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 |
| 34-87327 | Oct. 17, 2019 | Commission Statement on Market Structure Innovation for Thinly Traded Securities (Conformed to Federal Register version)
File No.: S7-18-19 Effactive Date: October 17, 2019 Comments received are available. Federal Register version (84 FR 56956) |
IA-5325 | Aug. 21, 2019 | Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
Other Release No.: IC-33605 Effective Date: September 10, 2019 Federal Register version (82 FR 47420) |
| 34-84511 | Oct. 31, 2018 | Commission Statement on Certain Provisions of Business Conduct Standards for Security-
Based Swap Dealers and Major Security-Based Swap Participants (Conformed to Federal Register version)
File No.: S7-24-18 Effective Date: November 6, 2018 See also: Comments from Church Alliance and IIB/SIFMA |
| 34-80870 | Jun. 7, 2017 | Commission Statement Concerning a Request Made Pursuant to Exchange Act Rule 3a68-2
See also: Exhibits |
| 34-75050 | May 27, 2015 | Final Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies
File No.: S7-10-15 |
| 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. |
| 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. |
| 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 |