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SEC Concept Releases

The Commission occasionally publishes "concept" releases to solicit the public's views on securities issues so that we can better evaluate the need for future rulemaking. We encourage the public to submit comments on the following concept releases during the comment period. For detailed instructions, please read How to Submit Comments. Concept releases currently available include:

Release No.DateDetails
33-8497 Sep. 27, 2004 Enhancing Commission Filings Through the Use of Tagged Data
Comments due: Comments should be received on or before November 15, 2004.
File No.:   S7-36-04
Other Release Nos.:   34-50454; 35-27895; 39-2429; IC-26623
* Click to submit comments on S7-36-04
33-8398 Mar. 11, 2004 Securities Transactions Settlement
Comments due: June 16, 2004
File No.:   S7-13-04
Comments received are available for this notice
Federal Register PDF
* Click to submit comments on S7-13-04
34-49175 Feb. 3, 2004 Competitive Developments in the Options Markets
Comments due:  April 9, 2004
File No.:  S7-07-04
Comments received are available for this notice
Federal Register PDF
* Click to submit comments on S7-07-04
34-48966 Dec. 22, 2003 Interagency Proposal to Consider Alternative Forms of Privacy Notices under the Gramm-Leach-Bliley Act
Comments due:  March 29, 2004
Rel. Nos.:  IA-2206, IC-26316
File No.:  S7-30-03
Appendix A
Appendix B
Appendix C
Appendix D
Federal Register PDF
Comments received are available for this notice
33-8349 Dec. 19, 2003 Request for Comments on Measures to Improve Disclosure of Mutual Fund Transaction Costs
Comments due:  Must be received by February 23, 2004.
Rel. Nos.:  34-48952; IC-26313;
File No.:  S7-29-03
Comments received are available for this notice
33-8236 Jun. 4, 2003 Rating Agencies and the Use of Credit Ratings Under the Federal Securities Laws
Comments due:  July 28, 2003
Rel. Nos.:  34-47972; IC-26066
File No.:  S7-12-03
Comments received are available for this notice
34-47849 May 14, 2003 Request for Comment on Nasdaq Petition Relating to the Regulation of Nasdaq-Listed Securities
Comments due:  June 19, 2003.
File No.:  S7-11-03
Comments received are available for this notice
34-47571 Mar. 26, 2003 Request for Comment on the NYSE Petition Relating to Participant Fee Exemptions
Comments due:  May 1, 2003.
File No.:  S7-07-03
Comments received are available for this notice
34-46432 Aug. 29, 2002 Draft Interagency White Paper on Sound Practices to Strengthen the Resilience of the U. S. Financial System
Comments due: Comments must be received on or before October 21, 2002.
File No.:  S7-32-02
Comments received are available for this notice
34-45879 May 6, 2002 Interagency White Paper on Structural Change in the Settlement of Government Securities: Issues and Options
Comments due:  on or before August 12, 2002
File No.:  S7-15-02
Comments received are available for this notice
IC-25258 Nov. 8, 2001 Actively Managed Exchange-Traded Funds
Comments due:  January 14, 2002
File No.:  S7-20-01
Comments received are available for this notice
34-44845 Sept. 26, 2001 Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period
Comments due: on or before November 23, 2001
File No.: S7-14-01
34-44568Jul. 18, 2001Effects of Decimal Trading in Subpennies
Comments due: 60 days after the date of publication in the Federal Register
File No.: S7-14-01
Comments received are available for this notice
34-42450Feb. 23, 2000Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. To Rescind Exchange Rule 390; Commission Request for Comment on Issues Relating to Market Fragmentation
Comments due: on the NYSE's proposed rescission of Rule 390 should be submitted by March 20, 2000. Comments responding to the Commission's request for comments on market fragmentation (including the NYSE's request for rulemaking action) should be submitted by April 28, 2000.
File No.: SR-NYSE-99-48
Comments received electronically are available for this notice
33-7801Feb. 16, 2000International Accounting Standards
Comments due: on or before May 23, 2000
File No.: S7-04-00
Other Release Nos.: 34-42430; International Series Release No. 1215
Comments received electronically are available for this release
35-27110Dec. 14, 1999Registered Public-Utility Holding Companies and Internationalization
Comments due: on or before [insert date 45 days after the date of publication in the Federal Register]. We are seeking comment on various issues surrounding the acquisition of United States utilities by foreign companies that will register as holding companies following the transaction.
File No.: S7-30-99
Other Release Nos.: International Series Release No. 1210
Comments received electronically are available for this release.
34-42208Dec. 9, 1999Regulation of Market Information Fees and Revenues
