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SEC Proposed Rules

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
33-8358 Jan. 29, 2004 Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds
File No.:   S7-06-04
Release Nos.:   34-49148; IC-26341
Comments Due:   April 12, 2004
See Also:   Attachments 1 - 5, Form Examples
Comments received electronically are available for this proposal.
* Comment on S7-06-04
34-49104 Jan. 20, 2004 Collection Practices under Section 31 of the Exchange Act
File No.:   S7-05-04
Comments Due:   February 26, 2004
Federal Register PDF
* Comment on S7-05-04
IA-2209 Jan. 20, 2004 Investment Adviser Codes of Ethics
File No.:   S7-04-04
Comments Due:   March 15, 2004
Release No.:   IC-26337
See also: Appendix A: Key Distinctions Between Existing And Proposed Rules
Comments received electronically are available for this proposal.
Federal Register PDF
* Comment on S7-04-04
IC-26323 Jan. 15, 2004 Investment Company Governance
File No.:   S7-03-04
Comments Due:   March 10, 2004
Comments received electronically are available for this proposal.
Federal Register PDF
* Comment on S7-03-04
34-49037 Jan. 8, 2004 Amendments to the Penny Stock Rules
File No.:   S7-02-04
Comments Due:   March 16, 2004
Comments received electronically are available for this proposal.
Federal Register PDF
See also: Exemptive Order Rel. No. 34-49038
* Comment on S7-02-04
33-8347 Dec. 17, 2003 Disclosure of Breakpoint Discounts by Mutual Funds
Release Nos.: Release Nos. 34-48939; IC-26298; File No.:   S7-28-03
Comments Due:   February 13, 2004.
Comments received electronically are available for this proposal.
Federal Register PDF
* Comment on S7-28-03
IC-26288 Dec. 11, 2003 Amendments to Rules Governing Pricing of Mutual Fund Shares
File No.:   S7-27-03
Comments Due:   February 6, 2004.
Comments received electronically are available for this proposal.
Federal Register PDF
* Comment on S7-27-03
33-8343 Dec. 11, 2003 Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
Release No.: IC-26287
File No.:   S7-26-03
Comments Due:   February 6, 2004.
Comments received electronically are available for this proposal.
Federal Register PDF
* Comment on S7-26-03
34-48832 Nov. 23, 2003 Proposed Amendments to the Rules of Practice and Related Provisions
File No.:   S7-25-03
Comments Due:   January 5, 2004
Comments received electronically are available for this proposal.
Federal Register PDF
34-48709 Oct. 29, 2003 Short Sales
File No.:   S7-23-03
Comments Due:   January 5, 2004
Comments received electronically are available for this proposal.
Federal Register PDF
34-48694 Oct. 24, 2003 Supervised Investment Bank Holding Companies
File No.:   S7-22-03
Comments Due:   February 4, 2004
Federal Register PDF
Comments received electronically are available for this proposal.
34-48690 Oct. 24, 2003 Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
File No.:   S7-21-03
Comments Due:   February 4, 2004
Federal Register PDF
Comments received electronically are available for this proposal.
33-8312 Oct. 23, 2003 Exemption from Shareholder Approval for Certain Subadvisory Contracts
Release Nos.:   34-48683, IC-26230
File No.:   S7-20-03
Comments Due:   January 8, 2004
Federal Register PDF
Comments received electronically are available for this proposal.
34-48626 Oct. 14, 2003 Security Holder Director Nominations
Release No.:   IC-26206
File No.:   S7-19-03
Comments Due:   December 22, 2003
Comments received electronically are available for this proposal.
Federal Register PDF
33-8297 Oct. 2, 2003 Fund of Funds Investments
Release No.:   IC-26198;
File No.:   S7-18-03
Comments Due:   December 3, 2003.
Federal Register PDF
Comments received electronically are available for this proposal.
33-8287 Sep. 11, 2003 Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts
Release Nos.:   34-48482, International Series Release No. 1273
File No.:   S7-16-03
Comments Due:   October 17, 2003
Comments received electronically are available for this proposal.
