June 24, 2002
Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act
Final
Rule
Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act
34-46106
June 21, 2002
S7-23-02
Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products
Interpretive
Release
Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products
33-8107,
34-46101
June 17, 2002
S7-21-02
Certification of Disclosure in Companies' Quarterly and Annual Reports
Proposed
Rule
Certification of Disclosure in Companies' Quarterly and Annual Reports
34-46079
View Related Activity
June 17, 2002
S7-22-02
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
Proposed
Rule
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
33-8106
View Related Activity
June 3, 2002
S7-20-02
Customer Protection-Reserves and Custody of Securities; Delegation of Authority to the Director of the Division of Market Regulation
Proposed
Rule
Customer Protection-Reserves and Custody of Securities
34-46019
View Related Activity
May 31, 2002
S7-19-02
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
Proposed
Rule
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
34-46014
View Related Activity
May 30, 2002
S7-18-02
Repeal of the Trade-Through Disclosure Rules for Options
Proposed
Rule
Repeal of Options Trade-Through Disclosure Rule
34-46002
View Related Activity
May 17, 2002
S7-17-02
Amendments to Investment Company Advertising Rules
Proposed
Rule
Proposed Amendments to Investment Company Advertising Rules
33-8101
View Related Activity
May 17, 2002
S7-15-01
Cash Settlement and Regulatory Halt Requirements for Security Futures Products
Final
Rule
Cash Settlement and Regulatory Halt Requirements for Security Futures Products
34-45956
View Related Activity
May 14, 2002
S7-18-01
Mandated EDGAR Filing For Foreign Issuers
Final
Rule
Mandated EDGAR Filing For Foreign Issuers
33-8099
View Related Activity
May 10, 2002
S7-16-02
Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies
Proposed
Rule
Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies
33-8098
May 6, 2002
S7-15-02
Interagency White Paper on Structural Change in the Settlement of Government Securities: Issues and Options
Concept
Release
Interagency White Paper on Structural Change in the Settlement of Government Securities: Issues and Options
34-45879
May 1, 2002
S7-14-02
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
Proposed
Rule
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
34-45854
View Related Activity
April 30, 2002
S7-13-02
Transactions of Investment Companies With Portfolio and Subadviser Affiliates
Proposed
Rule
Transactions of Investment Companies With Portfolio and Subadvisory Affiliates
IC-25557
View Related Activity
April 30, 2002
Delegation of Authority to the Secretary of the Commission
Final
Rule
Delegation of Authority to the Secretary of the Commission
34-45848,
34-36824
View Related Activity
April 30, 2002
S7-20-00
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
Final
Rule
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
IC-25560
View Related Activity
April 17, 2002
S7-11-02
Amendment to Definition of "Equity Security"
Final
Rule
Amendment to Definition of "Equity Security"
33-8091
April 12, 2002
S7-08-02
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports
Proposed
Rule
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
33-8089
View Related Activity
April 12, 2002
S7-07-02
Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts
Proposed
Rule
Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts
33-8087
View Related Activity
April 12, 2002
S7-10-02
Exemption for Certain Investment Advisers Operating Through the Internet
Proposed
Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-2028
View Related Activity
April 12, 2002
S7-09-02
Form 8-K Disclosure of Certain Management Transactions
Proposed
Rule
Form 8-K Disclosure of Certain Management Transactions
33-8090
View Related Activity
April 12, 2002
S7-9-98
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies
Final
Rule
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies
33-8088,
IC-25522,
33-7514
View Related Activity
March 20, 2002
Approved Information Collections
Final
Rule
Approved Information Collections
33-8071
March 18, 2002
S7-03-02
Requirements for Arthur Andersen LLP Auditing Clients
Final
Rule
Requirements for Arthur Andersen LLP Auditing Clients
33-8070
Jan. 31, 2002
Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act
Final
Rule
Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act
34-45371
Jan. 16, 2002
S7-02-02
Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees
Final
Rule
Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees
34-45291
Dec. 27, 2001
Commission Guidance on the Scope of Section 28(e) of the Exchange Act
Interpretive
Release
Commission Guidance on the Scope of Section 28(e) of the Exchange Act
34-45194
Dec. 21, 2001
S7-04-01
Disclosure of Equity Compensation Plan Information
Final
Rule
Disclosure of Equity Compensation Plan Information
33-8048
View Related Activity
Dec. 21, 2001
S7-19-98
Options Disclosure Document
Final
Rule
Options Disclosure Document
33-8049,
33-7550
View Related Activity
Dec. 19, 2001
S7-23-01
Defining the Term "Qualified Purchaser" Under the Securities Act of 1933
Proposed
Rule
Defining the Term "Qualified Purchaser" Under the Securities Act of 1933
33-8041
Nov. 15, 2001
S7-22-01
Custody of Investment Company Assets With a Securities Depository
Proposed
Rule
Custody of Investment Company Assets With a Securities Depository
IC-25266
View Related Activity
Nov. 8, 2001
S7-20-01
Actively Managed Exchange-Traded Funds
Concept
Release
Actively Managed Exchange-Traded Funds
IC-25258
Nov. 8, 2001
S7-21-01
Investment Company Mergers
Proposed
Rule
Investment Company Mergers
IC-25259
View Related Activity
Oct. 29, 2001
S7-17-01
Customer Margin Rules Relating to Security Futures
Proposed
Rule
Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
34-44996
View Related Activity
Oct. 26, 2001
S7-26-98
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
Final
Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-44992
Oct. 22, 2001
SR-NSCC-2001-14, SR-NYSE-2001-42
Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment
Final
Rule
Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment
34-44965
Sept. 28, 2001
S7-18-01
Mandated EDGAR Filing For Foreign Issuers
Proposed
Rule
Mandated EDGAR Filing for Foreign Issuers
33-8016
View Related Activity
Sept. 26, 2001
S7-14-01
Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period
Concept
Release
Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period
34-44845
Sept. 26, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns
Final
Rule
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date
