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SEC Proposed Rules Archive: 2006

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
33-8766 Dec. 27, 2006 Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles
Other Release No.:   IA-2576
File No.:   S7-25-06
Comments Due:   March 9, 2007
Comments received are available for this proposal.
Federal Register version
Submit comments on S7-25-06
34-55005 Dec. 22, 2006 Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty to File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934
Other Release No.:   International Series Release No. 1300
File No.:   S7-12-05
Comments Due:   February 12, 2007
Comments received are available for this proposal.
Federal Register version
Submit comments on S7-12-05
See also: Proposed Rule Release No. 34-53020
33-8762 Dec. 20, 2006 Management's Report on Internal Control Over Financial Reporting (Corrected to Conform to the Federal Register Version)
Other Release No.:   34-54976
File No.:   S7-24-06
Comments Due:   February 26, 2007
Comments received are available for this proposal.
Federal Register version
Submit comments on S7-24-06
See also: Comment Summary
34-54947 Dec. 18, 2006 Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
File No.:   S7-23-06
Comments Due:   March 26, 2007
Comments received are available for this proposal.
Federal Register version
Submit comments on S7-23-06
See also: Proposed Rule Release No. 34-54946; Order Release No. 34-54948
34-54946 Dec. 18, 2006 Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks
File No.:   S7-22-06
Comments Due:   March 26, 2007
Comments received are available for this proposal.
Federal Register version See also: Final Rule Release No. 34-56501A; Proposed Rule Release No. 34-54947; Order Release No. 34-54948
IC-27600 Dec. 15, 2006 Investment Company Governance
File No.:   S7-03-04
Comments Due:   March 2, 2007
Comments received are available for this proposal.
Submit comments on S7-03-04
Federal Register version
Notice of comment deadline
See also:  Investment Company Governance [Correction, IC-27600A, Jan. 4, 2007]
Letters in Response to Court Decision (April 7, 2006)
Proposed Rule, Rel. No. IC-27395 (Jun. 13, 2006);
Final Rule, Rel. No. IC-26520;
Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins
Proposed Rule, Rel. No. IC-26323;
comments;
Response to Request for Stay;
Staff Study: Exemptive Rule Amendments of 2004: The Independent Chair Condition;
Letter from Commissioners Glassman and Atkins
Court of Appeals Decision
Letters in Response to Court Decision (June 21, 2005)
Commission Response to Remand by Court of Appeals (Rel. No. IC-26985, June 30, 2005)
Concurring Views of Chairman Donaldson
Concurring Views of Commissioner Goldschmid
Concurring Views of Commissioner Campos
Dissent of Commissioner Glassman
Dissent of Commissioner Atkins
Commission Order on Stay Request (Rel. No. IC-26989, July 15, 2005)
34-54891 Dec. 7, 2006 Amendments to Regulation SHO and
Rule 10a-1

File No.:   S7-21-06
Comments Due:   February 12, 2007
Comments received are available for this proposal.
Federal Register version
Submit comments on S7-21-06
See also: Reg SHO Pilot Study (Feb. 6, 2007)
34-54888 Dec. 6, 2006 Short Selling in Connection With A Public Offering
File No.:   S7-20-06
Comments Due:   February 12, 2007
Comments received are available for this proposal.
Federal Register version
Submit comments on S7-20-06
34-54863 Dec. 4, 2006 Proposed Amendments to Municipal Securities Disclosure
File No.:   S7-19-06
Comments Due:   January 8, 2007
Comments received are available for this proposal.
Federal Register version
Submit comments on S7-19-06
33-8754 Nov. 16, 2006 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.:   S7-18-06
Comments Due:   December 22, 2006
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-18-06
Note:   Amended
IC-27539 Oct. 25, 2006 Definition of Eligible Portfolio Company under the Investment Company Act of 1940
File No.:   S7-37-04
Comments Due:   January 2, 2007
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-37-04
See also: Final Rule Release No. IC-27538; Proposed Rule Release No. IC-26647; and comments
34-54575 Oct. 5, 2006 Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers also Registered as Futures Commission Merchants
Release No.:   34-54575
File No.:   S7-16-06
Comments Due:   November 13, 2006
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-16-06
Third Quarter
33-8735 Aug. 29, 2006 Executive Compensation Disclosure
Other Release No.: 34-54380
File No.:   S7-03-06
Comments Due:   October 23, 2006
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-03-06
See also: Final Rule Release No. 33-8732A and Proposed Rule Release No. 33-8655
34-54356 Aug. 24, 2006 Electronic Filing of Transfer Agent Forms
File No.:   S7-14-06
Comments Due:   October 26, 2006
Comments received are available for this proposal.
Submit comments on S7-14-06
33-8731 Aug. 9, 2006 Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
Release No.:   34-54295
File No.:   S7-06-03
Comments Due:   Comments should be received on or before September 14, 2006
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-06-03
See also: Final Rule Release Nos. 33-8730A; 33-8238; and Proposed Rule Release No. 33-8212
34-54154 Jul. 14, 2006 Amendments to Regulation SHO
Release No.:   34-54154
File No.:   S7-12-06
Comments Due:   September 19, 2006
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-12-06
See also:  Spotlight on Short Sales
Second Quarter
IC-27395 Jun. 13, 2006 Investment Company Governance (Request for additional comment)
File No.:   S7-03-04
Comments Due:   August 21, 2006.
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-03-04
See also:  Letters in Response to Court Decision (April 7, 2006)
Proposed Rule, Rel. No. IC-27600 (Dec. 29, 2006);
Final Rule, Rel. No. IC-26520
Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins
Proposed Rule, Rel. No. IC-26323;
comments;
Response to Request for Stay;
Staff Study: Exemptive Rule Amendments of 2004: The Independent Chair Condition;
Letter from Commissioners Glassman and Atkins
Court of Appeals Decision
Letters in Response to Court Decision (June 21, 2005)
Commission Response to Remand by Court of Appeals (Rel. No. IC-26985, June 30, 2005)
Federal Register version
Concurring Views of Chairman Donaldson
Concurring Views of Commissioner Goldschmid
Concurring Views of Commissioner Campos
Dissent of Commissioner Glassman
Dissent of Commissioner Atkins
Commission Order on Stay Request (Rel. No. IC-26989, July 15, 2005)
First Quarter
34-53560 Mar. 29, 2006 Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities
File No.:   S7-07-06
Comments Due:   Comments should be received on or before May 10, 2006
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-07-06
IC-27255 Feb. 28, 2006 Mutual Fund Redemption Fees
File Nos.:   S7-06-06 and 4-512
Comments Due:   Comments should be received on or before April 10, 2006.
Federal Register version
Comments received are available for S7-06-06.
Submit comments on Mutual Fund Redemption Fees, S7-06-06
Comments received are available for 4-512.
Submit comments on Ongoing Monitoring of Implementation, 4-512
33-8655 Jan. 27, 2006 Executive Compensation and Related Party Disclosure
Release Nos.:   34-53185; IC-27218
File No.:   S7-03-06
Comments Due:   Comments should be received on or before April 10, 2006.
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-03-06

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2006.shtml

Modified: 03/20/2013