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SEC Proposed Rules Archives: 1998

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
IC-23588 Dec. 4, 1998 Deregistration of Certain Registered Investment Companies
File No.:   S7-31-98
Comments Due:   February 5, 1999
Additional material is available for this release:
23588f.pdf (use Adobe Acrobat® reader to view file)
33-7611 Nov. 13, 1998 Cross-Border Tender Offers, Business Combinations and Rights Offerings
File No.:   S7-29-98
Comments Due:   60 days after publication in Federal Register
Comments received electronically are available for this proposal.
33-7606A Nov. 13, 1998 The Regulation of Securities Offerings
File names: 337606a1.txt, 337606a2.txt, and 337606a3.txt (three large ASCII text files)
File No.:   S7-30-98
Comments Due:   April 5, 1999
Comments received electronically are available for this proposal.
(NOTE: Comments deadline extended to June 30, 1999; see Rel. No. 33-7659.)
34-40643 Nov. 5, 1998 Extension of Comment Period: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.:   S7-26-98
Comments Due:   extended to December 9, 1998
33-7607 Nov. 3, 1998 Regulation of Takeovers and Security Holder Communications
File names: 33-7607a.htm, 33-7607b.htm (two HTML files),
33-7607a, 33-7607b (two PDF files)
File No.:   S7-28-98
Comments Due:   April 5, 1999
Comments received electronically are available for this proposal.
34-40617 Oct. 29, 1998 Purchases of Certain Equity Securities by the Issuer and Others
File No.:   S7-27-98
Comments Due:   30 days after publication in Federal Register
Comments received electronically are available for this proposal.
34-40518 Oct. 2, 1998 Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.:   S7-26-98
Comments Due:   November 9, 1998
Comments received electronically are available for this proposal.
(NOTE: Comments deadline extended to December 9, 1998; see Rel. No. 34-40643, above.)
Third Quarter
34-40386 Aug. 31, 1998 Processing of Reorganization Events, Tender Offers, and Exchange Offers
File No.:   S7-25-98
Comments Due:   60 days after publication in Federal Register
Comments received electronically are available for this proposal.
34-40364 Aug. 26, 1998 Rules of Practice; Amendments to Rules 210 and 221
File No.:   S7-23-98
Comments Due:   30 days after publication in the Federal Register
34-40260 Jul. 24, 1998 Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System Plan ("ITS") to Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities and to Eliminate the Unanimous Vote Provision
File No.:   4-208
Comments Due:   30 days after publication in the Federal Register
Comments received electronically are available for this proposal.
IC-23325 Jul. 22, 1998 Temporary Exemption for Certain Investment Advisers
File No.:   S7-22-98
Comments Due:   September 30, 1998
Comments received electronically are available for this proposal.
33-7555 Jul. 15, 1998 Extension of Comment Period: Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
File No.:   S7-16-98
Comments Due:   extended to August 20, 1998
Comments received electronically are available for this proposal.
34-40204 Jul. 15, 1998 Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS") Plan To Link the PCX Applications of the OptiMark System to the ITS System
File No.:   4-208
Comments Due:   30 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-40165 Jul. 2, 1998 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
File No.:   S7-8-98
Comments Due:   August 12, 1998
Comments received electronically are available for this proposal.
34-40164 Jul. 2, 1998 Reports to be Made by Certain Brokers and Dealers
File No.:   S7-7-98
Comments Due:   August 12, 1998
Comments received electronically are available for this proposal.
Second Quarter
IA-1728 Jun. 30, 1998 Investment Adviser Year 2000 Reports
File No.:   S7-20-98
Comments Due:   August 10, 1998
Comments received electronically are available for this proposal.
33-7550 Jun. 25, 1998 Options Disclosure Document
File No.:   S7-19-98
Comments Due:   July 31, 1998
34-40129 Jun. 25, 1998 Amendment to Rule 9b-1 under the Securities Exchange Act Relating to the Options Disclosure Document
File No.:   S7-18-98
Comments Due:   July 31, 1998
33-7549; Jun. 25, 1998 Segment Reporting
File No.:   S7-17-98
Comments Due:   July 31, 1998
Comments received electronically are available for this proposal.
34-40089 Jun. 12, 1998 Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
Reference:   Rel. Nos. 33-7546, 35-26884, 39-2364, IA-1726, IC-23250
File No.:   S7-16-98
Comments Due:   July 20, 1998
Comments received electronically are available for this proposal.
(NOTE: Comments deadline extended to August 20, 1998; see Rel. No. 33-7555, above.)
34-40077 Jun. 8, 1998 Exemption of the Securities of the Kingdom of Belgium under the Securities Exchange Act of 1934 for Purposes of Trading Future Contracts on Those Securities
File No.:   S7-15-98
Comments Due:   July 15, 1998
33-7541 May 21, 1998 Proposed Revision of Rule 504 of Regulation D, the "Seed Capital" Exemption
File No.:   S7-14-98
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-39885 Apr. 17, 1998 Proposed Amendment to Rule 19b-4 under the Securities Exchange Act of 1934
File No.:   S7-13-98
Comments Due:   30 days after publication in the Federal Register
(NOTE: This is a PDF file)
34-39884 Apr. 17, 1998 Regulation of Exchanges and Alternative Trading Systems
File No.:   S7-12-98
Comments Due:   90 days after publication in the Federal Register
Comments received electronically are available for this proposal.
(NOTE: This is a PDF file)
34-39859 Apr. 14, 1998 Proposed Rule; Extension of Comment Period: Year 2000 Readiness Reports To Be Made by Transfer Agents
File No.:   S7-8-98
Comments Due:   extended to April 27, 1998
34-39858 Apr. 14, 1998 Proposed Rule; Extension of Comment Period: Reports To Be Made by Certain Brokers and Dealers
File No.:   S7-7-98
Comments Due:   extended to April 27, 1998
First Quarter
33-7514 Mar. 13, 1998 Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trust that Offer Variable Life Insurance Policies
File names [2]: 33-7514r.htm 33-7514f.htm
File No.:   S7-9-98
Comments Due:   July 1, 1998
(NOTE: text of Form N-6 added, 3-23-98)Additional materials are available for this release:
   Summary of Comments
   on Proposed Form N-6, Registration
   Form for Insurance Company
   Separate Accounts Registered
   as Unit Investment Trusts That
    Offer Variable Life Insurance
    Policies
34-39726 Mar. 5, 1998 Year 2000 Readiness Reports To Be Made by Transfer Agents
File No.:   S7-8-98
Comments Due:   date extended; see April 14, 1998 release
Comments received electronically are available for this proposal.
34-39724 Mar. 5, 1998 Reports To Be Made by Certain Brokers and Dealers
File No.:   S7-7-98
Comments Due:   date extended; see April 14, 1998 release
Comments received electronically are available for this proposal.
33-7511 Feb. 17, 1998 Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements
File No.:   S7-5-98
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-39704 Feb. 17, 1998 Proposed Rules; Concept Release; Extension of Comment Period
Reference:   Rel. Nos. 34-39454, 33-39455, 34-39456
File Nos.:   S7-30-97, S7-31-97, S7-32-97
Comments Due:   April 6, 1998 for Rel. 34-39454; May 4, 1998 for Rel. 33-39455; and May 4, 1998 for Rel. 34-39456
34-39670 Feb. 17, 1998 Publication or Submission of Quotations Without Specified Information
File No.:   S7-3-98
Comments Due:   60 days after publication in the Federal Register
33-7506 Feb. 17, 1998 Registration of Securities on Form S-8
File No.:   S7-2-98
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed1998.shtml

Modified: 10/16/2014