|
|
 |
SEC Policy Statements
From time to time, the Commission issues a "policy statement" to clarify its position on a particular matter. Below are brief descriptions of and links to recent "policy statements."
| Release No. |
Date |
Details |
|
34-71134 |
Dec. 19, 2013 |
Extension of Comment Period for Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies
File No.: S7-08-13
Comments Due: February 7, 2014
Comments received
are available.
|
|
34-70731 |
Oct. 22, 2013 |
Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies and Request for Comment
File No.: S7-08-13
Comments Due: December 24, 2013
Comments received
are available.
Federal Register (78 FR 64052):
HTML
|
PDF
|
text
|
XML
|
|
34-67177 |
Jun. 11, 2012 |
Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps Adopted Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act
File No.: S7-05-12
Comments Due: 60 days from publication of
34-69491
in the Federal Register
Comments received
are available.
Federal Register (77 FR 35625):
HTML
|
PDF
|
text
|
XML |
|
34-61340 |
Jan. 13, 2010 |
Policy Statement Concerning Cooperation by Individuals in its Investigations and Related Enforcement Actions
Effective Date: January 19, 2010 |
|
34-55043 |
Jan. 5, 2007 |
Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities
File No.: S7-08-06
Effective Date: January 11, 2007 |
|
34-53773 |
May 9, 2006 |
Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities
See also:
Federal Register Posting
(May 16, 2006)
File No.: S7-08-06
Comments Due: June 15, 2006
Comments received
are available
for this proposal.
|
|
34-53638 |
Apr. 12, 2006 |
Policy Statement Concerning Subpoenas to Members of the News Media
Effective Date: April 12, 2006 |
|
34-49873 |
Jun. 16, 2004 |
Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities; Extension of Comment Period
File No.: S7-22-04
Comments Due: July 19, 2004
Comments received
are available
for this proposal.
|
|
34-49695 |
May 13, 2004 |
Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities
File No.: S7-22-04
Comments Due: See release
34-49873
Comments received
are available
for this proposal.
|
|
34-48545 |
Sep. 25, 2003 |
Business Continuity Planning for Trading Markets
File No.: S7-17-03
Effective Date: October 1, 2003
Comments Due: October 31, 2003
Comments received electronically
are available
for this proposal. |
|
33-8221 |
Apr. 25, 2003 |
Commission Statement of Policy Reaffirming the Status of the FASB as a Designated Private-Sector Standard Setter
Release No.: 34-47743 |
|
33-7993 |
Jul. 17, 2001 |
Commission Policy Statement on the Establishment and Improvement of Standards Related to Auditor Independence
|
|
33-7568 |
Aug. 27, 1998 |
Commission Statement of Policy on Regulatory Moratorium to Facilitate the Year 2000 Conversion
|
|
34-40306 |
Aug. 5, 1998 |
Final Statement of Policy: Alternative Dispute Resolution Policy
Effective Date: date of publication in Federal Register |
|
33-7507 |
Feb. 18, 1998 |
Commission Statement of Policy on the Establishment and Improvement of Standards Related to Auditor Independence
Effective Date: 30 days after publication in Federal Register |
|
33-7382 |
Jan. 22, 1997 |
Policy Statement: Designation of Small Business Compliance Guides
Effective Date: date published in Federal Register |
|
34-29185 |
May 9, 1991 |
Policy Statement: Automated Systems of Self-Regulatory Organizations (II)
Effective Date: May 9, 1991
|
|
34-27445 |
Nov. 16, 1989 |
Policy Statement: Automated Systems of Self-Regulatory Organizations
Effective Date: November 16, 1989 |
http://www.sec.gov/rules/policy.shtml
|