33-8010,
34-44850,
IC-25175
View Related Activity
Sept. 26, 2001
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options
Final
Rule
Firm Quote and Trade-Through Disclosure Rules for Options
34-44852,
34-43591,
34-43085
View Related Activity
Sept. 25, 2001
S7-17-01
Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
Proposed
Rule
Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
34-44854
View Related Activity
Sept. 25, 2001
S7-16-01, 1-9641
Customer Margin Rules Relating to Security Futures
Proposed
Rule
Customer Margin Rules Relating to Security Futures
34-44853
Sept. 24, 2001
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8007
Sept. 21, 2001
Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan
Interpretive
Release
Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan
33-8005a,
34-44820,
FR-58
Sept. 14, 2001
Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations
Interpretive
Release
Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations
33-8004,
34-44792,
IC-25157,
FR-57
Aug. 24, 2001
S7-15-01
Cash Settlement and Regulatory Halt Requirements for Security Futures Products
Proposed
Rule
Cash Settlement and Regulatory Halt Requirements for Security Futures Products
34-44743
View Related Activity
Aug. 21, 2001
S7-13-01
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
Final
Rule
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
34-44730
View Related Activity
Aug. 20, 2001
S7-11-01
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule
Final
Rule
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule
34-44724
View Related Activity
Aug. 13, 2001
Delegation of Authority to the Director of the Division of Market Regulation
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-44691
Aug. 13, 2001
S7-10-01
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations
Final
Rule
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations
34-44692
View Related Activity
Aug. 7, 2001
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7999
July 31, 2001
Delegation of Authority to the Director of the Division of Market Regulation
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-44626
July 18, 2001
S7-14-01
Request for Comment on the Effects of Decimal Trading in Subpennies
Concept
Release
Request for Comment on the Effects of Decimal Trading in Subpennies
34-44568
July 5, 2001
S7-21-99
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
Final
Rule
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
IC-25058,
IC-24050
View Related Activity
June 29, 2001
S7-12-00
Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers
Final
Rule
Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers
34-44494
View Related Activity
June 26, 2001
S7-11-01
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule
Proposed
Rule
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
34-44475
View Related Activity
June 20, 2001
S7-13-01
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
Proposed
Rule
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
34-44455
View Related Activity
June 14, 2001
Application of the Electronic Signatures in Global and National Commerce Act To Record Retention Requirements Pertaining to Issuers Under the Securities Act of 1933, Securities Exchange Act of 1934 and Regulation S-T
Interpretive
Release
Application of the Electronic Signatures in Global and National Commerce Act To Record Retention Requirements Pertaining to Issuers Under the Securities Act of 1933, Securities Exchange Act of 1934 and Regulation S-T
33-7985,
34-44424,
35-27419,
IC-25003
June 12, 2001
S7-03-99
International Disclosure Standards; Correction
Final
Rule
International Disclosure Standards; Correction
33-7983,
34-44406,
IA-1249
June 7, 2001
Delegation of Authority to the Director of the Division of Market Regulation
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-44397
May 24, 2001
S7-06-01
Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction
Final
Rule
Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction
IC-24991,
IA-1945
View Related Activity
May 24, 2001
S7-07-01
Electronic Recordkeeping by Public Utility Holding Companies
Final
Rule
Electronic Recordkeeping by Public Utility Holding Companies
35-27404
View Related Activity
May 11, 2001
S7-12-01
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
Final
Rule
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
34-44291
View Related Activity
May 10, 2001
S7-11-01
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule
Proposed
Rule
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
34-44288
View Related Activity
May 8, 2001
S7-10-01
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations
Proposed
Rule
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations
34-44279
View Related Activity
May 1, 2001
Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media Under the Electronic Signatures in Global and National Commerce Act of 2000 With Respect to Rule 17a-4(f)
Interpretive
Release
Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media Under the Electronic Signatures in Global and National Commerce Act of 2000 With Respect to Rule 17a-4(f)
34-44238
April 27, 2001
57-17-99
Recordkeeping Requirements for Transfer Agents
Final
Rule
Recordkeeping Requirements for Transfer Agents
34-44227,
34-41442
View Related Activity
March 19, 2001
S7-07-01
Electronic Recordkeeping by Public Utility Holding Companies
Proposed
Rule
Electronic Recordkeeping by Public Utility Holding Companies
35-27357
View Related Activity
March 15, 2001
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options
Final
Rule
Firm Quote and Trade-Through Disclosure Rules for Options
34-44078
View Related Activity
March 15, 2001
Delegation of Authority to the Director of the Division of Market Regulation
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-44079
March 13, 2001
S7-06-01
Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction
Proposed
Rule
Electronic Recordkeeping by Investment Companies and Investment Advisers
IC-24890
View Related Activity
March 9, 2001
S7-16-00
Disclosure of Order Execution and Routing Practices
Final
Rule
Disclosure of Order Execution and Routing Practices
34-44060
View Related Activity
March 8, 2001
S7-11-97
Investment Company Names
Final
Rule
Investment Company Names; Correction
IC-24828A
View Related Activity
March 5, 2001
Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities
Final
Rule
Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities
33-7959,
IC-24886
View Related Activity
Feb. 28, 2001
Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000
Proposed
Rule
Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000
33-7955
