33-8010, 34-44850, IC-25175
Sept. 26, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date Rel. No. 33-7809 , and comments Federal Register version (66 FR 50102)
33-8010, 34-44850, IC-25175
Sept. 26, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date Rel. No. 33-7809 , and comments Federal Register version (66 FR 50102)
34-44852, 34-43591, 34-43085
Sept. 26, 2001
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Rel. No. 34-45654 , Rel. No. 34-43085 , and comments Federal Register version (66 FR 50103)
34-44852, 34-43591, 34-43085
Sept. 26, 2001
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Rel. No. 34-45654 , Rel. No. 34-43085 , and comments Federal Register version (66 FR 50103)
34-44852, 34-43591, 34-43085
Sept. 26, 2001
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Rel. No. 34-45654 , Rel. No. 34-43085 , and comments Federal Register version (66 FR 50103)
34-44852, 34-43591, 34-43085
Sept. 26, 2001
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Rel. No. 34-45654 , Rel. No. 34-43085 , and comments Federal Register version (66 FR 50103)
33-8010, 34-44850, IC-25175
Sept. 26, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date Rel. No. 33-7809 , and comments Federal Register version (66 FR 50102)
33-8010, 34-44850, IC-25175
Sept. 26, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date Rel. No. 33-7809 , and comments Federal Register version (66 FR 50102)
34-44852, 34-43591, 34-43085
Sept. 26, 2001
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Rel. No. 34-45654 , Rel. No. 34-43085 , and comments Federal Register version (66 FR 50103)
34-44852, 34-43591, 34-43085
Sept. 26, 2001
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Rel. No. 34-45654 , Rel. No. 34-43085 , and comments Federal Register version (66 FR 50103)
33-8010, 34-44850, IC-25175
Sept. 26, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date Rel. No. 33-7809 , and comments Federal Register version (66 FR 50102)
33-8010, 34-44850, IC-25175
Sept. 26, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date Rel. No. 33-7809 , and comments Federal Register version (66 FR 50102)
33-8007
Sept. 24, 2001
Adoption of Updated EDGAR Filer Manual Federal Register version (66 FR 49829)
34-44730
Aug. 21, 2001
S7-13-01
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 Form BD-N , Rel. No. 34-44455 , and comments Federal Register version (66 FR 45137)
34-44724
Aug. 20, 2001
S7-11-01
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule Rel. Nos. 34-44475 , 34-44288 , and comments Federal Register version (66 FR 44490)
34-44724
Aug. 20, 2001
S7-11-01
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule Rel. Nos. 34-44475 , 34-44288 , and comments Federal Register version (66 FR 44490)
34-44691
Aug. 13, 2001
Delegation of Authority to the Director of the Division of Market Regulation Federal Register version (66 FR 43719)
34-44692
Aug. 13, 2001
S7-10-01
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations Comments Due: Form 1-N , Form 19b-7 , Rel. No. 34-44279 , and comments Federal Register version (66 FR 43721)
33-7999
Aug. 7, 2001
Adoption of Updated EDGAR Filer Manual Federal Register version (66 FR 42941)
34-44626
July 31, 2001
Delegation of Authority to the Director of the Division of Market Regulation Federal Register version (66 FR 40885)
IC-25058, IC-24050
July 5, 2001
S7-21-99
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities Federal Register version (66 FR 36156)
IC-25058, IC-24050
July 5, 2001
S7-21-99
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities Federal Register version (66 FR 36156)
34-44494
June 29, 2001
S7-12-00
Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers Rel. No. 34-42741 , and comments Federal Register version (66 FR 35835)
33-7983, 34-44406, IA-1249
June 12, 2001
S7-03-99
International Disclosure Standards; Correction Federal Register version (66 FR 32538)
33-7983, 34-44406, IA-1249
June 12, 2001
S7-03-99
International Disclosure Standards; Correction Federal Register version (66 FR 32538)
33-7983, 34-44406, IA-1249
June 12, 2001
S7-03-99
International Disclosure Standards; Correction Federal Register version (66 FR 32538)
34-44397
June 7, 2001
Delegation of Authority to the Director of the Division of Market Regulation Federal Register version (66 FR 31839)
IC-24991, IA-1945
May 24, 2001
S7-06-01
Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction Rel. No. IC-24890 , and comments Federal Register version (66 FR 30311)
IC-24991, IA-1945
May 24, 2001
S7-06-01
Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction Rel. No. IC-24890 , and comments Federal Register version (66 FR 30311)
