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:

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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