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:
Release No. |
Date |
Details |
Fourth Quarter |
33-8871 |
Dec. 14, 2007 |
Revisions to Form S-11 to Permit Historical Incorporation by Reference
File No.: S7-30-07
Comments Due: January 22, 2008
Comments received
are available
for this proposal.
Federal Register version
See also: Final Rule
Release No. 33-8909
|
33-8861 |
Nov. 21, 2007 |
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
Other Release No.: IC-28064
File No.: S7-28-07
Comments Due: February 28, 2008
Comments received
are available
for this proposal.
Federal Register version
See also:
Appendix to Proposed Rule: Hypothetical Summary Prospectus
|
33-8859 |
Nov. 1, 2007 |
Rulemaking for EDGAR System; Mandatory Electronic Submission of Applications for Orders under the Investment Company Act and Filings Made Pursuant to Regulation E
Other Release Nos.: 34-56732; IC-28042
File No.: S7-25-07
Comments Due: December 14, 2007
Comments received
are available
for this proposal.
Federal Register version
|
Third Quarter |
IA-2652 |
Sep. 24, 2007 |
Interpretive Rule Under the Advisers Act Affecting Broker-Dealers
File No.: S7-22-07
Comments Due: November 2, 2007
Comments received
are available
for this proposal.
Federal Register version
|
34-56213 |
Aug. 7, 2007 |
Amendments to Regulation SHO
File No.: S7-19-07
Comments Due: September 13, 2007
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
34-58775
and Proposed Rule Release No.
34-58107
|
33-8828 |
Aug. 3, 2007 |
Revisions of Limited Offering Exemptions in Regulation D
Other Release No.: IC-27922
File No.: S7-18-07
Comments Due: October 9, 2007
Federal Register version
Comments received
are available
for this proposal.
|
34-56161 |
Jul. 27, 2007 |
Shareholder Proposals Relating to the Election of Directors
Other Release No.: IC-27914
File No.: S7-17-07
Comments Due: October 2, 2007
Federal Register version
Comments received
are available
for this proposal.
|
34-56160 |
Jul. 27, 2007 |
Shareholder Proposals
Other Release No.: IC-27913
File No.: S7-16-07
Comments Due: October 2, 2007
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
34-57172
|
33-8819 |
Jul. 5, 2007 |
Smaller Reporting Company Regulatory Relief and Simplification
Other Release Nos.: 34-56013, 39-2447
File No.: S7-15-07
Comments Due: September 17, 2007
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
33-8876
|
34-56010 |
Jul. 5, 2007 |
Exemption of Compensatory Employee Stock Options from Registration under Section 12(g) of the Securities Exchange Act of 1934
Other Release No.: International Series Release No. 1303
File No.: S7-14-07
Comments Due: September 10, 2007.
Comments received
are available
for this proposal.
Federal Register version
|
33-8818 |
Jul. 2, 2007 |
Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
Other Release Nos.: 34-55998; International Series Release No. 1302
File No.: S7-13-07
Comments Due: September 24, 2007.
Federal Register version
Comments received
are available
for this proposal.
|
Second Quarter |
33-8814 |
Jun. 29, 2007 |
Electronic Filing and Simplification of Form D
Other Release Nos.: 34-55980, 39-2446, IC-27878
File No.: S7-12-07
Comments Due: September 7, 2007
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
33-8891
|
33-8813 |
Jun. 22, 2007 |
Revisions to Rule 144 and Rule 145 to Shorten Holding Period for Affiliates and Non-Affiliates
File No.: S7-11-07
Comments Due: September 4, 2007
Federal Register version
Comments received
are available
for this proposal.
|
33-8812 |
Jun. 20, 2007 |
Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
File No.: S7-10-07
Comments Due: August 27, 2007
Federal Register version
Comments received
are available
for this proposal.
|
33-8811 |
Jun. 20, 2007 |
Definition of a Significant Deficiency [Corrected]
Other Release No.: 34-55930
File No.: S7-24-06
Comments Due: July 18, 2007
Federal Register version
Comments received
are available
for this proposal.
See also:
Final Rule Release No. 33-8809,
Proposed Rule Release No. 33-8762,
Interpretive Release No. 33-8810,
and
comment summary
|
34-55777 |
May 17, 2007 |
Amendments to Financial Responsibility Rules for Broker-Dealers (Extension of comment period)
File No.: S7-08-07
Comments Due: June 18, 2007
Federal Register version
Comments received
are available
for this proposal.
See also:
Proposed Rule Release No. 34-55431
|
First Quarter |
34-55520 |
Mar. 26, 2007 |
Amendments to Regulation SHO
File No.: S7-12-06
Comments Due: April 30, 2007
Federal Register version
Comments received
are available
for this proposal.
See also:
Proposed Rule Release No. 34-54154
|
34-55497 |
Mar. 20, 2007 |
Interagency Proposal for Model Privacy Form under the Gramm-Leach-Bliley Act
Other Release Nos.: IA-2598, IC-27755
File No.: S7-09-07
Comments Due: May 29, 2007
Federal Register version
Comments received
are available
for this proposal.
|
34-55431 |
Mar. 9, 2007 |
Amendments to Financial Responsibility Rules for Broker-Dealers
File No.: S7-08-07
Comments Due: May 18, 2007
Federal Register version
Comments received
are available
for this proposal.
|
34-55341 |
Feb. 23, 2007 |
Proposed Rule Changes of Self-Regulatory Organizations
File No.: S7-06-07
Comments Due: April 30, 2007
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
34-57526
|
33-8781 |
Feb. 6, 2007 |
Extension of Interactive Data Voluntary Reporting Program on the Edgar System to Include Mutual Fund Risk/Return Summary Information
Other Release No.: IC-27697
File No.: S7-05-07
Comments Due: March 14, 2007
Comments received
are available
for this proposal.
Federal Register version
See also:
Comment Summary
|
34-55231 |
Feb. 2, 2007 |
Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations
File No.: S7-04-07
Comments Due: March 12, 2007
Comments received
are available
for this proposal.
Federal Register version
|
34-55147 |
Jan. 22, 2007 |
Universal Internet Availability of Proxy Materials [Corrected]
Other Release No.: IC-27672
File No.: S7-03-07
Comments Due: March 30, 2007
Comments received
are available
for this proposal.
Federal Register version
See also: Final Rule Release Nos.
34-55146;
34-55146A; and
34-56135
|
IC-27600A |
Jan. 4, 2007 |
Investment Company Governance [Correction]
File No.: S7-03-04
Comments Due: March 2, 2007
Comments received
are available
for this proposal.
Federal Register version
Notice of comment deadline
See also:
Release No. IC-27600
|