35-27404
May 24, 2001
S7-07-01
Electronic Recordkeeping by Public Utility Holding Companies Rel. No. 35-27357 , and comments Federal Register version (66 FR 29471)
34-44291
May 11, 2001
S7-12-01
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 Comments Due: View Received Comments Order Extending Temporary Exemption and Notice of Intent to Amend Rules , and Extension of Comment Period , also Order Extending Temporary Exemption and Notice of Intent to Amend Rules , 34-46751 , Notice of Intent to Amend Rules , of the Securities Exchange Act of 1934 , Bank Dealer Compliance Guide , of the Securities Exchange Act of 1934 , Comments received electronically are available , summary of comments , 34-44291 Federal Register version (66 FR 27759) Note: Also Available in PDF Format: 34-44291
34-44291
May 11, 2001
S7-12-01
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 Comments Due: View Received Comments Order Extending Temporary Exemption and Notice of Intent to Amend Rules , and Extension of Comment Period , also Order Extending Temporary Exemption and Notice of Intent to Amend Rules , 34-46751 , Notice of Intent to Amend Rules , of the Securities Exchange Act of 1934 , Bank Dealer Compliance Guide , of the Securities Exchange Act of 1934 , Comments received electronically are available , summary of comments , 34-44291 Federal Register version (66 FR 27759) Note: Also Available in PDF Format: 34-44291
34-44227, 34-41442
April 27, 2001
57-17-99
Recordkeeping Requirements for Transfer Agents Federal Register version (66 FR 21648)
34-44227, 34-41442
April 27, 2001
57-17-99
Recordkeeping Requirements for Transfer Agents Federal Register version (66 FR 21648)
34-44078
March 15, 2001
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Federal Register version (66 FR 15792)
34-44078
March 15, 2001
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Federal Register version (66 FR 15792)
34-44079
March 15, 2001
Delegation of Authority to the Director of the Division of Market Regulation Federal Register version (66 FR 15791)
34-44060
March 9, 2001
S7-16-00
Disclosure of Order Execution and Routing Practices View Received Comments Rel. No. 34-43084 , and comments Federal Register version (66 FR 15028)
34-44060
March 9, 2001
S7-16-00
Disclosure of Order Execution and Routing Practices Rel. No. 34-43084 , and comments Federal Register version (66 FR 15028)
IC-24828A
March 8, 2001
S7-11-97
Investment Company Names; Correction Federal Register version (66 FR 14828)
33-7959, IC-24886
March 5, 2001
Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities Federal Register version (66 FR 14071)
33-7959, IC-24886
March 5, 2001
Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities Federal Register version (66 FR 14071)
33-7959, IC-24886
March 5, 2001
Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities Federal Register version (66 FR 14071)
33-7959, IC-24886
March 5, 2001
Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities Federal Register version (66 FR 14071)
33-7932A, 34-43786A, IC-24816A
Feb. 27, 2001
S7-23-99
Role of Independent Directors of Investment Companies; Correction Federal Register version (66 FR 13234)
33-7932A, 34-43786A, IC-24816A
Feb. 27, 2001
S7-23-99
Role of Independent Directors of Investment Companies; Correction Federal Register version (66 FR 13234)
33-7932A, 34-43786A, IC-24816A
Feb. 27, 2001
S7-23-99
Role of Independent Directors of Investment Companies; Correction Federal Register version (66 FR 13234)
34-43985
Feb. 21, 2001
Delegation of Authority to the Director of the Division of Market Regulation Federal Register version (66 FR 11536)
33-7943
Jan. 26, 2001
S7-30-98
Integration of Abandoned Offerings Federal Register version (66 FR 8887)
33-7943
Jan. 26, 2001
S7-30-98
Integration of Abandoned Offerings Federal Register version (66 FR 8887)
33-7941, 34-43857, IC-24832
Jan. 18, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns Frequently Asked Questions About Mutual Fund After-Tax Return Requirements , Rel. No. 33-7809 , and comments Federal Register version (66 FR 9001) Note: Additional material is available for this release: Frequently Asked Questions About Mutual Fund After-Tax Return Requirements Final Rule, Rel. No. 33-8010 ; Proposed Rule, Rel. No. 33-7809 and comments
33-7941, 34-43857, IC-24832
Jan. 18, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns Frequently Asked Questions About Mutual Fund After-Tax Return Requirements , Rel. No. 33-7809 , and comments Federal Register version (66 FR 9001) Note: Additional material is available for this release: Frequently Asked Questions About Mutual Fund After-Tax Return Requirements Final Rule, Rel. No. 33-8010 ; Proposed Rule, Rel. No. 33-7809 and comments
