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SEC Proposed Rules Archive: 2004

We encourage the public to submit comments on the following 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 2004
34-50870 Dec. 16, 2004 Regulation NMS: Proposed Rules and Amendments to Joint Industry Plans
File No.: S7-10-04
Comments Due: Comments should be received on or before January 26, 2005.
Comments received are available for this proposal.
See also: Federal Register PDF (Note: Footnote 317 was unintentionally omitted; see correction.); Spotlight on Regulation NMS
33-8511 Dec. 9, 2004 Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings
Other Release Nos.:   34-50831; IC-26691
File No.:   S7-41-04
Comments Due:   Comments should be received on or before February 15, 2005.
Federal Register PDF
Comments received are available for this proposal.
34-50699 Nov. 18, 2004 Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization
File No.:   S7-39-04
Comments Due:   Comments should be received on or before January 24, 2005.
Federal Register PDF
Comments received are available for this proposal.
See also: Extension of comment period, Rel. No. 34-51019
33-8501 Nov. 3, 2004 Securities Offering Reform
Other Release Nos.:   34-50624; IC-26649; International Series Release No. 1282
File No.:   S7-38-04
Comments Due:   Comments should be received on or before January 31, 2005.
Federal Register PDF
Comments received are available for this proposal. See also: Final Rule Release No. 33-8591A; Final Rule Release No. 33-8591;
IC-26647 Nov. 1, 2004 Definition of Eligible Portfolio Company under the Investment Company Act of 1940
File No.:   S7-37-04
Federal Register PDF
Comments Due:   Comments should be received on or before January 7, 2005.
Comments received are available for this proposal.
Third Quarter 2004
33-8496 Sep. 27, 2004 XBRL Voluntary Financial Reporting Program on the EDGAR System
Other Release Nos.:   34-50453, 35-27894, 39-2498, IC-26622
File No.:   S7-35-04
Comments Due:   Comments should be received on or before November 1, 2004.
See also: Correction
Federal Register PDF;
Comment Summary
Comments received are available for this proposal.
34-50361 Sep. 14, 2004 Disposal of Consumer Report Information
Other Release Nos.:   IA-2293, IC-26596
File No.:   S7-33-04
Comments Due:   Comments should be received on or before October 20, 2004.
Federal Register PDF
Comments received are available for this proposal.
33-8477 Aug. 25, 2004 Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates
Other Release No.:   34-50254
File No.:   S7-32-04
Comments Due:   Comments should be received on or before October 1, 2004.
Federal Register PDF
Comments received are available for this proposal.
Summary of Comments on this proposal
See also:   Final Rule, Release No. 33-8507
34-50213 Aug. 18, 2004 Certain Broker-Dealers Deemed Not To Be Investment Advisers
Reopening of Comment Period

Other Release No.:   IA-2278
File No.:   S7-25-99
Comments Due:   Comments should be received on or before September 22, 2004.
Comments received are available for this proposal.
See also: Release No. 34-42099 (original proposing release)
Federal Register PDF
34-50056 Jul. 22, 2004 Regulation B
Extension of Comment Period

