SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission

  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements



  Information for...


SEC Concept Releases Archive 1994

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:

Additional Archives

Release No.DateDetails
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

Modified: 01/21/2009