33-7941, 34-43857, IC-24832
Jan. 18, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns Frequently Asked Questions About Mutual Fund After-Tax Return Requirements , Rel. No. 33-7809 , and comments Federal Register version (66 FR 9001) Note: Additional material is available for this release: Frequently Asked Questions About Mutual Fund After-Tax Return Requirements Final Rule, Rel. No. 33-8010 ; Proposed Rule, Rel. No. 33-7809 and comments
33-7941, 34-43857, IC-24832
Jan. 18, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns Frequently Asked Questions About Mutual Fund After-Tax Return Requirements , Rel. No. 33-7809 , and comments Federal Register version (66 FR 9001) Note: Additional material is available for this release: Frequently Asked Questions About Mutual Fund After-Tax Return Requirements Final Rule, Rel. No. 33-8010 ; Proposed Rule, Rel. No. 33-7809 and comments
33-7941, 34-43857, IC-24832
Jan. 18, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns Frequently Asked Questions About Mutual Fund After-Tax Return Requirements , Rel. No. 33-7809 , and comments Federal Register version (66 FR 9001) Note: Additional material is available for this release: Frequently Asked Questions About Mutual Fund After-Tax Return Requirements Final Rule, Rel. No. 33-8010 ; Proposed Rule, Rel. No. 33-7809 and comments
33-7941, 34-43857, IC-24832
Jan. 18, 2001
S7-09-00
Disclosure of Mutual Fund After-Tax Returns Frequently Asked Questions About Mutual Fund After-Tax Return Requirements , Rel. No. 33-7809 , and comments Federal Register version (66 FR 9001) Note: Additional material is available for this release: Frequently Asked Questions About Mutual Fund After-Tax Return Requirements Final Rule, Rel. No. 33-8010 ; Proposed Rule, Rel. No. 33-7809 and comments
33-7933, 34-43843, 35-27338, 39-2388, IC-24827
Jan. 17, 2001
Adoption of Updated EDGAR Filer Manual Federal Register version (66 FR 8764)
33-7933, 34-43843, 35-27338, 39-2388, IC-24827
Jan. 17, 2001
Adoption of Updated EDGAR Filer Manual Federal Register version (66 FR 8764)
33-7933, 34-43843, 35-27338, 39-2388, IC-24827
Jan. 17, 2001
Adoption of Updated EDGAR Filer Manual Federal Register version (66 FR 8764)
33-7933, 34-43843, 35-27338, 39-2388, IC-24827
Jan. 17, 2001
Adoption of Updated EDGAR Filer Manual Federal Register version (66 FR 8764)
IC-24828, IC-22530
Jan. 17, 2001
S7-11-97
Investment Company Names Federal Register version (66 FR 8509) Note: Additional material is available for this release: Frequently Asked Questions about Rule 35d-1 (Investment Company Names) (https://www.sec.gov/divisions/investment/guidance/rule35d-1faq.htm
33-7933, 34-43843, 35-27338, 39-2388, IC-24827
Jan. 17, 2001
Adoption of Updated EDGAR Filer Manual Federal Register version (66 FR 8764)
IC-24828, IC-22530
Jan. 17, 2001
S7-11-97
Investment Company Names Federal Register version (66 FR 8509) Note: Additional material is available for this release: Frequently Asked Questions about Rule 35d-1 (Investment Company Names) (https://www.sec.gov/divisions/investment/guidance/rule35d-1faq.htm
33-7932, 34-42007, 34-43786, IC-24816
Jan. 2, 2001
S7-23-99
Role of Independent Directors of Investment Companies Federal Register version (66 FR 3733)
33-7932, 34-42007, 34-43786, IC-24816
Jan. 2, 2001
S7-23-99
Role of Independent Directors of Investment Companies Federal Register version (66 FR 3733)
33-7932, 34-42007, 34-43786, IC-24816
Jan. 2, 2001
S7-23-99
Role of Independent Directors of Investment Companies Federal Register version (66 FR 3733)
33-7932, 34-42007, 34-43786, IC-24816
Jan. 2, 2001
S7-23-99
Role of Independent Directors of Investment Companies Federal Register version (66 FR 3733)
IA-1916, 34-43758
Dec. 21, 2000
S7-10-00
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments Federal Register version (65 FR 81737)
IA-1916, 34-43758
Dec. 21, 2000
S7-10-00
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments Federal Register version (65 FR 81737)
IA-1916, 34-43758
Dec. 21, 2000
S7-10-00
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments Federal Register version (65 FR 81737)
IA-1916, 34-43758
Dec. 21, 2000
S7-10-00
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments Federal Register version (65 FR 81737)
IA-1916, 34-43758
Dec. 21, 2000
S7-10-00
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments Federal Register version (65 FR 81737)
IA-1916, 34-43758
Dec. 21, 2000
S7-10-00
