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SEC Proposed Rules Archives: 1999

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
34-42259 Dec. 20, 1999 Selective Disclosure and Insider Trading
Reference:   Rel. Nos. 33-7787, IC-24209
File No.:   S7-31-99
Comments Due:   March 29, 2000
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 33-7881
Proposed Rule, Rel. No. 33-7815
34-42209 Dec. 9, 1999 Unlisted Trading Privileges
File No.:   S7-29-99
Comments Due:   January 31, 2000
Comments received electronically are available for this proposal.
33-7767 Nov. 5, 1999 Delivery of Proxy and Information Statements to Households
Reference:   Rel. Nos. 34-42102, IC-24124
File No.:   S7-26-99
Comments Due:   January 18, 2000
Comments received electronically are available for this proposal.
34-42099 Nov. 4, 1999 Certain Broker-Dealers Deemed Not To Be Investment Advisers
Reference:   Rel. No. IA-1845
File No.:   S7-25-99
Comments Due:   January 14, 2000
Comments received electronically are available for this proposal.
See also: Release No. 34-50213 (reopening of comment period)
34-42007 Oct. 15, 1999 Role of Independent Directors of Investment Companies
Reference:   Rel. No. IC-24082
File No.:   S7-23-99
Comments Due:   January 28, 2000
Comments received electronically are available for this proposal.
Additional Materials are available for this release:
   Summary of Comments received
34-41987 Oct. 8, 1999 Audit Committee Disclosure
File No.:   S7-22-99
Comments Due:   45 days after date of publication in the Federal Register
Comments received electronically are available for this proposal.
Third Quarter
IC-24050 Sep. 23, 1999 Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
File No.:   S7-21-99
Comments Due:   November 23, 1999
IA-1812 Aug. 4, 1999 Political Contributions by Certain Investment Advisers
File No.:   S7-19-99
Comments Due:   November 1, 1999
Comments received electronically are available for this proposal.
34-41644 Jul. 23, 1999 Exemption of the Securities of the Republic of Portugal under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
File No.:   S7-18-99
Comments Due:   thirty days after publication in the Federal Register
Second Quarter
34-41442 May 25, 1999 Recordkeeping Requirements for Transfer Agents
File No.:   S7-17-99
Comments Due:   July 2, 1999
Comments received electronically are available for this proposal.
34-41204 May 11, 1999 Revised Transfer Agent Form and Related Rule
File No.:   S7-11-99
Comments Due:   45 days after date of publication in the Federal Register
Comments received electronically are available for this proposal.
IC-23815 Apr. 30, 1999 Custody of Investment Company Assets Outside the United States
Reference:   Rel. No. IS-1194
File No.:   S7-15-99
Comments Due:   July 15, 1999
Comments received electronically are available for this proposal.
34-41351 Apr. 30, 1999 Broker-Dealer Registration and Reporting
(Appendix; File name: 3441351a.txt)
File No.:   S7-16-99
Comments Due:   May 30, 1999
Comments received electronically are available for this proposal.
Additional material is available for this release:
   Proposed Form BD in Adobe Acrobat format
34-41288 Apr. 14, 1999 Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
Reference:   Rel. No. FOIA-190, PA- 27
File No.:   S7-14-99
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-41261 Apr. 8, 1999 Extension of Comment Period: Reproposed Rule: Publication or Submission of Quotations Without Specified Information
Reference:   Rel. No. 34-41110
File No.:   S7-5-99
Comments Due:   May 8, 1999
First Quarter
33-7659 Mar. 24, 1999 Extension of Comment Period: The Regulation of Securities Offerings
File No.:   S7-30-98
Comments Due:   June 30, 1999
33-7656 Mar. 19, 1999 Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
File No.:   S7-10-99
Comments Due:   May 28, 1999
Comments received electronically are available for this proposal.
33-7653 Mar. 10, 1999 Rulemaking for EDGAR System (changes for EDGAR modernization)
Reference:   Rel. Nos. 34-41150, IC-23735
File No.:   S7-9-99
Comments Due:   April 15, 1999
Comments received electronically are available for this proposal.
34-41142 Mar. 8, 1999 Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance
File No.:   S7-8-99
Comments Due:   30 days after publication in Federal Register
Comments received electronically are available for this proposal.
34-41110 Mar. 2, 1999 Publication or Submission of Quotations Without Specified Information
File No.:   S7-5-99
Comments Due:   30 days after publication in Federal Register
Comments received electronically are available for this proposal.
33-7649 Mar. 1, 1999 Financial Statements and Periodic Reports for Related Issuers and Guarantors
Reference:   Rel. Nos. 34-41118, International Series No. 1187
File No.:   S7-7-99
Comments Due:   May 4, 1999
Comments received electronically are available for this proposal.
33-7647 Feb. 26, 1999 Proposed Rule; Extension of Comment Period and Further Request for Comment, on Registration of Securities on Form S-8
File No.:   S7-2-98
Comments Due:   May 7, 1999
33-7637 Feb. 2, 1999 International Disclosure Standards
Reference:   Rel. Nos. 34-41014, International Series Release No. 1182
File No.:   S7-3-99
Comments Due:   April 12, 1999
Comments received electronically are available for this proposal.
Correction available for this proposal.
IA-1787 Feb. 2, 1999 Transition Rule for Ohio Investment Advisers
File No.:   S7-2-99
Comments Due:   March 8, 1999
Comments received electronically are available for this proposal.

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed1999.shtml

Modified: 10/16/2014