34-48481 Sep. 11, 2003 Foreign Bank Exemption from The Insider Lending Prohibition of Exchange Act
Section 13(k)

Release No.:   International Series Release No. 1272
File No.:   S7-15-03
Comments Due:   October 17, 2003
Comments received electronically are available for this proposal.
34-48301 Aug. 8, 2003 Disclosure Regarding Nominating Committee Functions and Communications between Security Holders and Boards of Directors
Release No.:   IC-26145
File No.:   S7-14-03
Comments Due:   September 15, 2003
Comments received electronically are available for this proposal.
See also: Summary of Comments on this proposal.
34-48036 Jun. 16, 2003 Recordkeeping Requirements for Registered Transfer Agents
File No.:   S7-13-03
Comments Due:   July 21, 2003.
Comments received electronically are available for this proposal.
33-8212 Mar. 21, 2003 Certification of Disclosure in Certain Exchange Act Reports
Release No.: 33-8212, 34-47551, IC-25967
File No.:   S7-06-03
Comments Due:   May 15, 2003
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 33-8238
33-8190 Feb. 12, 2003 Rules of Practice
Release No.: 34-47355; 35-27650; 39-2405; IA-2109; IC-25933
File No.:   S7-04-03
Comments Due:   March 21, 2003
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 33-8240
IC-25925 Feb. 5, 2003 Compliance Programs of Investment Companies and Investment Advisers
Release No.: IA-2107
File No.:   S7-03-03
Comments Due:   April 18, 2003.
Comments received electronically are available for this proposal;
See also: Summary of Comments on this proposal.
33-8186 Jan. 29, 2003 Implementation of Standards of Professional Conduct for Attorneys
Release No.:  IC-25920
File No.:   S7-45-02
Comments Due:   April 7, 2003
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 33-8185
33-8173 Jan. 8, 2003 Standards Relating To Listed Company Audit Committees
Release Nos.: 34-47137; IC-25885
File No.:   S7-02-03
Comments Due:   February 18, 2003
Comments received electronically are available for this proposal.
See also: Summary of Comments on this proposal.
Final Rule, Rel. No. 33-8220
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 electronically are available for this proposal.
Summary of Comments on this proposal
See also: Final Rule, Rel. No. 33-8230
IC-25870 Dec. 18, 2002 Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
Release Nos.: 33-8164; 34-47023
File No.:   S7-51-02
Comments Due:   February 14, 2003
Comments received electronically 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 electronically 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 electronically 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 electronically 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 electronically 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 electronically 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 electronically 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 electronically 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 electronically 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
Comments Due:   December 9, 2002
Comments received electronically 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 electronically 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 electronically 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 electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-47890
IA-2059 Sep. 20, 2002 Proxy Voting by Investment Advisers
File No.:   S7-38-02
Comments Due:   December 6, 2002.
Comments received electronically 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 electronically 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 electronically are available for this proposal.
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 electronically 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 electronically 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
Release 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 electronically 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 electronically 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 electronically are available for this proposal.
See also: Final Rule, Rel. No. IC-26031
34-46192 Jul. 12, 2002 Customer Identification Programs For Broker-Dealers
Release No.: File No.:   S7-25-02
Comments Due:   September 6, 2002.
Comments received electronically 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 electronically 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 electronically are available for this proposal.
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 electronically 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
Release No.: File No.:   S7-20-02
Comments Due:   July 25, 2002.
Comments received electronically 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 electronically 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 electronically 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 electronically 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 No.:   34-45907
Comments Due:   July 19, 2002.
Comments received electronically 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 electronically 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 electronically 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 electronically 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 electronically 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 electronically 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 electronically 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
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 electronically 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 electronically 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 electronically 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
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 electronically 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 electronically 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 electronically 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 electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-45956
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
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.
IC-24775 Nov. 29, 2000 Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
File No.:   S7-20-00
Comments Due:   45 days after publication in the Federal Register
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. IC-25560
34-43401 Oct. 2, 2000 Processing Requirements for Cancelled Security Certificates
File No.:   S7-18-00
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
33-7883 Aug. 29, 2000 Extension of time period to submit materials for public hearing on September 20, 2000; location of hearings: Revision of the Commission's Auditor Independence Requirements.
