SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


SEC Proposed Rules Archives: 1997

Archive of older proposed rules currently available on site. We encourage the public to submit comments on proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-39457 Dec. 17, 1997 Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
File No.:   S7-33-97
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-39455 Dec. 17, 1997 Net Capital Rule
File No.:   S7-31-97
Comments Due:   90 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-39454 Dec. 17, 1997 OTC Derivatives Dealers
File No.:   S7-30-97
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
33-7475 Nov. 13, 1997 Delivery of Disclosure Documents to Households
File No.:   S7-27-97
Comments Due:   February 2, 1998
Comments received electronically are available for this proposal.
IA-1682 Nov. 13, 1997 Exemption To Allow Investment Advisers to Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
File No.:   S7-29-97
Comments Due:   January 20, 1998
Comments received electronically are available for this proposal.
IA-1681 Nov. 13, 1997 Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940
File No.:   S7-28-97
Comments Due:   January 20, 1998
Comments received electronically are available for this proposal.
Third Quarter
34-39093 Sep. 19, 1997 Amendments to Rules on Shareholder Proposals
Reference:   Rel. No. IC-22828
File No.:   S7-25-97
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
Concurring remarks by Commissioner Wallman also available: s72597cn.htm
33-7430 Jul. 14, 1997 Registration under the Securities Act of 1933 of Certain Investment Company Securities
File No.:   S7-19-97
Comments Due:   August 18, 1997
Comments received electronically are available for this proposal.
34-38800 Jul. 2, 1997 Rulemaking for EDGAR System (Form 13F)
File No.:   S7-18-97
Comments Due:   August 7, 1997
Comments received electronically are available for this proposal.
Additional materials available for this proposal.
Second Quarter
33-7422 Jun. 10, 1997 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.:   S7-17-97
Comments Due:   July 17, 1997
First Quarter
33-7404 Mar. 14, 1997 Proposed Rule - Extension of Comment Period: Definition of "Small Business" or "Small Organization" Under the Investment Comany Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
File No.:   S7-4-97
Comments Due:   April 30, 1997
(NOTE: see actual proposed rule below)
33-7398 Feb. 27, 1997 Registration Form used by Open-End Management Investment Companies
File No.:   S7-10-97
Comments Due:   June 9, 1997
Comments received electronically are available for this proposal.
Additional materials available for this proposal.
33-7399 Feb. 27, 1997 Proposed New Disclosure Option for Open-End Management Investment Companies
File No.:   S7-18-96
Comments Due:   June 9, 1997
(NOTE: Comments on this proposal were received electronically some months before its release; all such comments, whether received before and after release, are available from the same page)
IC-22530 Feb. 27, 1997 Investment Company Names
File No.:   S7-11-97
Comments Due:   June 9, 1997
Comments received electronically are available for this proposal.
33-7393 Feb. 20, 1997 Delayed Pricing for Certain Registrants
File No.:   S7-9-97
Comments Due:   April 29, 1997
Comments received electronically are available for this proposal.
33-7392 Feb. 20, 1997 Offshore Offers and Sales
File No.:   S7-8-97
Comments Due:   April 29, 1997
Comments received electronically are available for this proposal.
33-7391 Feb. 20, 1997 Revision of Rule 144, Rule 145 and Form 144
File No.:   S7-7-97
Comments Due:   April 29, 1997
Comments received electronically are available for this proposal.
33-7388 Feb. 11, 1997 Definition of "prepared by or on behalf of the issuer" for purposes of determining if an offering document is subject to state regulation
File No.:   S7-6-97
Comments Due:   30 days after publication in the Federal Register
33-7383 Jan. 22, 1997 Proposed Rule: Definitions of "Small Business" or "Small Organization" Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
File No.:   S7-4-97
(NOTE: Comments deadline extended to April 30, 1997; see Rel. No. 33-7404, above)
34-38164 Jan. 14, 1997 Proposed Rule: Plain English Disclosure
File No.:   S7-3-97
Comments Due:   March 24, 1997
Comments received electronically are available for this proposal.
(TEXT REVISED to include valid file number and comments due date, 1-16-97)
(Additional materials (Draft Plain English Handbook) available for this proposal.)
34-38159 Jan. 13, 1997 Proposed Rule: Extension of Comment Period, Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.:   S7-27-96
Comments Due:   Extended to March 31, 1997

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed1997.shtml

Modified: 10/16/2014