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. Submit comments on S7-08-13
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. Submit comments on S7-08-13 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. Submit comments on S7-05-12 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.  Click to submit comments on S7-08-06
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.  Click to submit comments on S7-22-04
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.  Click to submit comments on S7-22-04
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