| Release No. |
Date |
Details |
1994 |
| 34-35124 |
Dec. 20, 1994 |
Recordkeeping and Reporting Requirements For Trading Systems Operated by Broker-Dealers
File No.: S7-3-94 |
| 34-35123 |
Dec. 20, 1994 |
Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, SecuritiesAssociations, and Reports of the Municipal Securities Rulemaking Board.
File No.: S7-17-94 |
| 33-7123 |
Dec. 19, 1994 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-35114; 35-26192; 39-2327; IC-20784 |
| 33-7122 |
Dec. 19, 1994 |
Rulemaking for EDGAR System
File No.: S7-20-94
Other Release Nos.: 34-35113; 35-26191; 39-2326; IC-20783 |
| 33-7119 |
Dec. 13, 1994 |
Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations
File No.: S7-13-94
Other Release Nos.: 34-35095 ; International Series Release No. 759 |
| 33-7118 |
Dec. 13, 1994 |
Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules
File No.: S7-12-94
Other Release Nos.: 34-35094; IC-20766; International Series No. 758 |
| 33-7117 |
Dec. 13, 1994 |
Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy
File No.: S7-11-94
Other Release Nos.: 34-35093; International Series Release No. 757 |
| 34-35039 |
Dec. 1, 1994 |
Notice of Assumption or Termination of Transfer Agent Services
File No.: S7-1-92
Federal Register version |
| 33-7113 |
Dec. 1, 1994 |
Limited Partnership Roll-Up Transactions
File No.: S7-26-94
Other Release Nos.: 34-35036 |
| 34-34961 |
Nov. 10, 1994 |
Municipal Securities Disclosure
File No.: S7-5-94 |
| 34-34962 |
Nov. 10, 1994 |
Confirmation of Transactions
File No.: S7-6-94 |
| 34-34922 |
Nov. 1, 1994 |
Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange
File No.: S7-16-95 |
| 34-34902 |
Oct. 27, 1994 |
Payment for Order Flow
File No.: S7-29-93 |
| 33-7102 |
Oct. 13, 1994 |
Amendments to Proxy Rules for Registered Investment Companies
File No.: S7-33-93
Other Release Nos.: 34-34832; IC-20614 |
| 33-7072 |
Sep. 1, 1994 |
Rulemaking for EDGAR System: Financial Data Schedules
Other Release Nos.: 34-34330; 35-26079; IC-20388 |
1993 |
| 33-7032 |
Nov. 22, 1993 |
Executive Compensation Disclosure; Securityholder Lists and Mailing Requests |
| 33-6996 |
Apr. 28, 1993 |
Adoption of Additional Small Business Initiatives |
| 33-6988 |
Apr. 6, 1993 |
Disclosure of Mutual Fund Performance and Portfolio Managers
Other Release No.: IC-19382 |
1992 |
| 33-6949 |
Jul. 30, 1992 |
Adoption of Small Business Initiatives |
| 34-30929 |
Jul. 21, 1992 |
Final Temporary Risk Assessment Rules |
| 34-30608 |
Apr. 28, 1992 |
Penny Stock Disclosure Rules |
| 34-30146 |
Jan. 6, 1992 |
Acceptance of Signature Guarantees from Eligible Guarantor Institutions |
1989 |
| 34-26985 |
Jun. 28, 1989 |
Municipal Securities Disclosure |
| 34-27017 |
Jul. 11, 1989 |
Registration Requirements for Foreign Broker-Dealers |
1985 |
| 34-22172 |
Jun. 27, 1985 |
The Commission is adopting
Rule 3a4-1 specifying a non--exclusive
safe harbor under which persons
associated with an issuer of securities
who participate in sales of that issuer's
securities will not be considered to be
acting as "brokers" as that term is
defined in the Securities Exchange Act
of 1934. |
1984 |
| 34-20581 |
Jan. 19, 1984 |
Processing of Tender Offers within the National Clearance and Settlement
System |
1983 |
| 34-19860 |
Jun. 10, 1983 |
Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents |
1979 |
| 34-16443 |
Dec. 20, 1979 |
Securities Position Listing Rule |
1977 |
| 34-13636 |
Jun. 16, 1977 |
Regulation of Transfer Agents |
1975 |
| 34-11742 |
Oct. 15, 1975 |
Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating to the Registration Of Municipal Securities Brokers and Dealers Under Section 15 of the Act; and Delegation of Authority to the Staff of The Commission |
1962 |
| 33-4552 |
Nov. 6, 1962 |
Nonpublic Offering Exemption |