Reference:   Rel. No. 34-43219
File No.:   S7-13-00
Comments Due:   45 days after publication in the Federal Register
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 33-7919
34-43085 Jul. 28, 2000 Firm Quote and Trade-Through Disclosure Rules for Options
File No.:   S7-17-00
Comments Due:   45 days after publication in the Federal Register
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44852;
Rule, Rel. No. 34-45654
34-43084 Jul. 28, 2000 Disclosure of Order Routing and Execution Practices
File No.:   S7-16-00
Comments Due:   September 22, 2000
Comments received electronically are available for this proposal.
See also: Final Rules, Rel. Nos. 34-44060 and 34-43590
34-42994 Jun. 30, 2000 Revision of the Commission's Auditor Independence Requirements
Reference:   Rel. Nos. 33-7870, 35-27193, IC-24549, IA-1884
File No.:   S7-13-00
Comments Due:   September 25, 2000
Comments received electronically are available for this proposal.
Additional materials are available for this release:
  Final Rule, Rel. No. 33-7919
  Proposed Rule, Rel. No. 33-7883
   3rd Hearing/Day 2 Testimony (testimony), September 21, 2000;
   3rd Hearing/Day 1 Testimony (testimony), September 20, 2000;
   Public Testimony (text submitted by speakers) on the issues, September 21, September 20, September 13, 2000 and July 26, 2000
   2nd Hearing Testimony (testimony), September 13, 2000;
   Notice of Hearings, July 7, 2000;
   Hearing Testimony (testimony), July 26, 2000;
   Notice of Additional Hearings, August 10, 2000;
   Notice of Extension of deadline to submit testimony for additional hearings, August 30, 2000)
34-42755 May 4, 2000 Options Price Reporting Authority; Proposed Amendments to National Market System Plan
File No.:   4-434
Comments Due:   30 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-42741 May 2, 2000 Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers
File No.:   S7-12-00
Comments Due:   June 7, 2000
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44494
34-42620 Apr. 5, 2000 Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV
Reference:   Rel. No. IA-1862
File No.:   S7-10-00
Comments Due:   June 13, 2000
Comments received electronically are available for this proposal.
Additional materials are available for this release:
  Final Rules, Rel. Nos. 34-48167 and IA-1897    Summary of Comments on Electronic Filing and Proposed Amendments to Form ADV
33-7815 Mar. 21, 2000 Proposed rule; extension of comment period
Reference:   Rel. Nos. 34-42552, IC-24343
File No.:   S7-31-99
Comments Due:   April 28, 2000
See also: Final Rule, Rel. No. 33-7881
Proposed Rule, Rel. No. 34-42259
33-7809 Mar. 15, 2000 Disclosure of Mutual Fund After-Tax Returns
Reference:   Rel. Nos. 34-42528, IC-24339
File No.:   S7-09-00
Comments Due:   June 30, 2000
Comments received electronically are available for this proposal.
See also: Final Rules, Rel. Nos. 33-8010 and 33-7941
34-42484 Mar. 2, 2000 Privacy of Consumer Financial Information (Regulation S-P)
Reference:   Rel. Nos. IC-24326, IA-1856
File No.:   S7-6-00
Comments Due:   March 31, 2000
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-42974
34-42462 Feb. 25, 2000 Rulemaking for EDGAR System
Reference:   Rel. Nos. 33-7803, 35-27142, 39-2382, IC-24319
File No.:   S7-05-00
Comments Due:   April 3, 2000
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 33-7855
34-42354 Jan. 21, 2000 Supplementary Financial Information
Reference:   Rel. No. 33-7793
File No.:   S7-03-00
Comments Due:   by April 17, 2000
Comments received electronically are available for this proposal.
34-42259 Dec. 20, 1999 Selective Disclosure and Insider Trading
Reference:   Rel. Nos. 33-7787, IC-24209
File No.:   S7-31-99
Comments Due:   March 29, 2000
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 33-7881
Proposed Rule, Rel. No. 33-7815
34-42209 Dec. 9, 1999 Unlisted Trading Privileges
File No.:   S7-29-99
Comments Due:   January 31, 2000
Comments received electronically are available for this proposal.
