SEC Proposed Rules Archives: 2001

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
33-8041	Dec. 19, 2001	Defining the Term "Qualified Purchaser" under the Securities Act of 1933 File No.: S7-23-01 Comments Due: February 25, 2002. Comments received are available for this proposal.
IC-25266	Nov. 15, 2001	Custody of Investment Company Assets with a Securities Depository File No.: S7-22-01 Comments Due: January 31, 2002. Comments received are available for this proposal. See also: Final Rule, Rel. No. IC-25934
IC-25259	Nov. 8, 2001	Investment Company Mergers Release No.: IC-25259 File No.:   S7-21-01 Comments Due:   January 18, 2002. Comments received are available for this proposal. Summary of Comments on Investment Company Mergers See also: Final Rule, Rel. No. IC-25666
34-44996	Oct. 29, 2001	Extension of Comment Period: Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products File No.:   S7-16-01 and S7-17-01 Comments Due: December 5, 2001. See also: Final Rules, Rel. Nos. 34-46473 and 34-46292; Proposed Rules, Rel. Nos. 34-44854 and comments; 34-44853 and comments
Third Quarter
33-8016	Sep. 28, 2001	Mandated EDGAR Filing for Foreign Issuers File No.:   S7-18-01 Reference:   International Series Release No. 1250; Comments Due:   December 3, 2001. Comments received are available for this proposal. Summary of Comments regarding Mandated EDGAR Filing for Foreign Issuers. See also: Final Rule, Rel. No. 33-8099
34-44854	Sep. 25, 2001	Joint Proposed Rule: Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products File No.:   S7-17-01 Comments Due:   November 5, 2001. See also Rel. No. 34-44996 Comments received are available for this proposal. See also: Final Rule, Rel. No. 34-46473 Proposed Rule, Rel. No. 34-44996
34-44853	Sep. 25, 2001	Joint Proposed Rule: Customer Margin Rules Relating to Security Futures File No.:   S7-16-01 Comments Due:   November 5, 2001. See also Rel. No. 34-44996 Comments received are available for this proposal. See also: Final Rule, Rel. No. 34-46292
34-44743	Aug. 24, 2001	Joint Proposed Rule: Cash Settlement and Regulatory Halt Requirements for Security Futures Products File No.:   S7-15-01 Comments Due:   October 1, 2001. Comments received are available for this proposal. See also: Final Rule, Rel. No. 34-45956
Second Quarter
34-44475	Jun. 26, 2001	Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index File No.:   S7-11-01 Comments Due:   July 11, 2001. See also: Final Rule, Rel. No. 34-44724 Proposed Rule, Rel. No. 34-44288
34-44455	Jun. 20, 2001	Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 File No.:   S7-13-01 Comments Due:   July 26, 2001. Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. 34-44730
34-44288	May 10, 2001	Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index File No.:   S7-11-01 Comments Due:   30 days after date of publication in the Federal Register. Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. 34-44724 Proposed Rule, Rel. No. 34-44475
34-44279	May 8, 2001	Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations. File No.: S7-10-01 Comments Due:   30 days after the date of publication in the Federal Register. Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. 34-44692
First Quarter
35-27357	Mar. 19, 2001	Electronic Recordkeeping by Public Utility Holding Companies File No.:   S7-07-01 Comments Due:   30 days after publication in the Federal Register. Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. 35-27404
IC-24890	Mar. 13, 2001	Electronic Recordkeeping by Investment Companies and Investment Advisers. Reference:   Rel. No. IC-24890; IA-1932; File No. S7-06-01; File No.:   S7-06-01 Comments Due:   April 19, 2001. Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. IC-24991
33-7955	Feb. 28, 2001	Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000. Reference:   Rel. Nos. 34-44014, 35-27350, IA-1929, IC-24879.
35-27342	Feb. 1, 2001	Foreign Utility Companies. Reference:   Rel. No. International Series Release No. 1246; File No.:   S7-05-01 Comments Due:   April 9, 2001. Comments received electronically are available for this proposal.
33-7944	Jan. 26, 2001	Disclosure of Equity Compensation Plan Information Reference:   Rel. No. 34-43892; File No.:   S7-04-01 Comments Due:   60 days after publication in the Federal Register. Comments received electronically are available for this proposal. Summary of Comments on Disclosure of Equity Compensation Plan Information See also: Final Rule, Rel. No. 33-3048
34-43860	Jan. 19, 2001	Proposed Rule Changes of Self-Regulatory Organizations. Rel. No.:S7-03-01 Comments Due:   April 6, 2001. Comments received electronically are available for this proposal.