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SEC Proposed Rules Archives: 2002

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
33-8170 Dec. 20, 2002 Mandated Electronic Filing and Website Posting for Forms 3, 4 and 5
Release Nos.: 34-47069, 35-27627, IC-25872
File No.:   S7-52-02
Comments Due:   February 10, 2003
Comments received are available for this proposal.
Summary of Comments on this proposal
See also: Final Rule, Rel. No. 33-8230
33-8164 Dec. 18, 2002 Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
Release Nos.:34-47023; IC-25870
File No.:   S7-51-02
Comments Due:   February 14, 2003
Summary of Comments on this proposal
Comments received are available for this proposal.
33-8160 Dec. 10, 2002 Rule 10b-18 and Purchases of Certain Equity Securities by the Issuer and Others
Release Nos.: 34-46980; IC-25845
File No.:   S7-50-02
Comments Due:   February 18, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
33-8154 Dec. 2, 2002 Strengthening the Commission's Requirements Regarding Auditor Independence
Release Nos.: 34-46934; 35-27610; IC-25838; IA-2088, FR-64
File No.:   S7-49-02
Comments Due:   January 13, 2003
Comments received are available for this proposal.
See also: Final Rules, Rel. Nos. 33-8183A and 33-8183
34-46920 Nov. 26, 2002 Broker-Dealer Exemption from Sending Certain Financial Information to Customers
File No.:   S7-48-02
Comments Due:   January 2, 2003
Comments received are available for this proposal.
IC-28535 Nov. 26, 2002 Certain Research and Development Companies
Release No.: IC-25835
File No.:   S7-47-02
Comments Due:   January 15, 2003
Comments received are available for this proposal.
See also: Final Rule, Rel. No. IC-26077
33-8151 Nov. 21, 2002 Retention of Records Relevant to Audits and Reviews
Release No.: 34-46869; IC-25830;
File No.:   S7-46-02
Comments Due:   December 27, 2002
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8180
33-8150 Nov. 21, 2002 Implementation of Standards of Professional Conduct for Attorneys
Release Nos.: 34-46868; IC-25829;
File No.:   S7-45-02
Comments Due:   December 18, 2002
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8185
34-46778 Nov. 6, 2002 Insider Trades During Pension Fund Blackout Periods
File No.:   S7-44-02
Release No.:  IC-25795
Comments Due:   December 16, 2002
Comments received are available for this proposal.
See also: Final Rules, Rel. Nos. 33-8216 and 34-47225
33-8145 Nov. 5, 2002 Conditions for Use of Non-GAAP Financial Measures
File No.:   S7-43-02
Release No.:  34-46768
Comments Due:   December 13, 2002
Comments received are available for this proposal.
See also: Final Rules, Rel. Nos. 33-8216 and 33-8176
33-8144 Nov. 4, 2002 Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements, Contractual Obligations and Contingent Liabilities and Commitments
File No.:   S7-42-02
Release Nos.:  34-46767; International Series Release No. 1264
Comments Due:   December 9, 2002
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
Final Rule, Rel. No. 33-8182
34-46745 Oct. 31, 2002 Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
File No.:   S7-41-02
Comments Due:   December 5, 2002
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-47364
33-8138 Oct. 22, 2002 Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
Release Nos.:  34-46701; IC-25775
File No.:   S7-40-02
Comments Due:   November 29, 2002
Comments received are available for this proposal.
See also: Final Rules, Rel. Nos. 33-8238, 33-8177A, 34-47262, 33-8177
34-46685 Oct. 18, 2002 Improper Influence on Conduct of Audits
Release No.:  IC-25773
File No.:   S7-39-02
Comments Due:   November 25, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-47890
Third Quarter
IA-2059 Sep. 20, 2002 Proxy Voting by Investment Advisers
File No.:   S7-38-02
Comments Due:   December 6, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. IA-2106
33-8131 Sep. 20, 2002 Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
Release No.: 34-46518, IC-25739;
File No.:   S7-36-02
Comments Due:   December 6, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8188
34-46492 Sep. 12, 2002 Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products
File No.: S7-34-02
Comments Due:   October 23, 2002.
Revised copy now available: numbering of notes revised to match Federal Register text
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-50295
34-46441 Aug. 30, 2002 Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms
Release Nos.: 34-47262; IC-25723;
File No.: S7-33-02
Comments Due:   October 16, 2002.
See also: Release Nos. 33-8124, 34-46427, IC-25722, "Certification of Disclosure in Companies' Quarterly and Annual Reports."
Final Rule, Rel. No. 34-47262
Comments received are available for this proposal.
Summary of Comments on this proposal
33-8119 Aug. 2, 2002 Regulation Analyst Certification
Release No.:   34-46301;
File No. S7-30-02
Comments Due:   September 23, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8193;
