SEC Proposed Rules Archive: 2006

We encourage the public to submit comments on the following 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

2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1988-1994

Release No.	Date	Details
Fourth Quarter
33-8766	Dec. 27, 2006	Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles Other Release No.:   IA-2576 File No.:   S7-25-06 Comments Due:   March 9, 2007 Comments received are available for this proposal. Federal Register version Submit comments on S7-25-06
34-55005	Dec. 22, 2006	Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty to File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 Other Release No.:   International Series Release No. 1300 File No.:   S7-12-05 Comments Due:   February 12, 2007 Comments received are available for this proposal. Federal Register version Submit comments on S7-12-05 See also: Proposed Rule Release No. 34-53020
33-8762	Dec. 20, 2006	Management's Report on Internal Control Over Financial Reporting (Corrected to Conform to the Federal Register Version) Other Release No.:   34-54976 File No.:   S7-24-06 Comments Due:   February 26, 2007 Comments received are available for this proposal. Federal Register version Submit comments on S7-24-06 See also: Comment Summary
34-54947	Dec. 18, 2006	Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules File No.:   S7-23-06 Comments Due:   March 26, 2007 Comments received are available for this proposal. Federal Register version Submit comments on S7-23-06 See also: Proposed Rule Release No. 34-54946; Order Release No. 34-54948
34-54946	Dec. 18, 2006	Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks File No.:   S7-22-06 Comments Due:   March 26, 2007 Comments received are available for this proposal. Federal Register version See also: Final Rule Release No. 34-56501A; Proposed Rule Release No. 34-54947; Order Release No. 34-54948
IC-27600	Dec. 15, 2006	Investment Company Governance File No.:   S7-03-04 Comments Due:   March 2, 2007 Comments received are available for this proposal. Submit comments on S7-03-04 Federal Register version Notice of comment deadline See also:  Investment Company Governance [Correction, IC-27600A, Jan. 4, 2007] Letters in Response to Court Decision (April 7, 2006) Proposed Rule, Rel. No. IC-27395 (Jun. 13, 2006); Final Rule, Rel. No. IC-26520; Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins Proposed Rule, Rel. No. IC-26323; comments; Response to Request for Stay; Staff Study: Exemptive Rule Amendments of 2004: The Independent Chair Condition; Letter from Commissioners Glassman and Atkins Court of Appeals Decision Letters in Response to Court Decision (June 21, 2005) Commission Response to Remand by Court of Appeals (Rel. No. IC-26985, June 30, 2005) Concurring Views of Chairman Donaldson Concurring Views of Commissioner Goldschmid Concurring Views of Commissioner Campos Dissent of Commissioner Glassman Dissent of Commissioner Atkins Commission Order on Stay Request (Rel. No. IC-26989, July 15, 2005)
34-54891	Dec. 7, 2006	Amendments to Regulation SHO and Rule 10a-1 File No.:   S7-21-06 Comments Due:   February 12, 2007 Comments received are available for this proposal. Federal Register version Submit comments on S7-21-06 See also: Reg SHO Pilot Study (Feb. 6, 2007)
34-54888	Dec. 6, 2006	Short Selling in Connection With A Public Offering File No.:   S7-20-06 Comments Due:   February 12, 2007 Comments received are available for this proposal. Federal Register version Submit comments on S7-20-06
34-54863	Dec. 4, 2006	Proposed Amendments to Municipal Securities Disclosure File No.:   S7-19-06 Comments Due:   January 8, 2007 Comments received are available for this proposal. Federal Register version Submit comments on S7-19-06
33-8754	Nov. 16, 2006	Covered Securities Pursuant to Section 18 of the Securities Act of 1933 File No.:   S7-18-06 Comments Due:   December 22, 2006 Federal Register version Comments received are available for this proposal. Submit comments on S7-18-06 Note:   Amended
IC-27539	Oct. 25, 2006	Definition of Eligible Portfolio Company under the Investment Company Act of 1940 File No.:   S7-37-04 Comments Due:   January 2, 2007 Federal Register version Comments received are available for this proposal. Submit comments on S7-37-04 See also: Final Rule Release No. IC-27538; Proposed Rule Release No. IC-26647; and comments
34-54575	Oct. 5, 2006	Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers also Registered as Futures Commission Merchants Release No.:   34-54575 File No.:   S7-16-06 Comments Due:   November 13, 2006 Federal Register version Comments received are available for this proposal. Submit comments on S7-16-06
Third Quarter
33-8735	Aug. 29, 2006	Executive Compensation Disclosure Other Release No.: 34-54380 File No.:   S7-03-06 Comments Due:   October 23, 2006 Federal Register version Comments received are available for this proposal. Submit comments on S7-03-06 See also: Final Rule Release No. 33-8732A and Proposed Rule Release No. 33-8655
34-54356	Aug. 24, 2006	Electronic Filing of Transfer Agent Forms File No.:   S7-14-06 Comments Due:   October 26, 2006 Comments received are available for this proposal. Submit comments on S7-14-06
33-8731	Aug. 9, 2006	Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies Release No.:   34-54295 File No.:   S7-06-03 Comments Due:   Comments should be received on or before September 14, 2006 Federal Register version Comments received are available for this proposal. Submit comments on S7-06-03 See also: Final Rule Release Nos. 33-8730A; 33-8238; and Proposed Rule Release No. 33-8212
34-54154	Jul. 14, 2006	Amendments to Regulation SHO Release No.:   34-54154 File No.:   S7-12-06 Comments Due:   September 19, 2006 Federal Register version Comments received are available for this proposal. Submit comments on S7-12-06 See also:  Spotlight on Short Sales
Second Quarter
IC-27395	Jun. 13, 2006	Investment Company Governance (Request for additional comment) File No.:   S7-03-04 Comments Due:   August 21, 2006. Federal Register version Comments received are available for this proposal. Submit comments on S7-03-04 See also:  Letters in Response to Court Decision (April 7, 2006) Proposed Rule, Rel. No. IC-27600 (Dec. 29, 2006); Final Rule, Rel. No. IC-26520 Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins Proposed Rule, Rel. No. IC-26323; comments; Response to Request for Stay; Staff Study: Exemptive Rule Amendments of 2004: The Independent Chair Condition; Letter from Commissioners Glassman and Atkins Court of Appeals Decision Letters in Response to Court Decision (June 21, 2005) Commission Response to Remand by Court of Appeals (Rel. No. IC-26985, June 30, 2005) Federal Register version Concurring Views of Chairman Donaldson Concurring Views of Commissioner Goldschmid Concurring Views of Commissioner Campos Dissent of Commissioner Glassman Dissent of Commissioner Atkins Commission Order on Stay Request (Rel. No. IC-26989, July 15, 2005)
First Quarter
34-53560	Mar. 29, 2006	Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities File No.:   S7-07-06 Comments Due:   Comments should be received on or before May 10, 2006 Federal Register version Comments received are available for this proposal. Submit comments on S7-07-06
IC-27255	Feb. 28, 2006	Mutual Fund Redemption Fees File Nos.:   S7-06-06 and 4-512 Comments Due:   Comments should be received on or before April 10, 2006. Federal Register version Comments received are available for S7-06-06. Submit comments on Mutual Fund Redemption Fees (S7-06-06) Comments received are available for 4-512. Submit comments on Ongoing Monitoring of Implementation (4-512)
33-8655	Jan. 27, 2006	Executive Compensation and Related Party Disclosure Release Nos.:   34-53185; IC-27218 File No.:   S7-03-06 Comments Due:   Comments should be received on or before April 10, 2006. Federal Register version Comments received are available for this proposal. Submit comments on S7-03-06