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SEC Proposed Rules Archive: 2007

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
33-8871 Dec. 14, 2007 Revisions to Form S-11 to Permit Historical Incorporation by Reference
File No.:   S7-30-07
Comments Due:   January 22, 2008
Comments received are available for this proposal.
Federal Register version
See also:   Final Rule Release No. 33-8909
33-8861 Nov. 21, 2007 Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
Other Release No.:   IC-28064
File No.:   S7-28-07
Comments Due:   February 28, 2008
Comments received are available for this proposal.
Federal Register version
See also:   Appendix to Proposed Rule: Hypothetical Summary Prospectus
33-8859 Nov. 1, 2007 Rulemaking for EDGAR System; Mandatory Electronic Submission of Applications for Orders under the Investment Company Act and Filings Made Pursuant to Regulation E
Other Release Nos.:   34-56732; IC-28042
File No.:   S7-25-07
Comments Due:   December 14, 2007
Comments received are available for this proposal.
Federal Register version
Third Quarter
IA-2652 Sep. 24, 2007 Interpretive Rule Under the Advisers Act Affecting Broker-Dealers
File No.:   S7-22-07
Comments Due:   November 2, 2007
Comments received are available for this proposal.
Federal Register version
34-56213 Aug. 7, 2007 Amendments to Regulation SHO
File No.:   S7-19-07
Comments Due:   September 13, 2007
Federal Register version
Comments received are available for this proposal.
See also:   Final Rule Release No. 34-58775 and Proposed Rule Release No. 34-58107
33-8828 Aug. 3, 2007 Revisions of Limited Offering Exemptions in Regulation D
Other Release No.:   IC-27922
File No.:   S7-18-07
Comments Due:   October 9, 2007
Federal Register version
Comments received are available for this proposal.
34-56161 Jul. 27, 2007 Shareholder Proposals Relating to the Election of Directors
Other Release No.:   IC-27914
File No.:   S7-17-07
Comments Due:   October 2, 2007
Federal Register version
Comments received are available for this proposal.
34-56160 Jul. 27, 2007 Shareholder Proposals
Other Release No.:   IC-27913
File No.:   S7-16-07
Comments Due:   October 2, 2007
Federal Register version
Comments received are available for this proposal.
See also:   Final Rule Release No. 34-57172
33-8819 Jul. 5, 2007 Smaller Reporting Company Regulatory Relief and Simplification
Other Release Nos.:   34-56013, 39-2447
File No.:   S7-15-07
Comments Due:   September 17, 2007
Federal Register version
Comments received are available for this proposal.
See also:   Final Rule Release No. 33-8876
34-56010 Jul. 5, 2007 Exemption of Compensatory Employee Stock Options from Registration under Section 12(g) of the Securities Exchange Act of 1934
Other Release No.:   International Series Release No. 1303
File No.:   S7-14-07
Comments Due:   September 10, 2007.
Comments received are available for this proposal.
Federal Register version
33-8818 Jul. 2, 2007 Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
Other Release Nos.:   34-55998; International Series Release No. 1302
File No.:   S7-13-07
Comments Due:   September 24, 2007.
Federal Register version
Comments received are available for this proposal.
Second Quarter
33-8814 Jun. 29, 2007 Electronic Filing and Simplification of Form D
Other Release Nos.:   34-55980, 39-2446, IC-27878
File No.:   S7-12-07
Comments Due:   September 7, 2007
Federal Register version
Comments received are available for this proposal.
See also:   Final Rule Release No. 33-8891
33-8813 Jun. 22, 2007 Revisions to Rule 144 and Rule 145 to Shorten Holding Period for Affiliates and Non-Affiliates
File No.:   S7-11-07
Comments Due:   September 4, 2007
Federal Register version
Comments received are available for this proposal.
33-8812 Jun. 20, 2007 Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
File No.:   S7-10-07
Comments Due:   August 27, 2007
Federal Register version
Comments received are available for this proposal.
33-8811 Jun. 20, 2007 Definition of a Significant Deficiency [Corrected]
Other Release No.:   34-55930
File No.:   S7-24-06
Comments Due:   July 18, 2007
Federal Register version
Comments received are available for this proposal.
See also: Final Rule Release No. 33-8809, Proposed Rule Release No. 33-8762, Interpretive Release No. 33-8810, and comment summary
34-55777 May 17, 2007 Amendments to Financial Responsibility Rules for Broker-Dealers (Extension of comment period)
File No.:   S7-08-07
Comments Due:   June 18, 2007
Federal Register version
Comments received are available for this proposal.
See also: Proposed Rule Release No. 34-55431
First Quarter
34-55520 Mar. 26, 2007 Amendments to Regulation SHO
File No.: S7-12-06
Comments Due:   April 30, 2007
Federal Register version
Comments received are available for this proposal.
See also: Proposed Rule Release No. 34-54154
34-55497 Mar. 20, 2007 Interagency Proposal for Model Privacy Form under the Gramm-Leach-Bliley Act
Other Release Nos.:   IA-2598, IC-27755
File No.:   S7-09-07
Comments Due:   May 29, 2007
Federal Register version
Comments received are available for this proposal.
34-55431 Mar. 9, 2007 Amendments to Financial Responsibility Rules for Broker-Dealers
File No.:   S7-08-07
Comments Due:   May 18, 2007
Federal Register version
Comments received are available for this proposal.
34-55341 Feb. 23, 2007 Proposed Rule Changes of Self-Regulatory Organizations
File No.:   S7-06-07
Comments Due:   April 30, 2007
Federal Register version
Comments received are available for this proposal.
See also:   Final Rule Release No. 34-57526
33-8781 Feb. 6, 2007 Extension of Interactive Data Voluntary Reporting Program on the Edgar System to Include Mutual Fund Risk/Return Summary Information
Other Release No.:   IC-27697
File No.:   S7-05-07
Comments Due:   March 14, 2007
Comments received are available for this proposal.
Federal Register version
See also: Comment Summary
34-55231 Feb. 2, 2007 Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations
File No.:   S7-04-07
Comments Due:   March 12, 2007
Comments received are available for this proposal.
Federal Register version
34-55147 Jan. 22, 2007 Universal Internet Availability of Proxy Materials [Corrected]
Other Release No.:   IC-27672
File No.:   S7-03-07
Comments Due:   March 30, 2007
Comments received are available for this proposal.
Federal Register version
See also: Final Rule Release Nos. 34-55146; 34-55146A; and 34-56135
IC-27600A Jan. 4, 2007 Investment Company Governance [Correction]
File No.:   S7-03-04
Comments Due:   March 2, 2007
Comments received are available for this proposal.
Federal Register version
Notice of comment deadline
See also:  Release No. IC-27600

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2007.shtml

Modified: 10/16/2014