33-7767 Nov. 5, 1999 Delivery of Proxy and Information Statements to Households
Reference:   Rel. Nos. 34-42102, IC-24124
File No.:   S7-26-99
Comments Due:   January 18, 2000
Comments received electronically are available for this proposal.
34-42099 Nov. 4, 1999 Certain Broker-Dealers Deemed Not To Be Investment Advisers
Reference:   Rel. No. IA-1845
File No.:   S7-25-99
Comments Due:   January 14, 2000
Comments received electronically are available for this proposal.
34-42007 Oct. 15, 1999 Role of Independent Directors of Investment Companies
Reference:   Rel. No. IC-24082
File No.:   S7-23-99
Comments Due:   January 28, 2000
Comments received electronically are available for this proposal.
Additional Materials are available for this release:
   Summary of Comments received
34-41987 Oct. 8, 1999 Audit Committee Disclosure
File No.:   S7-22-99
Comments Due:   45 days after date of publication in the Federal Register
Comments received electronically are available for this proposal.
IC-24050 Sep. 23, 1999 Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
File No.:   S7-21-99
Comments Due:   November 23, 1999
IA-1812 Aug. 4, 1999 Political Contributions by Certain Investment Advisers
File No.:   S7-19-99
Comments Due:   November 1, 1999
Comments received electronically are available for this proposal.
34-41644 Jul. 23, 1999 Exemption of the Securities of the Republic of Portugal under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
File No.:   S7-18-99
Comments Due:   thirty days after publication in the Federal Register
34-41442 May 25, 1999 Recordkeeping Requirements for Transfer Agents
File No.:   S7-17-99
Comments Due:   July 2, 1999
Comments received electronically are available for this proposal.
34-41204 May 11, 1999 Revised Transfer Agent Form and Related Rule
File No.:   S7-11-99
Comments Due:   45 days after date of publication in the Federal Register
Comments received electronically are available for this proposal.
IC-23815 Apr. 30, 1999 Custody of Investment Company Assets Outside the United States
Reference:   Rel. No. IS-1194
File No.:   S7-15-99
Comments Due:   July 15, 1999
Comments received electronically are available for this proposal.
34-41351 Apr. 30, 1999 Broker-Dealer Registration and Reporting
(Appendix; File name: 3441351a.txt)
File No.:   S7-16-99
Comments Due:   May 30, 1999
Comments received electronically are available for this proposal.
Additional material is available for this release:
   Proposed Form BD in Adobe Acrobat format
34-41288 Apr. 14, 1999 Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
Reference:   Rel. No. FOIA-190, PA- 27
File No.:   S7-14-99
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-41261 Apr. 8, 1999 Extension of Comment Period: Reproposed Rule: Publication or Submission of Quotations Without Specified Information
Reference:   Rel. No. 34-41110
File No.:   S7-5-99
Comments Due:   May 8, 1999
33-7659 Mar. 24, 1999 Extension of Comment Period: The Regulation of Securities Offerings
File No.:   S7-30-98
Comments Due:   June 30, 1999
33-7656 Mar. 19, 1999 Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
File No.:   S7-10-99
Comments Due:   May 28, 1999
Comments received electronically are available for this proposal.
33-7653 Mar. 10, 1999 Rulemaking for EDGAR System (changes for EDGAR modernization)
Reference:   Rel. Nos. 34-41150, IC-23735
File No.:   S7-9-99
Comments Due:   April 15, 1999
Comments received electronically are available for this proposal.
34-41142 Mar. 8, 1999 Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance
File No.:   S7-8-99
Comments Due:   30 days after publication in Federal Register
Comments received electronically are available for this proposal.
34-41110 Mar. 2, 1999 Publication or Submission of Quotations Without Specified Information
File No.:   S7-5-99
Comments Due:   30 days after publication in Federal Register
Comments received electronically are available for this proposal.
