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SEC Interpretive Releases Archive: 2006

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
34-54165 Jul. 18, 2006 Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934
File No.: S7-13-06
Effective Date: July 24, 2006
Other Date: Market participants may continue to rely on the Commissionís prior interpretations of Section 28(e) until January 24, 2007
Comments Due: September 7, 2006
Federal Register version
Comments received are available for this proposal.

Modified: 05/28/2014