SEC Proposed Rules Archives: 2002

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
33-8170	Dec. 20, 2002	Mandated Electronic Filing and Website Posting for Forms 3, 4 and 5 Release Nos.: 34-47069, 35-27627, IC-25872 File No.:   S7-52-02 Comments Due:   February 10, 2003 Comments received are available for this proposal. Summary of Comments on this proposal See also: Final Rule, Rel. No. 33-8230
33-8164	Dec. 18, 2002	Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies Release Nos.:34-47023; IC-25870 File No.:   S7-51-02 Comments Due:   February 14, 2003 Summary of Comments on this proposal Comments received are available for this proposal.
33-8160	Dec. 10, 2002	Rule 10b-18 and Purchases of Certain Equity Securities by the Issuer and Others Release Nos.: 34-46980; IC-25845 File No.:   S7-50-02 Comments Due:   February 18, 2003 Comments received are available for this proposal. See also: Summary of Comments on this proposal.
33-8154	Dec. 2, 2002	Strengthening the Commission's Requirements Regarding Auditor Independence Release Nos.: 34-46934; 35-27610; IC-25838; IA-2088, FR-64 File No.:   S7-49-02 Comments Due:   January 13, 2003 Comments received are available for this proposal. See also: Final Rules, Rel. Nos. 33-8183A and 33-8183
34-46920	Nov. 26, 2002	Broker-Dealer Exemption from Sending Certain Financial Information to Customers File No.:   S7-48-02 Comments Due:   January 2, 2003 Comments received are available for this proposal.
IC-28535	Nov. 26, 2002	Certain Research and Development Companies Release No.: IC-25835 File No.:   S7-47-02 Comments Due:   January 15, 2003 Comments received are available for this proposal. See also: Final Rule, Rel. No. IC-26077
33-8151	Nov. 21, 2002	Retention of Records Relevant to Audits and Reviews Release No.: 34-46869; IC-25830; File No.:   S7-46-02 Comments Due:   December 27, 2002 Comments received are available for this proposal. See also: Final Rule, Rel. No. 33-8180
33-8150	Nov. 21, 2002	Implementation of Standards of Professional Conduct for Attorneys Release Nos.: 34-46868; IC-25829; File No.:   S7-45-02 Comments Due:   December 18, 2002 Comments received are available for this proposal. See also: Final Rule, Rel. No. 33-8185
34-46778	Nov. 6, 2002	Insider Trades During Pension Fund Blackout Periods File No.:   S7-44-02 Release No.:  IC-25795 Comments Due:   December 16, 2002 Comments received are available for this proposal. See also: Final Rules, Rel. Nos. 33-8216 and 34-47225
33-8145	Nov. 5, 2002	Conditions for Use of Non-GAAP Financial Measures File No.:   S7-43-02 Release No.:  34-46768 Comments Due:   December 13, 2002 Comments received are available for this proposal. See also: Final Rules, Rel. Nos. 33-8216 and 33-8176
33-8144	Nov. 4, 2002	Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements, Contractual Obligations and Contingent Liabilities and Commitments File No.:   S7-42-02 Release Nos.:  34-46767; International Series Release No. 1264 Comments Due:   December 9, 2002 Comments received are available for this proposal. See also: Summary of Comments on this proposal. Final Rule, Rel. No. 33-8182
34-46745	Oct. 31, 2002	Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 File No.:   S7-41-02 Comments Due:   December 5, 2002 Comments received are available for this proposal. See also: Final Rule, Rel. No. 34-47364
33-8138	Oct. 22, 2002	Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002 Release Nos.:  34-46701; IC-25775 File No.:   S7-40-02 Comments Due:   November 29, 2002 Comments received are available for this proposal. See also: Final Rules, Rel. Nos. 33-8238, 33-8177A, 34-47262, 33-8177
34-46685	Oct. 18, 2002	Improper Influence on Conduct of Audits Release No.:  IC-25773 File No.:   S7-39-02 Comments Due:   November 25, 2002. Comments received are available for this proposal. See also: Final Rule, Rel. No. 34-47890
Third Quarter
IA-2059	Sep. 20, 2002	Proxy Voting by Investment Advisers File No.:   S7-38-02 Comments Due:   December 6, 2002. Comments received are available for this proposal. See also: Final Rule, Rel. No. IA-2106
33-8131	Sep. 20, 2002	Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies Release No.: 34-46518, IC-25739; File No.:   S7-36-02 Comments Due:   December 6, 2002. Comments received are available for this proposal. See also: Final Rule, Rel. No. 33-8188
34-46492	Sep. 12, 2002	Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products File No.: S7-34-02 Comments Due:   October 23, 2002. Revised copy now available: numbering of notes revised to match Federal Register text Comments received are available for this proposal. See also: Final Rule, Rel. No. 34-50295
34-46441	Aug. 30, 2002	Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms Release Nos.: 34-47262; IC-25723; File No.: S7-33-02 Comments Due:   October 16, 2002. See also: Release Nos. 33-8124, 34-46427, IC-25722, "Certification of Disclosure in Companies' Quarterly and Annual Reports." Final Rule, Rel. No. 34-47262 Comments received are available for this proposal. Summary of Comments on this proposal
33-8119	Aug. 2, 2002	Regulation Analyst Certification Release No.:   34-46301; File No. S7-30-02 Comments Due:   September 23, 2002. Comments received are available for this proposal. See also: Final Rule, Rel. No. 33-8193; Other, Rel. No. 34-47591
34-46300	Aug. 2, 2002	Certification of Disclosure in Companies' Quarterly and Annual Reports File No.:   S7-21-02 Comments Due:   August 19, 2002. See also: Final Rule, Rel. No. 33-8124; Proposed Rule, Rel. No. 34-46079.
