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SEC Interpretive Releases Archive — Older Releases

The Commission occasionally provides guidance on topics of general interest to the business and investment communities by issuing "interpretive" releases, in which we publish our views and interpret the federal securities laws and SEC regulations. Below are brief descriptions of and links to recent "interpretive" releases.

Additional Archives

Release No. Date Details
33-7049 Mar. 9, 1994 Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others
Other Release Nos.: 34-33741; FR-42
File No.: S7-04-94
34-31661 Dec. 12, 1992 Registration of Successors to BrokerDealers and Investment Advisers
Other Release Nos.: IA-1357
33-6835 May 18, 1989 Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures
Other Release Nos.: 34-26831; IC-16961; FR-36
IA-1092 Oct. 8, 1987 Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services
IA-770 Aug. 13, 1981 Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services
34-17111 Sep. 2, 1980 Regulation of Transfer Agents
34-15292 Nov. 2, 1978 Division of Investment Management's Interpretive Positions Relating to Rule 13f-1 and Related Form 13F
34-10429 Oct. 12, 1973 Division of Investment Management's Interpretive Positions Relating to Rule 13f-1 and Related Form 13F
33-5347 Jan. 4, 1973 Guidelines As to the Applicability of Federal Securities Laws to Offers and Sales of Condominiums or Units in a Real Estate Development
33-5211 Nov. 30, 1971 Multi-level Distributorships and Pyramid Sales Plans

 


http://www.sec.gov/rules/interp/interparchive/interparch1989.shtml

Modified: 10/03/2013