Other Release No.:   International Series Release No. 1279
File No.:   S7-26-04
Comments Due:   Comments should be received on or before September 1, 2004.
Federal Register PDF
See also: Release No. 34-49879 and comments
IA-2266 Jul. 20, 2004 Registration Under the Advisers Act of Certain Hedge Fund Advisers
File No.:   S7-30-04
Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins
Comments Due:   Comments should be received on or before September 15, 2004.
Federal Register PDF
Comments received are available for this proposal.
34-49985 Jul. 8, 2004 Limitations on Affiliate Marketing (Regulation S-AM)
Other Release Nos.: IC-26494, IA-2259
File No.:   S7-29-04
Comments Due:   Comments should be received on or before August 13, 2004.
Federal Register PDF
Comments received are available for this proposal.
Second Quarter 2004
34-49895 Jun. 21, 2004 Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Other Release Nos.: 35-27861; IC-26471
File No.:   S7-27-04
Comments Due:   Comments should be received on or before August 9, 2004.
See also: Comment Summary; Final Rule Release No.33-8600
Comments received are available for this proposal.
Federal Register PDF
34-49879 Jun. 17, 2004 Regulation B
[Corrected June 23, 2004]
Other Release No.:   International Series Release No. 1278
File No.:   S7-26-04
Comments Due:   Comments should be received on or before August 2, 2004.
Comments received are available for this proposal.
Federal Register PDF
34-49858 Jun. 15, 2004 Removal from Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934
File No.:   S7-25-04
Comments Due:   Comments should be received on or before July 22, 2004.
Comments received are available for this proposal.
Federal Register PDF
34-49804 Jun. 4, 2004 Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries
File No.:   S7-24-04
Comments Due:   Comments should be received on or before July 12, 2004.
See also Correction
Comments received are available for this proposal.
Federal Register PDF
34-49749 May 20, 2004 Regulation NMS: Extension of Comment Period and Supplemental Request for Comment
File No.: S7-10-04
Comments Due: Comments should be received on or before June 30, 2004.
Comments received are available for this proposal.
See also: Federal Register PDF; Spotlight on Regulation NMS
33-8419 May 3, 2004 Asset-Backed Securities
File No.:   S7-21-04
Release No.:   34-49644
Comments Due:   Comments should be received on or before July 12, 2004.
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal; Final Rule 33-8518
34-49639 May 3, 2004 Certain Thrift Institutions Deemed Not To Be Investment Advisers
File No.:   S7-20-04
Release Nos.:   34-49639, IA-2232
Comments Due:   Comments should be received on or before July 9, 2004.
Federal Register PDF
Comments received are available for this proposal.
33-8407 Apr. 15, 2004 Use of Form S-8 and Form 8-K by Shell Companies
File No.:   S7-19-04
Release No.:   34-49566
Comments Due:   Comments should be received on or before June 7, 2004.
Comments received are available for this proposal.
Federal Register PDF
First Quarter 2004
34-49505 Mar. 30, 2004 Proposed Rule Changes of Self-Regulatory Organizations
File No.:   S7-18-04
Comments Due:   Comments should be received on or before June 4, 2004.
Comments received are available for this proposal.
Federal Register PDF
33-8404 Mar. 22, 2004 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.:   S7-17-04
Comments Due:   Comments should be received on or before April 26, 2004.
Comments received are available for this proposal.
Federal Register PDF
33-8397A Mar. 18, 2004 First-Time Application of International Financial Reporting Standards; Correction
Release Nos.:   34-49403A; International Series Release No. 1274A
File No.:   S7-15-04
Comments Due:   Comments should be received on or before April 5, 2004.
Comments received are available for this proposal.
See also:   original release, 33-8397, below
33-8401 Mar. 16, 2004 Rulemaking for EDGAR System
Release Nos.: 34-49426; 35-27816; 39-2417; IC-26388
File No.:   S7-16-04
Comments Due:   Comments should be received on or before May 24, 2004.
Comments received are available for this proposal.
Federal Register PDF
33-8399 Mar. 15, 2004 Mandated Electronic Filing for Form ID
Release Nos.: 34-49416, 35-27815, 39-2416, IC-26385
File No.:   S7-14-04
Comments Due:   Comments should be received on or before April 5, 2004.
Comments received are available for this proposal.
Federal Register PDF
33-8397 Mar. 11, 2004 First-Time Application of International Financial Reporting Standards
Release Nos.:   34-49403; International Series Release No. 1274
File No.:   S7-15-04 (file no. corrected, see 33-8397A)
Comments Due:  Comments should be received on or before April 19, 2004.
Comments received are available for this proposal.
Federal Register PDF
33-8396 Mar. 11, 2004 Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
Release Nos.:   34-49398; IC-26383
File No.:   S7-12-04
Comments Due:   Comments should be received on or before May 21, 2004.
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal; Final Rule 33-8458
IC-26375A Mar. 5, 2004 Mandatory Redemption Fees for Redeemable Fund Securities
[amended]
File No.:   S7-11-04
Comments Due:   Comments should be received on or before May 10, 2004.
Comments received are available for this proposal.
Federal Register PDF
See also: Final Rule IC-26782
34-49325 Feb. 26, 2004 Regulation NMS: Proposed Rules and Amendments to Joint Industry Plans
File No.: S7-10-04
Comments Due: Comments should be received on or before June 30, 2004.
Comments received are available for this proposal.
See also: Federal Register PDF; Spotlight on Regulation NMS
IC-26356 Feb. 24, 2004 Prohibition on the Use of Brokerage Commissions to Finance Distribution
File No.:   S7-09-04
Comments Due:   Comments should be received on or before May 10, 2004.
See also:   Final Rule Release No. IC-26591
Comments received are available for this proposal.
Federal Register PDF
33-8364 Feb. 11, 2004 Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies
File No.:   S7-08-04
Release Nos.:   34-49219; IC-26350
Comments Due:   Comments should be received on or before April 26, 2004.
Comments received are available for this proposal.
Federal Register PDF
See also: Outline of Comments on this proposal; Final Rule Release No. 33-8433
33-8358 Jan. 29, 2004 Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds
File No.:   S7-06-04
Release Nos.:   34-49148; IC-26341
Comments Due:   Comments should be received on or before April 12, 2004.
See Also:   Attachments 1 - 5, Form Examples
Comments received are available for this proposal.
Federal Register PDF
34-49104 Jan. 20, 2004 Collection Practices under Section 31 of the Exchange Act
File No.:   S7-05-04
Comments Due:   Comments should be received on or before February 26, 2004.
Comments received are available for this proposal.
Federal Register PDF
See also: Final Rule, Rel. No. 34-49928
IA-2209 Jan. 20, 2004 Investment Adviser Codes of Ethics
File No.:   S7-04-04
Comments Due:   Comments should be received on or before March 15, 2004.
Release No.:   IC-26337
See also: Appendix A: Key Distinctions Between Existing And Proposed Rules
Comments received are available for this proposal.
Federal Register PDF
See also: Final Rule, Rel. No. IA-2256
IC-26323 Jan. 15, 2004 Investment Company Governance
File No.:   S7-03-04
Comments Due:   Comments should be received on or before March 10, 2004.
Comments received are available for this proposal.
Federal Register PDF
34-49037 Jan. 8, 2004 Amendments to the Penny Stock Rules
File No.:   S7-02-04
Comments Due:   Comments should be received on or before March 16, 2004.
Comments received are available for this proposal.
Federal Register PDF
See also: Exemptive Order Rel. No. 34-49038

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2004.shtml

Modified: 10/16/2014