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SEC Proposed Rules Archives: 2001

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
33-8041 Dec. 19, 2001 Defining the Term "Qualified Purchaser" under the Securities Act of 1933
File No.: S7-23-01
Comments Due: February 25, 2002.
Comments received are available for this proposal.
IC-25266 Nov. 15, 2001 Custody of Investment Company Assets with a Securities Depository
File No.: S7-22-01
Comments Due: January 31, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. IC-25934
IC-25259 Nov. 8, 2001 Investment Company Mergers
Release No.: IC-25259
File No.:   S7-21-01
Comments Due:   January 18, 2002.
Comments received are available for this proposal.
Summary of Comments on Investment Company Mergers
See also: Final Rule, Rel. No. IC-25666
34-44996 Oct. 29, 2001 Extension of Comment Period: Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
File No.:   S7-16-01 and S7-17-01
Comments Due: December 5, 2001.
See also: Final Rules, Rel. Nos. 34-46473 and 34-46292;
Proposed Rules, Rel. Nos. 34-44854 and comments; 34-44853 and comments
Third Quarter
33-8016 Sep. 28, 2001 Mandated EDGAR Filing for Foreign Issuers
File No.:   S7-18-01
Reference:   International Series Release No. 1250;
Comments Due:   December 3, 2001.
Comments received are available for this proposal.
Summary of Comments regarding Mandated EDGAR Filing for Foreign Issuers.
See also: Final Rule, Rel. No. 33-8099
34-44854 Sep. 25, 2001 Joint Proposed Rule: Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
File No.:   S7-17-01
Comments Due:   November 5, 2001.
See also Rel. No. 34-44996
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-46473
Proposed Rule, Rel. No. 34-44996
34-44853 Sep. 25, 2001 Joint Proposed Rule: Customer Margin Rules Relating to Security Futures
File No.:   S7-16-01
Comments Due:   November 5, 2001.
See also Rel. No. 34-44996
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-46292
34-44743 Aug. 24, 2001 Joint Proposed Rule: Cash Settlement and Regulatory Halt Requirements for Security Futures Products
File No.:   S7-15-01
Comments Due:   October 1, 2001.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-45956
Second Quarter
34-44475 Jun. 26, 2001 Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
File No.:   S7-11-01
Comments Due:   July 11, 2001.
See also: Final Rule, Rel. No. 34-44724
Proposed Rule, Rel. No. 34-44288
34-44455 Jun. 20, 2001 Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
File No.:   S7-13-01
Comments Due:   July 26, 2001.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44730
34-44288 May 10, 2001 Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
File No.:   S7-11-01
Comments Due:   30 days after date of publication in the Federal Register.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44724
Proposed Rule, Rel. No. 34-44475
34-44279 May 8, 2001 Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations.
File No.: S7-10-01
Comments Due:   30 days after the date of publication in the Federal Register.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44692
First Quarter
35-27357 Mar. 19, 2001 Electronic Recordkeeping by Public Utility Holding Companies
File No.:   S7-07-01
Comments Due:   30 days after publication in the Federal Register.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 35-27404
IC-24890 Mar. 13, 2001 Electronic Recordkeeping by Investment Companies and Investment Advisers.
Reference:   Rel. No. IC-24890; IA-1932; File No. S7-06-01;
File No.:   S7-06-01
Comments Due:   April 19, 2001.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. IC-24991
33-7955 Feb. 28, 2001 Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000.
Reference:   Rel. Nos. 34-44014, 35-27350, IA-1929, IC-24879.
35-27342 Feb. 1, 2001 Foreign Utility Companies.
Reference:   Rel. No. International Series Release No. 1246;
File No.:   S7-05-01
Comments Due:   April 9, 2001.
Comments received electronically are available for this proposal.
33-7944 Jan. 26, 2001 Disclosure of Equity Compensation Plan Information
Reference:   Rel. No. 34-43892;
File No.:   S7-04-01
Comments Due:   60 days after publication in the Federal Register.
Comments received electronically are available for this proposal.
Summary of Comments on Disclosure of Equity Compensation Plan Information
See also: Final Rule, Rel. No. 33-3048
34-43860 Jan. 19, 2001 Proposed Rule Changes of Self-Regulatory Organizations.
Rel. No.:S7-03-01
Comments Due:   April 6, 2001.
Comments received electronically are available for this proposal.

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2001.shtml

Modified: 10/16/2014