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments Federal Register version (65 FR 81737)
34-43651
Dec. 1, 2000
S7-12-98
Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness Federal Register version (65 FR 76562)
34-43621, 34-42755
Nov. 27, 2000
4-434
Options Price Reporting Authority Federal Register version (65 FR 75563)
34-43621, 34-42755
Nov. 27, 2000
4-434
Options Price Reporting Authority Federal Register version (65 FR 75563)
33-7919, 34-43602, 35-27279, IC-24744, IA-1911, FR-56
Nov. 21, 2000
S7-13-00
Revision of the Commission's Auditor Independence Requirements View Received Comments Rel. Nos. 33-7883 , 34-42994 , and comments Federal Register version (65 FR 76007)
33-7919, 34-43602, 35-27279, IC-24744, IA-1911, FR-56
Nov. 21, 2000
S7-13-00
Revision of the Commission's Auditor Independence Requirements View Received Comments Rel. Nos. 33-7883 , 34-42994 , and comments Federal Register version (65 FR 76007)
33-7919, 34-43602, 35-27279, IC-24744, IA-1911, FR-56
Nov. 21, 2000
S7-13-00
Revision of the Commission's Auditor Independence Requirements View Received Comments Rel. Nos. 33-7883 , 34-42994 , and comments Federal Register version (65 FR 76007)
33-7919, 34-43602, 35-27279, IC-24744, IA-1911, FR-56
Nov. 21, 2000
S7-13-00
Revision of the Commission's Auditor Independence Requirements View Received Comments Rel. Nos. 33-7883 , 34-42994 , and comments Federal Register version (65 FR 76007)
33-7919, 34-43602, 35-27279, IC-24744, IA-1911, FR-56
Nov. 21, 2000
S7-13-00
Revision of the Commission's Auditor Independence Requirements View Received Comments Rel. Nos. 33-7883 , 34-42994 , and comments Federal Register version (65 FR 76007)
33-7919, 34-43602, 35-27279, IC-24744, IA-1911, FR-56
Nov. 21, 2000
S7-13-00
Revision of the Commission's Auditor Independence Requirements View Received Comments Rel. Nos. 33-7883 , 34-42994 , and comments Federal Register version (65 FR 76007)
34-43591, 34-44852, 34-43085
Nov. 17, 2000
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Federal Register version (65 FR 75439)
34-43591, 34-44852, 34-43085
Nov. 17, 2000
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Federal Register version (65 FR 75439)
34-43590
Nov. 17, 2000
S7-16-00
Disclosure of Order Execution and Routing Practices View Received Comments Rel. No. 34-43084 , and comments Federal Register version (65 FR 75413)
34-43590
Nov. 17, 2000
S7-16-00
Disclosure of Order Execution and Routing Practices Rel. No. 34-43084 , and comments Federal Register version (65 FR 75413)
34-43591, 34-44852, 34-43085
Nov. 17, 2000
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Federal Register version (65 FR 75439)
34-43591, 34-44852, 34-43085
Nov. 17, 2000
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Federal Register version (65 FR 75439)
34-43591, 34-44852, 34-43085
Nov. 17, 2000
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Federal Register version (65 FR 75439)
34-43591, 34-44852, 34-43085
Nov. 17, 2000
S7-17-00
Firm Quote and Trade-Through Disclosure Rules for Options Federal Register version (65 FR 75439)
33-7912, 34-43487, IC-24715
Oct. 27, 2000
S7-26-99
Delivery of Proxy Statements and Information Statements to Households Federal Register version (65 FR 65736)
33-7912, 34-43487, IC-24715
Oct. 27, 2000
S7-26-99
Delivery of Proxy Statements and Information Statements to Households Federal Register version (65 FR 65736)
33-7912, 34-43487, IC-24715
Oct. 27, 2000
S7-26-99
Delivery of Proxy Statements and Information Statements to Households Federal Register version (65 FR 65736)
IA-1897
Sept. 12, 2000
S7-10-00
Electronic Filing by Investment Advisers; Amendments To Form ADV Rel. No. 34-42620 , and comments Federal Register version (65 FR 57437)
IA-1897
Sept. 12, 2000
S7-10-00
Electronic Filing by Investment Advisers; Amendments To Form ADV View Received Comments Rel. No. 34-42620 , and comments Federal Register version (65 FR 57437)
IA-1897
Sept. 12, 2000
S7-10-00
Electronic Filing by Investment Advisers; Amendments To Form ADV Rel. No. 34-42620 , and comments Federal Register version (65 FR 57437)
34-43239, FOIA-191, PA-30
Sept. 1, 2000
S7-14-99
Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83 Federal Register version (65 FR 55180)
34-43239, FOIA-191, PA-30
Sept. 1, 2000
S7-14-99
Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83 Federal Register version (65 FR 55180)
34-43239, FOIA-191, PA-30
Sept. 1, 2000
S7-14-99
Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83 Federal Register version (65 FR 55180)
34-43217
Aug. 29, 2000
S7-29-99
Unlisted Trading Privileges Federal Register version (65 FR 53560)