33-7649 Mar. 1, 1999 Financial Statements and Periodic Reports for Related Issuers and Guarantors
Reference:   Rel. Nos. 34-41118, International Series No. 1187
File No.:   S7-7-99
Comments Due:   May 4, 1999
Comments received electronically are available for this proposal.
33-7647 Feb. 26, 1999 Proposed Rule; Extension of Comment Period and Further Request for Comment, on Registration of Securities on Form S-8
File No.:   S7-2-98
Comments Due:   May 7, 1999
33-7637 Feb. 2, 1999 International Disclosure Standards
Reference:   Rel. Nos. 34-41014, International Series Release No. 1182
File No.:   S7-3-99
Comments Due:   April 12, 1999
Comments received electronically are available for this proposal.
Correction available for this proposal.
IA-1787 Feb. 2, 1999 Transition Rule for Ohio Investment Advisers
File No.:   S7-2-99
Comments Due:   March 8, 1999
Comments received electronically are available for this proposal.
IC-23588 Dec. 4, 1998 Deregistration of Certain Registered Investment Companies
File No.:   S7-31-98
Comments Due:   February 5, 1999
Additional material is available for this release:
23588f.doc (Word),
23588f.pdf (use Adobe Acrobat® reader to view file)
33-7611 Nov. 13, 1998 Cross-Border Tender Offers, Business Combinations and Rights Offerings
File No.:   S7-29-98
Comments Due:   60 days after publication in Federal Register
Comments received electronically are available for this proposal.
33-7606A Nov. 13, 1998 The Regulation of Securities Offerings
File names: 337606a1.txt, 337606a2.txt, and 337606a3.txt (three large ASCII text files) or 337606a.zip (PKZip archive containing three WordPerfect 5.1+ files and two MS Excel 5.0 worksheets)
File No.:   S7-30-98
Comments Due:   April 5, 1999
Comments received electronically are available for this proposal.
(NOTE: Comments deadline extended to June 30, 1999; see Rel. No. 33-7659.)
34-40643 Nov. 5, 1998 Extension of Comment Period: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.:   S7-26-98
Comments Due:   extended to December 9, 1998
33-7607 Nov. 3, 1998 Regulation of Takeovers and Security Holder Communications
File names: 33-7607a.htm, 33-7607b.htm (two HTML files),
33-7607a.doc, 33-7607b.doc (two MS Word files)
File No.:   S7-28-98
Comments Due:   April 5, 1999
Comments received electronically are available for this proposal.
34-40617 Oct. 29, 1998 Purchases of Certain Equity Securities by the Issuer and Others
File No.:   S7-27-98
Comments Due:   30 days after publication in Federal Register
Comments received electronically are available for this proposal.
34-40518 Oct. 2, 1998 Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.:   S7-26-98
Comments Due:   November 9, 1998
Comments received electronically are available for this proposal.
(NOTE: Comments deadline extended to December 9, 1998; see Rel. No. 34-40643, above.)
34-40386 Aug. 31, 1998 Processing of Reorganization Events, Tender Offers, and Exchange Offers
File No.:   S7-25-98
Comments Due:   60 days after publication in Federal Register
Comments received electronically are available for this proposal.
34-40364 Aug. 26, 1998 Rules of Practice; Amendments to Rules 210 and 221
File No.:   S7-23-98
Comments Due:   30 days after publication in the Federal Register
34-40260 Jul. 24, 1998 Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System Plan ("ITS") to Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities and to Eliminate the Unanimous Vote Provision
File No.:   4-208
Comments Due:   30 days after publication in the Federal Register
Comments received electronically are available for this proposal.
IC-23325 Jul. 22, 1998 Temporary Exemption for Certain Investment Advisers
File No.:   S7-22-98
Comments Due:   September 30, 1998
Comments received electronically are available for this proposal.
33-7555 Jul. 15, 1998 Extension of Comment Period: Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
File No.:   S7-16-98
Comments Due:   extended to August 20, 1998
Comments received electronically are available for this proposal.
34-40204 Jul. 15, 1998 Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS") Plan To Link the PCX Applications of the OptiMark System to the ITS System
File No.:   4-208
Comments Due:   30 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-40165 Jul. 2, 1998 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
File No.:   S7-8-98
Comments Due:   August 12, 1998
Comments received electronically are available for this proposal.
