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SEC Final Rules: 1999

Archive of older SEC Final Rules available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-42266 Dec. 22, 1999 Audit Committee Disclosure
File No.: S7-22-99
Effective Date: Jan. 31, 2000
34-42212 Dec. 9, 1999 Adoption of Amendments to the Intermarket Trading System Plan To Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities
File No.: 4-208
Effective Date: Feb. 14, 2000
IC-24177 Nov. 30, 1999 Temporary Exemption for Certain Investment Advisers
File No.: S7-22-98
Effective Date: Dec. 13, 1999
Other Release Nos.: IA-1846
33-7766 Nov. 5, 1999 Delivery of Disclosure Documents to Households
File No.: S7-27-97
Effective Date: Dec. 20, 1999
Other Release Nos.: 34-42101; IC-24123
33-7760 Oct. 22, 1999 Regulation of Takeovers and Security Holder Communications
File No.: S7-28-98
Effective Date: Jan. 24, 2000
Other Release Nos.: 34-42055
33-7759 Oct. 22, 1999 Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings
File No.: S7-29-98
Effective Date: Jan. 24, 2000
Other Release Nos.: 34-42054
33-7752 Oct. 7, 1999 Adoption of Updated EDGAR Filer Manual
File No.:
Effective Date: Oct. 18, 1999
Other Release Nos.: 34-41986; 35-27081; 39-2376; IC-24075
Third Quarter
34-41936 Sep. 28, 1999 International Disclosure Standards
File No.: S7-3-99
Effective Date:
34-41905 Sep. 23, 1999 Purchases of Certain Equity Securities by the Issuer and Others
File No.: S7-27-98
Effective Date: 30 days after date of publication in Federal Register.
33-7728 Aug. 24, 1999 Personal Investment Activities of Investment Company Personnel
File No.: S7-25-95
Effective Date: Oct. 29, 1999
Other Release Nos.: IC-23958, IA-1815
34-41661 Jul. 29, 1999 Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents
File No.: S7-8-99
Effective Date: Aug. 30, 1999
34-41594 Jul. 2, 1999 Broker-Dealer Registration and Reporting
Effective Date: Jul. 30, 1999
File No.: S7-16-99
Note: Additional material is available for this release:
Appendix A; Appendix B: Form BD in Adobe Acrobat format; Amendments:(File name: 34-41672.htm).
Second Quarter
IA-1804 Jun. 22, 1999 Delegation of Authority To Cancel Registration of Certain Investment Advisers
Effective Date: Jun. 28, 1999
34-41453 May 26, 1999 Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities;
File No.: S7-4-99
Effective Date: Jun. 2, 1999
33-7685 May 18, 1999 Adoption of Updated EDGAR Filer Manual;
Effective Date: amendment to 17 CFR part 232 (Regulation S-T): Jun. 28,1999; New edition of the EDGAR Filer Manual (Release 6.50): Jun. 28, 1999
Note: The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of Jun. 28, 1999
Other Release Nos.: 34-41411; 35-27026; 39-2373; IC-23844
33-7684 May 17, 1999 Rulemaking for EDGAR System
File No.: S7-9-99
Effective Date: Jun. 28, 1999 (and apply to filings submitted on or after that date).
Other Release Nos. : 34-41410; IC-23843
34-41356 May 3, 1999 Broker-Dealer Registration and Reporting
File No.: S7-17-96
Effective Date: 30 days after publication in the Federal Register
Note: Additional material is available for this release:
Form BDW in Adobe Acrobat format.
IC-23814 Apr. 30, 1999 Custody of Investment Company Assets Outside the United States; Extension of Compliance Date
File No.: S7-23-95
Effective Date: Rule amendments published on May 16, 1997 (62 FR 26923) remains Jun. 16, 1997.
Other Release Nos.: IS-1193
34-41297 Apr. 16, 1999 Regulation of Alternative Trading Systems; Technical Amendment
File No.: S7-12-98
Effective Date: Apr. 21, 1999
Note: Additional material is available for this release:
Appendix: Schedule A
IC-23786 Apr. 15, 1999 Deregistration of Certain Registered Investment Companies.
File No.: S7-31-98
Effective Date: Jun. 1, 1999
Note: Additional material is available for this release in PDF format: Form N-8F
First Quarter
IA-1794 Mar. 29, 1999 Transition Rule for Ohio Investment Advisers
File No.: S7-2-99
Effective Date: May 3, 1999
3440760a Mar. 11, 1999 Regulation of Exchanges and Alternative Trading Systems. Correction;
File No.: S7-12-98
Effective Date: Apr. 21, 1999
34-41116 Mar. 1, 1999 Adoption of an Amendment to Rule 3a12-8
File No.: S7-15-98
Effective Date: Mar. 5, 1999
Other Release Nos.: International Series Release No. 118
33-7646 Feb. 26, 1999 Adoption of Amendments to Form S-8 related Rules Under the Securities Act, and Regulations S-K and S-B
File No.: S7-2-98
Effective Date: Apr. 7, 1999
Other Release Nos.: 34-41109
33-7645 Feb. 25, 1999 Rule 701 - Exempt Offerings Pursuant to Compensatory Arrangements
File No.: S7-5-98
Effective Date: Apr. 7, 1999
33-7644 Feb. 26, 1999 Adoption of Amendments to Rule 504 of Regulation D
Effective Date: Apr. 7, 1999
Other Release Nos.: S7-14-98
IC-23670 Jan. 29, 1999 Extension of Compliance Date
File No.: S7-23-95
Effective Date: May 1, 1999
Other Release Nos.: IS-1179
34-40934 Jan. 12, 1999 Rulemaking for EDGAR System
File No.: S7-18-97
Effective Date: 30 days after publication in Federal Register
Note: Additional materials are available for this release in PDF format:
Form 13F and the 13F Table.
Other Release Nos.: IC-23640
IA-1780 Jan. 11, 1999 Rules Implementing Amendments to the Investment Advisers Act of 1940; Correction to Technical Amendments Under the Investment Advisers Act of 1940
File No.: S7-31-96; S7-7-86
Effective Date: Jan. 15, 1999
IA-1733A Jan. 7, 1999 Technical Changes to Schedule I to Form ADV
File No.: S7-28-97MIA-1733A

Effective Date: Jan. 7, 1999
Reference see also Release No. IA-1733
33-7620 Jan. 5, 1999 Segment Reporting
File No.: S7-17-98
Effective Date: Feb. 11, 1999

 

http://www.sec.gov/rules/final/finalarchive/finalarchive1999.shtml


Modified: 10/16/2014