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SEC Final Rules: 1998

Archive of older SEC Final Rules available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-40760 Dec. 8, 1998 Regulation of Exchanges and Alternative Trading Systems
File No.: : S7-12-98
Effective Date: Apr. 21, 1999
Compliance Date: The first two brackets are 120 days (Apr. 21, 1999) and the third bracket is 240 days (Aug. 30, 1999).
Note: Additional materials are available for this release in PDF format:
Form 1, Form ATS, Form ATS-R, and Form PILOT
34-40761 Dec. 8, 1998 Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
File No.: S7-13-98

Effective Date: Feb. 22, 1999
Note: Additional materials are available for this release in PDF format:
Form 19b-4(e).
34-40594a Nov. 5, 1998 OTC Derivatives Dealers; Correction
File No.: S7-30-97
Effective Date: Jan. 1, 1999
34-40636 Nov. 4, 1998 Rules of Practice
File No.: S7-23-98
Effective Date: 30 days after publication in Federal Register
33-7608 Nov. 4, 1998 Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
File No.: S7-19-97
Effective Date: Date of publication in Federal Register
34-40608 Oct. 28, 1998 Reports to be Made by Certain Brokers and Dealers
File No.: S7-7-98
Effective Date: 60 days after publication in Federal Register.
34-40587 Oct. 22, 1998 Year 2000 Readiness Reports to be Made by Certain Non-Bank Transfer Agents
File No.: S7-8-98
Effective Date: Dec. 2, 1998
34-40594 Oct. 23, 1998 OTC Derivatives Dealers
File No.: S7-30-97
Effective Date: Jan. 4, 1999
33-7593 Oct. 19, 1998 Amendment to Rule 102(e) of the Commission's Rules of Practice
File No.: S7-16-98
Effective Date: Nov. 25, 1998.
IA-1769 Oct. 1, 1998 Investment Adviser Year 2000 Reports
File No.: S7-20-98
Effective Date: Nov. 13, 1998.
Third Quarter
34-40163A Aug. 3, 1998 Correction to Year 2000 Readiness Reports
File No.: S7-8-98
Effective Date: date of publication in Federal Register
IA-1733 Jul. 20, 1998 Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers with Principal Offices and Places of Business in Colorado or Iowa
File No.: S7-28-97
Effective Date: Aug. 31, 1998.
IA-1731 Jul. 15, 1998 Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
File No.: S7-29-97
Effective Date: Aug. 20, 1998.
34-40163 Jul. 2, 1998 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
File No.: S7-8-98
Effective Date: Aug. 12, 1998.
34-40162 Jul. 2, 1998 Reports to be Made by Certain Brokers and Dealers
File No.: S7-7-98
Effective Date: Aug. 12, 1998.
Second Quarter
33-7548 Jun. 24, 1998 Definitions of "Small Business" or "Small Organization" Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
File No.: S7-4-97
Effective Date: Jul. 30, 1998.
33-7539 May 19, 1998 Adoption of Updated EDGAR Filer Manual
Effective Date: Jun. 1, 1998
IC-23201 May 21, 1998 Extension of Compliance Date: Custody of Investment Company Assets Outside the United States
File No.: S7-23-95
Effective Date: Jun. 16, 1997.
Compliance Date: Feb. 1, 1999
34-40018 May 21, 1998 Amendments to Rules on Shareholder Proposals
File No.: S7-25-97
Effective Date: 30 days after publication in Federal Register.
First Quarter
33-7513 Mar. 13, 1998 New Disclosure Option for Open-End Management Investment Companies
File No.: S7-18-97
Effective Date: Jun. 1, 1998.
33-7512r;
33-7512f
Mar. 13, 1998 Registration Form Used by Open-End Management Investment Companies
File No.: S7-10-97
Effective Date: Jun. 1, 1998.
Note: text of Form N-1A added, 3-23-98.
35-26826 Feb. 20, 1998 Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
File No.: S7-11-95
Effective Date: date of publication in Federal Register.
33-7505
Part 1 ; Part 2
Feb. 17, 1998 Offshore Offers and Sales (Regulation S)
Effective Date: 60 days after publication in Federal Register.
34-39627 Feb. 9, 1998 Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: date of publication in Federal Register
34-39624 Feb. 5, 1998 Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act
Effective Date: date of publication in Federal Register
33-7497 Jan. 28, 1998 Plain English Disclosure
File No.: S7-3-97
Effective Date: Oct. 1, 1998
Note: Additional materials are available for this release: Appendix A, Appendix B, and the Plain English Handbook.
33-7495 Jan. 20, 1998 Adoption of Updated EDGAR Filer Manual
Effective Date: Jan. 26, 1998.
33-7494 Jan. 13, 1998 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-17-97
Effective Date: date of publication in Federal Register.
34-39538 Jan. 12, 1998 Amendments to Beneficial Ownership Reporting Requirements
File No.: S7-16-96
Effective Date: Feb. 17, 1998.
Note: Additional material (the chart "III. Effects of Amendments to Regulation13D-G") is available for this release.

 

http://www.sec.gov/rules/final/finalarchive/finalarchive1998.shtml


Modified: 10/16/2014