Other, Rel. No. 34-47591
34-46300 Aug. 2, 2002 Certification of Disclosure in Companies' Quarterly and Annual Reports
File No.:   S7-21-02
Comments Due:   August 19, 2002.
See also: Final Rule, Rel. No. 33-8124;
Proposed Rule, Rel. No. 34-46079.
33-8114 Jul. 25, 2002 Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
File No.:   S7-29-02
Release No.:   34-46264
Comments Due:   September 3, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8171
IA-2044 Jul. 18, 2002 Custody of Funds or Securities of Clients by Investment Advisers
File No.:   S7-28-02
Comments Due:   September 25, 2002.
Comments received are available for this proposal.
Summary of Comments on Custody of Funds or Securities of Clients by Investment Advisers
IC-25657 Jul. 12, 2002 Customer Identification Programs for Mutual Funds
File No.:   S7-26-02
Comments Due:   September 6, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. IC-26031
34-46192 Jul. 12, 2002 Customer Identification Programs For Broker-Dealers
File No.:   S7-25-02
Comments Due:   September 6, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-47752
33-8109 Jun. 26, 2002 Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process
Release No.: 34-46120; 35-27543; IA-2039; IC-25624
File No.:   S7-24-02
Comments Due:   September 3, 2002.
Comments received are available for this proposal.
33-8106 Jun. 17, 2002 Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
[revised 6/18, 1:30 pm]
File No.:   S7-22-02
Release No.:   34-46084
Comments Due:   August 26, 2002.
Comments received are available for this proposal.
Second Quarter
34-46079 Jun. 17, 2002 Certification of Disclosure in Companies' Quarterly and Annual Reports
File No.:   S7-21-02
Comments Due:   August 19, 2002.
Comments received are available for this proposal
See also: Final Rule, Rel. No. 33-8214;
Proposed Rule, Rel. No. 34-46300
34-46019 Jun. 3, 2002 Customer Protection - Reserves and Custody of Securities
File No.:   S7-20-02
Comments Due:   July 25, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-47480
34-46014 May 31, 2002 Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
File No.:   S7-19-02
Comments Due:   July 10, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-46471
34-46002 May 30, 2002 Repeal of Options Trade-Through Disclosure Rule
File No.:   S7-18-02
Comments Due:   July 22, 2002.
Comments received are available for this proposal
See also: Final Rule, Rel. No. 34-47013
33-8101 May 17, 2002 Proposed Amendments to Investment Company Advertising Rules
File No.:   S7-17-02
Release No.:   34-45953; IC-25575
Comments Due:   July 31, 2002.
Comments received are available for this proposal.
Summary of Comments on this proposal.
See also: Final Rule, Rel. No. 33-8294
33-8098 May 10, 2002 Disclosure in Management's Discussion and Analysis about the Application of Critical Accounting Policies
File No.:   S7-16-02
Release Nos.:   34-45907; International Series Release No. 1258
Comments Due:   July 19, 2002.
Comments received are available for this proposal.
34-45854 May 1, 2002 Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting From Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
File No.:   S7-14-02
Comments Due:   June 6, 2002.
Comments received are available for this proposal
See also: Final Rule, Rel. No. 34-46169
IC-25557 Apr. 30, 2002 Transactions of Investment Companies With Portfolio and Subadvisory Affiliates
File No.:   S7-13-02
Comments Due:   July 19, 2002.
Comments received are available for this proposal
Summary of Comments for this proposal.
See also: Final Rule, Rel. No. IC-25888
IA-2028 Apr. 12, 2002 Exemption for Certain Investment Advisers Operating Through the Internet
File No.: S7-10-02
Comments Due: June 6, 2002.
Comments received are available for this proposal.
Summary of Comments on SEC-Registration of Internet Investment Advisers.
See also: Final Rule, Rel. No. IA-2091
33-8090 Apr. 12, 2002 Form 8-K Disclosure of Certain Management Transactions; Release No. 33-8090; 34-45742; File No. S7-09-02
File No.: S7-09-02
Release No.: 34-45742
Comments Due: June 24, 2002.
Comments received are available for this proposal.
33-8089 Apr. 12, 2002 Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
File No.: S7-08-02
Release No.: 34-45741
Comments Due: May 23, 2002.
Comments received are available for this proposal
Summary of Comments on Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports.
See also: Final Rules, Rel. Nos. 33-8128A and 33-8128
33-8087 Apr. 12, 2002 Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts
File No.: S7-07-02
Release No.: IC-25521
Comments Due: June 14, 2002
Comments received are available for this proposal
Summary of Comments on Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts.
See also: Final Rule, Rel. No. 33-8147
First Quarter
No Rulemaking

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2002.shtml

Modified: 10/16/2014