Comments due: on or before March 31, 2000
File No.: S7-28-99
Comments received electronically are available for this release.
34-42037Oct. 20, 1999Short Sales
Comments due: December 27, 1999.
File No.: S7-24-99.
Comments received electronically are available for this release.
Summary of Comments for this release.
34-39704Feb. 17, 1998Proposed Rules; Concept Release; Extension of Comment Period.
Comments due: April 6, 1998 for Rel. 34-39454; May 4, 1998 for Rel. 34-39455; and May 4, 1998 for Rel. 34-39456
File Nos.: S7-30-97; S7-31-97; S7-32-97
Other Release Nos.: 34-39455; 34-39456
34-39456Dec. 17, 1997Net Capital Rule
Comments due: 90 days after publication in the Federal Register
File No.: S7-32-97
33-7476Nov. 17, 1997Equity Index Insurance Products: Extension of Comment Period to January 5, 1997
File No.: S7-22-97
Extension of comment period for Release No. 33-7438; see below.
33-7438Aug. 20, 1997Equity Index Insurance Products
Comments due: November 20, 1997 but NOTE: Comment period extended to January 5, 1998 (see Rel. No. 33-7476, above).
File No.: S7-22-97
Comments received electronically are available for this release.
34-38860Jul. 22, 1997Regulation of Exchanges: Extension of Comment Period to October 3, 1997
File No.: S7-16-97
Extension of comment period for Release No. 34-38672; see below.
34-38672 May 23, 1997Regulation of Exchanges
The U.S. Securities and Exchange Commission is embarking on a reevaluation of its oversight of securities markets in light of the dramatic effects of technology on securities trading. As part of this undertaking, the Commission has published a concept release soliciting public comment on a broad range of questions.
Comments due: 90 days after publication in the Federal Register but NOTE: Comment period extended to October 3, 1997 (see Rel. No. 34-38860, above).
File No.: S7-16-97  
Comments received electronically are available for this release. Additional materials are available as well: An overview of the SEC's role in regulating markets and of the issues addressed in the release (added 9-4-97).
33-7329Sep. 12, 1996Extension of Comment Period: Securities Act Concepts and Their Effects on Capital Formation
Comments due: The comment period is extended to October 31, 1996. This release is an extension of the comment period for Release No. 33-7314 (see below).
File No.: S7-19-96
33-7314Jul. 25, 1996Securities Act Concepts and Their Effects on Capital Formation
The Commission is reexamining the application of the Securities Act of 1933 and the rules thereunder to securities offerings. Information and comment are being sought with regard to what reforms could or should be undertaken, consistent with the Commission's investor protection mandate, to reform the current regulation of the capital formation process.
Comments due: 60 days after publication in the Federal Register. (See above for extension of comment period!)
File No.: S7-19-96  
Commentsreceived electronically are available for this release.
33-7153Mar. 29, 1995Improving Descriptions of Risk by Mutual Funds and Other Investment Companies
The Securities and Exchange Commission is seeking comments and suggestions on how to improve the descriptions of risk provided to investors by mutual funds and other management investment companies.
Other Release Nos.: 34-35546; IC-20974
34-35038Dec. 1, 1994Transfer Agents Operating Direct Registration System
The Securities and Exchange Commission is soliciting comment on the policy implications of, and the regulatory issues raised by, a transfer agent operated book-entry registration system. Investors who choose to participate in a direct registration system could have their securities registered in book-entry form directly on the books of the issuer and could receive a statement of ownership in lieu of a securities certificate.
35-26153Nov. 2, 1994Request for Comments on Modernization of the Regulation of Public Utility Holding Companies
Developments in recent years require reexamination of the need for, and role of, a federal holding company statute. Accordingly, the Commission is requesting comment on a number of specific issues summarized in this release, and generally on any other issues that commenters believe relevant to the regulation of public-utility holding companies
Other Release Nos.: IC-20675; International Series Release No. 740
33-7101Oct. 13, 1994Safe Harbor For Forward-Looking Statements
The Securities and Exchange Commission ("Commission") is soliciting comment on current practices relating to disclosure of forward-looking information. The Commission also seeks comment on various changes to the existing safe harbor provisions that have been suggested by certain commentators
Other Release Nos.: 34-34831; 35-26141; 39-2324; IC-20613

http://www.sec.gov/rules/concept.shtml


Modified: 07/18/2018