34-40164 Jul. 2, 1998 Reports to be Made by Certain Brokers and Dealers
File No.:   S7-7-98
Comments Due:   August 12, 1998
Comments received electronically are available for this proposal.
IA-1728 Jun. 30, 1998 Investment Adviser Year 2000 Reports
File No.:   S7-20-98
Comments Due:   August 10, 1998
Comments received electronically are available for this proposal.
33-7550 Jun. 25, 1998 Options Disclosure Document
File No.:   S7-19-98
Comments Due:   July 31, 1998
34-40129 Jun. 25, 1998 Amendment to Rule 9b-1 under the Securities Exchange Act Relating to the Options Disclosure Document
File No.:   S7-18-98
Comments Due:   July 31, 1998
33-7549; Jun. 25, 1998 Segment Reporting
File No.:   S7-17-98
Comments Due:   July 31, 1998
Comments received electronically are available for this proposal.
34-40089 Jun. 12, 1998 Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
Reference:   Rel. Nos. 33-7546, 35-26884, 39-2364, IA-1726, IC-23250
File No.:   S7-16-98
Comments Due:   July 20, 1998
Comments received electronically are available for this proposal.
(NOTE: Comments deadline extended to August 20, 1998; see Rel. No. 33-7555, above.)
34-40077 Jun. 8, 1998 Exemption of the Securities of the Kingdom of Belgium under the Securities Exchange Act of 1934 for Purposes of Trading Future Contracts on Those Securities
File No.:   S7-15-98
Comments Due:   July 15, 1998
33-7541 May 21, 1998 Proposed Revision of Rule 504 of Regulation D, the "Seed Capital" Exemption
File No.:   S7-14-98
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-39885 Apr. 17, 1998 Proposed Amendment to Rule 19b-4 under the Securities Exchange Act of 1934
File No.:   S7-13-98
Comments Due:   30 days after publication in the Federal Register
(NOTE: This is a ZIPped MS Word 6.0 file; use PKZip to decompress)
34-39884 Apr. 17, 1998 Regulation of Exchanges and Alternative Trading Systems
File No.:   S7-12-98
Comments Due:   90 days after publication in the Federal Register
Comments received electronically are available for this proposal.
(NOTE: This is a set of ZIPped MS Word 6.0 files; use PKZip to decompress)
34-39859 Apr. 14, 1998 Proposed Rule; Extension of Comment Period: Year 2000 Readiness Reports To Be Made by Transfer Agents
File No.:   S7-8-98
Comments Due:   extended to April 27, 1998
34-39858 Apr. 14, 1998 Proposed Rule; Extension of Comment Period: Reports To Be Made by Certain Brokers and Dealers
File No.:   S7-7-98
Comments Due:   extended to April 27, 1998
33-7514 Mar. 13, 1998 Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trust that Offer Variable Life Insurance Policies
File names [2]: 33-7514r.htm 33-7514f.htm
File No.:   S7-9-98
Comments Due:   July 1, 1998
(NOTE: text of Form N-6 added, 3-23-98)Additional materials are available for this release:
   Summary of Comments
   on Proposed Form N-6, Registration
   Form for Insurance Company
   Separate Accounts Registered
   as Unit Investment Trusts That
    Offer Variable Life Insurance
    Policies
34-39726 Mar. 5, 1998 Year 2000 Readiness Reports To Be Made by Transfer Agents
File No.:   S7-8-98
Comments Due:   date extended; see April 14, 1998 release
Comments received electronically are available for this proposal.
34-39724 Mar. 5, 1998 Reports To Be Made by Certain Brokers and Dealers
File No.:   S7-7-98
Comments Due:   date extended; see April 14, 1998 release
Comments received electronically are available for this proposal.
