.:   S7-26-96
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
Third Quarter
IC-22203 Sep. 10, 1996 Proposed Rule: Rule Amendments Relating to Multiple Class and Series Investment Companies (TEXT REVISED 9-16-96)
File No.:   S7-24-96
Comments Due:   60 days after publication in the Federal Register
33-7326 Aug. 30, 1996 Proposed Rule: Expansion of Short-Form Registration to Include Companies withNon-voting Common Equity
File No.:   S7-23-96
Comments Due:   30 days after publication in the Federal Register
34-37620 Aug. 29, 1996 Proposed Amendment to Rule 11Ac1-1
File No.:   S7-22-96
Comments Due:   60 days after publication inthe Federal Register
34-37595 Aug. 22, 1996 Proposed Rule: Lost Securityholders
File No.:   S7-21-96
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-37594 Aug. 22, 1996 Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934
File No.:   S7-20-96
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-37432 Jul. 12, 1996 Proposed Rule: Broker-Dealer Registration and Reporting
File No.:   S7-17-96
Comments Due:   30 days after publication in the Federal Register
34-37403 Jul. 5, 1996 Reproposed Rules: Amendments to Beneficial Ownership Reporting Requirements
File No.:   S7-16-96
Comments Due:   60 days after publication in the Federal Register
File name REVISED 7-16-96
Second Quarter
33-7301 May 31, 1996 Proposed Rule: Phase Two Recommendations of Task Force on Disclosure Simplification
File No.:   S7-15-96
Comments Due:   45 days after publicationin the Federal Register
Comments received electronically are available for this proposal.
33-7283 Apr. 19, 1996 Proposed Rule: Odd-Lot Tender Offers by Issuers
File No.:   S7-12-96
Comments Due:   30 days after publication in the Federal Register
Comments received electronically are available for this proposal.
33-7282 Apr. 11, 1996 Proposed Rule: Trading Practices Rules Concerning Securities Offerings
File No.:   S7-11-96
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
33-7281 Apr. 9, 1996 Extension of Comment Period: Proposed Amendments to RequireDisclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
File No.:   S7-35-95
Comments Due:   May 20, 1996
33-7280 Apr. 9, 1996 Proposed Rule: Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instrument, Other Financial Instruments, and Derivative Commodity Instruments
File No.:   S7-10-96
Comments Due:   May 20, 1996
First Quarter
IC-21838 Mar. 21, 1996 Proposed Rule: Exemption for the Acquisition of Securities During the Existence of an Underwriting
File No.:   S7-7-96
Comments Due:   June 3, 1996
34-36980 Mar. 15, 1996 Notice of Filing of Proposed Rule Change by the NASD Relating to Regulating the Conduct of Broker/Dealers Operating on the Premises of a Financial Institution
File No.:   SR-NASD-95-63
34-36720 Jan. 16, 1996 Proposed Rule/Extension of Comment Period: NAqcess System
Reference:   Rel. No. 34-36718
File No.:   SR-NASD-95-42
Comments Due:   January 26, 1996
33-7253 Jan. 11, 1996 Calculation of Yield by Unit Investment Trusts: Proposed amendments to rules and forms; extension of comment period
File No.:   S7-32-95
Comments Due:   March 29, 1996

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed1996.shtml

Modified: 10/16/2014