33-8114	Jul. 25, 2002	Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934 File No.:   S7-29-02 Release No.:   34-46264 Comments Due:   September 3, 2002. Comments received are available for this proposal. See also: Final Rule, Rel. No. 33-8171
IA-2044	Jul. 18, 2002	Custody of Funds or Securities of Clients by Investment Advisers File No.:   S7-28-02 Comments Due:   September 25, 2002. Comments received are available for this proposal. Summary of Comments on Custody of Funds or Securities of Clients by Investment Advisers
IC-25657	Jul. 12, 2002	Customer Identification Programs for Mutual Funds File No.:   S7-26-02 Comments Due:   September 6, 2002. Comments received are available for this proposal. See also: Final Rule, Rel. No. IC-26031
34-46192	Jul. 12, 2002	Customer Identification Programs For Broker-Dealers File No.:   S7-25-02 Comments Due:   September 6, 2002. Comments received are available for this proposal. See also: Final Rule, Rel. No. 34-47752
33-8109	Jun. 26, 2002	Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process Release No.: 34-46120; 35-27543; IA-2039; IC-25624 File No.:   S7-24-02 Comments Due:   September 3, 2002. Comments received are available for this proposal.
33-8106	Jun. 17, 2002	Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date [revised 6/18, 1:30 pm] File No.:   S7-22-02 Release No.:   34-46084 Comments Due:   August 26, 2002. Comments received are available for this proposal.
Second Quarter
34-46079	Jun. 17, 2002	Certification of Disclosure in Companies' Quarterly and Annual Reports File No.:   S7-21-02 Comments Due:   August 19, 2002. Comments received are available for this proposal See also: Final Rule, Rel. No. 33-8214; Proposed Rule, Rel. No. 34-46300
34-46019	Jun. 3, 2002	Customer Protection - Reserves and Custody of Securities File No.:   S7-20-02 Comments Due:   July 25, 2002. Comments received are available for this proposal. See also: Final Rule, Rel. No. 34-47480
34-46014	May 31, 2002	Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts File No.:   S7-19-02 Comments Due:   July 10, 2002. Comments received are available for this proposal. See also: Final Rule, Rel. No. 34-46471
34-46002	May 30, 2002	Repeal of Options Trade-Through Disclosure Rule File No.:   S7-18-02 Comments Due:   July 22, 2002. Comments received are available for this proposal See also: Final Rule, Rel. No. 34-47013
33-8101	May 17, 2002	Proposed Amendments to Investment Company Advertising Rules File No.:   S7-17-02 Release No.:   34-45953; IC-25575 Comments Due:   July 31, 2002. Comments received are available for this proposal. Summary of Comments on this proposal. See also: Final Rule, Rel. No. 33-8294
33-8098	May 10, 2002	Disclosure in Management's Discussion and Analysis about the Application of Critical Accounting Policies File No.:   S7-16-02 Release Nos.:   34-45907; International Series Release No. 1258 Comments Due:   July 19, 2002. Comments received are available for this proposal.
34-45854	May 1, 2002	Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting From Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act File No.:   S7-14-02 Comments Due:   June 6, 2002. Comments received are available for this proposal See also: Final Rule, Rel. No. 34-46169
IC-25557	Apr. 30, 2002	Transactions of Investment Companies With Portfolio and Subadvisory Affiliates File No.:   S7-13-02 Comments Due:   July 19, 2002. Comments received are available for this proposal Summary of Comments for this proposal. See also: Final Rule, Rel. No. IC-25888
IA-2028	Apr. 12, 2002	Exemption for Certain Investment Advisers Operating Through the Internet File No.: S7-10-02 Comments Due: June 6, 2002. Comments received are available for this proposal. Summary of Comments on SEC-Registration of Internet Investment Advisers. See also: Final Rule, Rel. No. IA-2091
33-8090	Apr. 12, 2002	Form 8-K Disclosure of Certain Management Transactions; Release No. 33-8090; 34-45742; File No. S7-09-02 File No.: S7-09-02 Release No.: 34-45742 Comments Due: June 24, 2002. Comments received are available for this proposal.
33-8089	Apr. 12, 2002	Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports File No.: S7-08-02 Release No.: 34-45741 Comments Due: May 23, 2002. Comments received are available for this proposal Summary of Comments on Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports. See also: Final Rules, Rel. Nos. 33-8128A and 33-8128
33-8087	Apr. 12, 2002	Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts File No.: S7-07-02 Release No.: IC-25521 Comments Due: June 14, 2002 Comments received are available for this proposal Summary of Comments on Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts. See also: Final Rule, Rel. No. 33-8147
First Quarter
No Rulemaking