33-7511 Feb. 17, 1998 Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements
File No.:   S7-5-98
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-39704 Feb. 17, 1998 Proposed Rules; Concept Release; Extension of Comment Period
Reference:   Rel. Nos. 34-39454, 33-39455, 34-39456
File Nos.:   S7-30-97, S7-31-97, S7-32-97
Comments Due:   April 6, 1998 for Rel. 34-39454; May 4, 1998 for Rel. 33-39455; and May 4, 1998 for Rel. 34-39456
34-39670 Feb. 17, 1998 Publication or Submission of Quotations Without Specified Information
File No.:   S7-3-98
Comments Due:   60 days after publication in the Federal Register
33-7506 Feb. 17, 1998 Registration of Securities on Form S-8
File No.:   S7-2-98
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
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.
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.
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
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
IA-1601   Proposed Rule: Rules Implementing Amendments to the Investment Advisers Act of 1940
File No.:   S7-31-96
Comments received electronically are available for this proposal.
(Note: Form ADV-T can be obtained from our Public Reference Room; call 202-942-8090)
IC-22405 Dec. 18, 1996 Proposed Rule: Private Investment Companies
File No.:   S7-30-96
Comments Due:   February 10, 1997
Comments received electronically are available for this proposal.
33-7371 Dec. 10, 1996 Proposed Rule: Technical Revisions to the Rules and Forms Regulating Money Market Funds (Rule 2a-7)
File No.:   S7-29-96
Comments Due:   January 24, 1997
Comments received electronically are available for this proposal.
33-7369 Dec. 6, 1996 Proposed Rule: Rulemaking for the EDGAR System
File No.:   S7-28-96
Comments Due:   30 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-37850 Oct. 22, 1996 Proposed Rule: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.:   S7-27-96
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
33-7356 Oct. 10, 1996 Proposed Rule: Offshore Press Conference, Meetings with Company RepresentativesConducted Offshore, and Press-Related Materials Released Offshore
File No.:   S7-26-96
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
IC-22203 Sep. 10, 1996 Proposed Rule: Rule Amendments Relating to Multiple Class and Series Investment Companies (TEXT REVISED 9-16-96)
File No.:   S7-24-96
Comments Due:   60 days after publication in the Federal Register
33-7326 Aug. 30, 1996 Proposed Rule: Expansion of Short-Form Registration to Include Companies withNon-voting Common Equity
File No.:   S7-23-96
Comments Due:   30 days after publication in the Federal Register
34-37620 Aug. 29, 1996 Proposed Amendment to Rule 11Ac1-1
File No.:   S7-22-96
Comments Due:   60 days after publication inthe Federal Register
34-37595 Aug. 22, 1996 Proposed Rule: Lost Securityholders
File No.:   S7-21-96
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-37594 Aug. 22, 1996 Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934
File No.:   S7-20-96
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
34-37432 Jul. 12, 1996 Proposed Rule: Broker-Dealer Registration and Reporting
File No.:   S7-17-96
Comments Due:   30 days after publication in the Federal Register
34-37403 Jul. 5, 1996 Reproposed Rules: Amendments to Beneficial Ownership Reporting Requirements
File No.:   S7-16-96
Comments Due:   60 days after publication in the Federal Register
File name REVISED 7-16-96
33-7301 May 31, 1996 Proposed Rule: Phase Two Recommendations of Task Force on Disclosure Simplification
File No.:   S7-15-96
Comments Due:   45 days after publicationin the Federal Register
Comments received electronically are available for this proposal.
33-7283 Apr. 19, 1996 Proposed Rule: Odd-Lot Tender Offers by Issuers
File No.:   S7-12-96
Comments Due:   30 days after publication in the Federal Register
Comments received electronically are available for this proposal.
33-7282 Apr. 11, 1996 Proposed Rule: Trading Practices Rules Concerning Securities Offerings
File No.:   S7-11-96
Comments Due:   60 days after publication in the Federal Register
Comments received electronically are available for this proposal.
