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SEC Proposed Rules Archives: 2003

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
33-8347 Dec. 17, 2003 Disclosure of Breakpoint Discounts by Mutual Funds
Release Nos.: 34-48939; IC-26298
File No.:   S7-28-03
Comments Due:   February 13, 2004
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal.
IC-26288 Dec. 11, 2003 Amendments to Rules Governing Pricing of Mutual Fund Shares
File No.:   S7-27-03
Comments Due:   February 6, 2004
Comments received are available for this proposal.
Federal Register PDF
33-8343 Dec. 11, 2003 Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
Release No.: IC-26287
File No.:   S7-26-03
Comments Due:   February 6, 2004
Comments received are available for this proposal.
Federal Register PDF
See also: Outline of Comments on this proposal.
34-48832 Nov. 23, 2003 Proposed Amendments to the Rules of Practice and Related Provisions
File No.:   S7-25-03
Comments Due:   January 5, 2004
Comments received are available for this proposal.
Federal Register PDF
34-48709 Oct. 28, 2003 Short Sales
File No.:   S7-23-03
Comments Due:   January 5, 2004
Comments received are available for this proposal.
See also:   Final Rule, Release No. 34-50103
Summary of Comments
Federal Register PDF
34-48694 Oct. 24, 2003 Supervised Investment Bank Holding Companies
File No.:   S7-22-03
Comments Due:   February 4, 2004
Federal Register PDF
Comments received are available for this proposal.
34-48690 Oct. 24, 2003 Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
File No.:   S7-21-03
Comments Due:   February 4, 2004
Federal Register PDF
Comments received are available for this proposal.
33-8312 Oct. 23, 2003 Exemption from Shareholder Approval for Certain Subadvisory Contracts
Release Nos.:   34-48683, IC-26230
File No.:   S7-20-03
Comments Due:   January 8, 2004
Federal Register PDF
Comments received are available for this proposal.
34-48626 Oct. 14, 2003 Security Holder Director Nominations
Release No.:   IC-26206
File No.:   S7-19-03
Comments Due:   December 22, 2003
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal and Supplemental Summary of Comments.
33-8297 Oct. 2, 2003 Fund of Funds Investments
Release No.:   IC-26198;
File No.:   S7-18-03
Comments Due:   December 3, 2003.
Federal Register PDF
Comments received are available for this proposal.
Third Quarter
33-8287 Sep. 11, 2003 Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts
Release Nos.:   34-48482, International Series Release No. 1273
File No.:   S7-16-03
Comments Due:   October 17, 2003
Comments received are available for this proposal.
34-48481 Sep. 11, 2003 Foreign Bank Exemption from The Insider Lending Prohibition of Exchange Act
Section 13(k)

Release No.:   International Series Release No. 1272
File No.:   S7-15-03
Comments Due:   October 17, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
34-48301 Aug. 8, 2003 Disclosure Regarding Nominating Committee Functions and Communications between Security Holders and Boards of Directors
Release No.:   IC-26145
File No.:   S7-14-03
Comments Due:   September 15, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
Second Quarter
34-48036 Jun. 16, 2003 Recordkeeping Requirements for Registered Transfer Agents
File No.:   S7-13-03
Comments Due:   July 21, 2003.
Comments received are available for this proposal.
First Quarter
33-8212 Mar. 21, 2003 Certification of Disclosure in Certain Exchange Act Reports
Release No.: 33-8212, 34-47551, IC-25967
File No.:   S7-06-03
Comments Due:   May 15, 2003
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8238
33-8190 Feb. 12, 2003 Rules of Practice
Release No.: 34-47355; 35-27650; 39-2405; IA-2109; IC-25933
File No.:   S7-04-03
Comments Due:   March 21, 2003
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8240
IC-25925 Feb. 5, 2003 Compliance Programs of Investment Companies and Investment Advisers
Release No.: IA-2107
File No.:   S7-03-03
Comments Due:   April 18, 2003.
Comments received are available for this proposal;
See also: Final Rule, Rel. No. IA-2204; Notice, Rel. No. IA-2265; Summary of Comments on this proposal.
33-8186 Jan. 29, 2003 Implementation of Standards of Professional Conduct for Attorneys
Release Nos.:  IC-25920; 34-47282
File No.:   S7-45-02
Comments Due:   April 7, 2003
Comments received are available for this proposal.
See also: Proposed Rule, Rel. No. 33-8150; Final Rule, Rel. No. 33-8185
33-8173 Jan. 8, 2003 Standards Relating To Listed Company Audit Committees
Release Nos.: 34-47137; IC-25885
File No.:   S7-02-03
Comments Due:   February 18, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
Final Rule, Rel. No. 33-8220

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2003.shtml

Modified: 10/16/2014