Staff Legal Bulletins
March 4, 2024
Staff Legal Bulletins summarize the Commission staff's views regarding various aspects of the federal securities laws and SEC regulations. They represent interpretations and policies followed by the Divisions of Corporation Finance, Trading and Markets, or Investment Management on any given matter. Because they represent the views of the staff, staff legal bulletins are not legally binding.
| Bulletin No. |
Date | Details |
|---|---|---|
| SLB 14L | Nov. 3, 2021 | Shareholder Proposals Division of Corporate Finance |
| SLB 21 | Feb. 7, 2020 | Application of Antifraud Provisions to Public Statements of Issuers and Obligated Persons of Municipal Securities in the Secondary Market; Office of Municipal Securities |
| SLB 14K | Oct. 16, 2019 | Shareholder Proposals; (Rescinded) Division of Corporation Finance |
| SLB 14J | Oct. 23, 2018 | Shareholder Proposals; (Rescinded) Division of Corporation Finance |
| SLB 14I | Nov. 1, 2017 | Shareholder Proposals; (Rescinded) Division of Corporation Finance |
| SLB 14H | Oct. 22, 2015 | Shareholder Proposals; Division of Corporation Finance |
| SLB 20 | Jun. 30, 2014 | Proxy Voting: Proxy Voting Responsibilities of Investment Advisers and Availability of Exemptions from the Proxy Rules for Proxy Advisory Firms; Division of Investment Management and Division of Corporation Finance |
| SLB 14G | Oct. 16, 2012 | Shareholder Proposals; Division of Corporation Finance |
| SLB 14F | Oct. 18, 2011 | Shareholder Proposals; Division of Corporation Finance |
| SLB 19 | Oct. 14, 2011 | Legality and Tax Opinions in Registered Offerings; Division of Corporation Finance |
| SLB 18 | Mar. 15, 2010 | Exchange Act Rule 12h-3; Division of Corporation Finance |
| SLB 14E | Oct. 27, 2009 | Shareholder Proposals; Division of Corporation Finance |
| SLB 14D | Nov. 7, 2008 | Shareholder Proposals; Division of Corporation Finance |
| SLB 3A | Jun. 18, 2008 | Section 3(a)(10) exemption from the Securities Act's registration requirements and the resale status of securities received in transactions exempt from registration pursuant to Section 3(a)(10) (Revised); Division of Corporation Finance (This bulletin replaces SLB 3R and SLB 3 in their entirety.) |
| SLB 14C | Jun. 28, 2005 | Shareholder Proposals; Division of Corporation Finance |
| SLB 14B | Sep. 15, 2004 | Shareholder Proposals; Division of Corporation Finance |
| SLB 17 | Mar. 19, 2004 | Remote Office Supervision; Division of Market Regulation |
| SLB 16 | Jan. 20, 2004 | Transactions in Listed Options Under Exchange Act Rule 11Ac1-1; Division of Market Regulation |
| SLB 14A | Jul. 12, 2002 | Shareholder Proposals; Division of Corporation Finance |
| SLB 9 | Apr. 12, 2002 | Frequently Asked Questions About Regulation M (REVISED!); Division of Market Regulation |
| SLB 13A | Oct. 16, 2001 | Frequently Asked Questions About Rule 11Ac1-6; Division of Market Regulation |
| SLB 15 | Sep. 5, 2001 | Listing Standards for Trading Security Futures Products; Division of Market Regulation |
| SLB 14 | Jul. 13, 2001 | Shareholder Proposals; Division of Corporation Finance |
| SLB 1A | Jul. 11, 2001 | Confidential Treatment Requests (Withdrawn) [superseded by CF Disclosure Guidance Topic No. 7] |
| SLB 13 | Jun. 22, 2001 | Frequently Asked Questions About Rule 11Ac1-6; Division of Market Regulation |
| SLB 12A | Jun. 22, 2001 | Frequently Asked Questions About Rule 11Ac1-5 (Revised); Division of Market Regulation |
| SLB 11 | Sep. 19, 2000 | The Applicability of the Investment Advisers Act of 1940 to Financial Advisors to Municipal Bond Issuers; Division of Investment Management |
| SLB 10 | Aug. 25, 2000 | Prohibited Solicitations and "Tie-in" Agreements for Aftermarket Purchases; Division of Market Regulation |
| SLB 7A | Jun. 7, 1999 | Plain English Disclosure – An updated guide to the plain English rule and amendments that apply to public companies filing with the Division of Corporation Finance (Updated); Division of Corporation Finance See also: SLB 7 |
| SLB 8 | Sep. 9, 1998 | How broker-dealers should handle customer orders and notify customers when marketwide circuit breakers halt trading on exchanges; also, the need for broker-dealers to maintain enough internal systems capacity to operate properly when trading volume is extremely high; Division of Market Regulation |
| SLB 7 | Sep. 4, 1998 | Helpful information on the plain English rule and amendments that apply to public companies filing with the Division of Corporation Finance Division of Corporation Finance See also: Updated: SLB 7A |
| SLB 6 | Jul. 22, 1998 | A reminder to public issuers, broker-dealers, investment advisers, and investment companies to consider their disclosure obligations in connection with the January 1, 1999, conversion by 11 member states of the European Union to a common currency, the "euro."; Divisions of Corporation Finance, Market Regulation and Investment Management |
| SLB 5 | Jan. 12, 1998 | A reminder to public operating companies, investment advisors, and investment companies to consider their disclosure obligations relating to anticipated costs, problems and uncertainties associated with the Year 2000 issue (Revised!); Division of Corporation Finance and the Division of Investment Management |
| SLB 4 | Sep. 16, 1997 | Whether Section 5 of the Securities Act of 1933 applies to spin-offs; also addresses related matters, including how securities received in spin-offs may be resold under the Securities Act; Division of Corporation Finance |
| SLB 2 | Apr. 15, 1997 | Requests to modify the Securities Exchange Act of 1934 periodic reporting of issuers that are either reorganizing or liquidating under the provisions of the United States Bankruptcy Code; Division of Corporation Finance |
| SLB 1 | Feb. 28, 1997 | Confidential Treatment Requests (Withdrawn) [superseded by CF Disclosure Guidance Topic No. 7] |
Last Reviewed or Updated: June 12, 2024