33-7281 Apr. 9, 1996 Extension of Comment Period: Proposed Amendments to RequireDisclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
File No.:   S7-35-95
Comments Due:   May 20, 1996
33-7280 Apr. 9, 1996 Proposed Rule: Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instrument, Other Financial Instruments, and Derivative Commodity Instruments
File No.:   S7-10-96
Comments Due:   May 20, 1996
IC-21838 Mar. 21, 1996 Proposed Rule: Exemption for the Acquisition of Securities During the Existence of an Underwriting
File No.:   S7-7-96
Comments Due:   June 3, 1996
34-36980 Mar. 15, 1996 Notice of Filing of Proposed Rule Change by the NASD Relating to Regulating the Conduct of Broker/Dealers Operating on the Premises of a Financial Institution
File No.:   SR-NASD-95-63
34-36720 Jan. 16, 1996 Proposed Rule/Extension of Comment Period: NAqcess System
Reference:   Rel. No. 34-36718
File No.:   SR-NASD-95-42
Comments Due:   January 26, 1996
33-7253 Jan. 11, 1996 Calculation of Yield by Unit Investment Trusts: Proposed amendments to rules and forms; extension of comment period
File No.:   S7-32-95
Comments Due:   March 29, 1996
33-7250 Dec. 28, 1995 Proposed amendments to require disclosure of accounting policies for derivatives
Reference:   Rel. Nos. 34-36643, IC-21625
File No.:   S7-35-95
34-36548 Dec. 1, 1995 Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to NAqcess System and Accompanying Rules of Fair Practice
File No.:   SR-NASD-95-42
33-7242 Nov. 22, 1995 Calculation of Yield by Certain Unit Investment Trusts
File No.:   S7-32-95
IC-21398 Oct. 5, 1995 Custody of Investment Company Assets Outside the United States -- Extension of Comment Period; Action: Proposed rule amendments and request for comment; extension of comment period. 17CFR 270
File No.:   S7-23-95
RIN 3235-AE98
33-7212 Sep. 8, 1995 Proposed Rule: Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters (Rule 17j-1)
File No.:   S7-25-95
Comments Due:   November 13, 1995
Comments received electronically are available for this proposal.
IC-21260 July 27, 1995 Status of Investment Advisory Programs under the Investment Company Act of 1940
Reference:   Rel. No. IA-1510
IC-21259 Jul. 27, 1995 Custody of Investment Company Assets Outside the United States
Reference:   Rel. No. International Series Rel. No. 831
File No.:   S7-23-95
IC-21217 Jul. 19, 1995 Money Market Fund Quarterly Reporting
Reference:   Rel. No. 34-35991
File No.:   S7-22-95
33-7196 Jul. 19, 1995 Money Market Fund Prospectuses
Reference:   Rel. No. IC-21216
33-7183 Jun. 27, 1995 Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934
Reference:   Rel. Nos. 34-35893, IC-21166
33-7184 Jun. 27, 1995 Streamlining and Consolidation of Executive and Director Compensation Disclosure
Reference:   Rel. No. 34-35894
File No.:   S7-14-95
Comments Due:   September 8, 1995
Comments received electronically are available for this proposal.
33-7188 Jun. 27, 1995 Solicitations of Interest Prior to an Initial Public Offering
34-34923   Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others
Reference:   Rel. Nos. 33-7106, IC-20670
35-26312 Jun. 20, 1995 Exemption of Issuance and Sale of Securities By Public-Utility and Non-Utility Subsidiary Companies of Registered Public-Utility Holding Companies
35-26313 Jun. 20, 1995 Exemption of Acquisition By Registered Public Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies
34-35375 Feb. 14, 1995 Disclosure by Investment Advisers Regarding Soft Dollar Practices
Reference:   Rel. No. IA-1469
File No.:   S7-5-95
34-35323 Feb. 2, 1995 Unlisted Trading Privileges
File No.:   S7-4-95
33-7133 Feb. 1, 1995 Registration Fees for Certain Investment Companies
Reference:   Rel. No. IC-20874
File No.:   S7-3-95
34-35040 Dec. 1, 1994 Proposed Amendments to the Transfer Agent Rules
File No.:   S7-35-94
34-34903 Oct. 27, 1994 Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices
34-34753 Sep. 29, 1994 Customer Limit Orders
File No.:   S7-28-94
Comments received electronically are available for this proposal.

 

http://www.sec.gov/rules/proposed.shtml

Modified: 05/23/2018