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Release Number SEC Issue Date File Number Details
33-7646, 34-41109 S7-2-98 Registration of Securities on Form S-8
Federal Register version (64 FR 11103)
33-7644, S7-14-98, 33-7541 Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
Federal Register version (64 FR 11090)
33-7645, 33-7511 S7-5-98 Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
Federal Register version (64 FR 11095)
33-7645, 33-7511 S7-5-98 Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
Federal Register version (64 FR 11095)
IC-23670, IS-1179 S7-23-95 Custody of Investment Company Assets Outside the United States
Federal Register version (64 FR 5156)
IC-23670, IS-1179 S7-23-95 Custody of Investment Company Assets Outside the United States
Federal Register version (64 FR 5156)
34-40934, IC-23640 S7-18-97 Rulemaking for EDGAR System
See Also - Form 13F
Federal Register version (64 FR 5865)

Note:

Additional materials are available for this release: PDF format: Form 13F and the 13F Table
34-40934, IC-23640 S7-18-97 Rulemaking for EDGAR System
See Also - Form 13F
Federal Register version (64 FR 5865)

Note:

Additional materials are available for this release: PDF format: Form 13F and the 13F Table
IA-1780 S7-31-96 Technical Amendments Under the Investment Advisers Act of 1940
File Nos.: S7-31-96, S7-7-86 Federal Register version (64 FR 2566)
IA-1733A S7-28-97 Technical Changes to Schedule I to Form ADV
Federal Register version (64 FR 2120)
33-7620, 33-7549 S7-17-98 Segment Reporting
Federal Register version (64 FR 1728)
33-7620, 33-7549 S7-17-98 Segment Reporting
Federal Register version (64 FR 1728)
34-40760, 34-39884 S7-12-98 Regulation of Exchanges and Alternative Trading Systems
See Also - Form 1, Form ATS, Form ATS-R, and Form PILOT
Federal Register version (63 FR 70844)

Note:

Additional materials are available for this release: PDF format: Form 1 , Form ATS , Form ATS-R , and Form PILOT
34-40760, 34-39884 S7-12-98 Regulation of Exchanges and Alternative Trading Systems
See Also - Form 1, Form ATS, Form ATS-R, and Form PILOT
Federal Register version (63 FR 70844)

Note:

Additional materials are available for this release: PDF format: Form 1 , Form ATS , Form ATS-R , and Form PILOT
34-40761 S7-13-98 Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
Federal Register version (63 FR 70952)

Note: Additional materials are available for this release: PDF format: Form 19b-4(e) (https://www.sec.gov/pdf/sec2449.pdf
34-40761 S7-13-98 Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
Federal Register version (63 FR 70952)

Note: Additional materials are available for this release: PDF format: Form 19b-4(e) (https://www.sec.gov/pdf/sec2449.pdf
34-40594a, 34-39454, 34-39455, 34-39456, 34-39704, 34-40594 S7-30-97 OTC Derivatives Dealers; Correction
Federal Register version (63 FR 63143)
34-40594a, 34-39454, 34-39455, 34-39456, 34-39704, 34-40594 S7-30-97 OTC Derivatives Dealers; Correction
Federal Register version (63 FR 63143)
34-40594a, 34-39454, 34-39455, 34-39456, 34-39704, 34-40594 S7-30-97 OTC Derivatives Dealers; Correction
Federal Register version (63 FR 63143)
34-40594a, 34-39454, 34-39455, 34-39456, 34-39704, 34-40594 S7-30-97 OTC Derivatives Dealers; Correction
Federal Register version (63 FR 63143)
34-40594a, 34-39454, 34-39455, 34-39456, 34-39704, 34-40594 S7-30-97 OTC Derivatives Dealers; Correction
Federal Register version (63 FR 63143)
34-40594a, 34-39454, 34-39455, 34-39456, 34-39704, 34-40594 S7-30-97 OTC Derivatives Dealers; Correction
Federal Register version (63 FR 63143)
33-7608, 33-7478 S7-19-97 Update of Registration Form To Reflect Fee Rate Change for Registration of Certain Investment Company Securities
Federal Register version (63 FR 62936)
33-7608, 33-7478 S7-19-97 Update of Registration Form To Reflect Fee Rate Change for Registration of Certain Investment Company Securities
Federal Register version (63 FR 62936)
33-7608, 33-7478 S7-19-97 Update of Registration Form To Reflect Fee Rate Change for Registration of Certain Investment Company Securities
Federal Register version (63 FR 62936)
33-7608, 33-7478 S7-19-97 Update of Registration Form To Reflect Fee Rate Change for Registration of Certain Investment Company Securities
Federal Register version (63 FR 62936)
34-40636 S7-23-98 Rules of Practice
Federal Register version (63 FR 63404)
34-40608 S7-7-98 Reports To Be Made by Certain Brokers and Dealers
Federal Register version (63 FR 59208)
34-40594 S7-30-97 OTC Derivatives Dealers
Federal Register version (63 FR 59362)
34-40594 S7-30-97 OTC Derivatives Dealers
Federal Register version (63 FR 59362)
34-40587 S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents
Federal Register version (63 FR 58630)
33-7593 S7-16-98 Amendment to Rule 102(e) of the Commission's Rules of Practice
Federal Register version (63 FR 57164)
IA-1769, IA-1728 S7-20-98 Investment Adviser Year 2000 Reports
Federal Register version (63 FR 54308)
IA-1769, IA-1728 S7-20-98 Investment Adviser Year 2000 Reports
Federal Register version (63 FR 54308)
34-40163A S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents Correction
Federal Register version (63 FR 42229)
IA-1733, IA-1681 S7-28-97 Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa
Federal Register version (63 FR 39708)
IA-1733, IA-1681 S7-28-97 Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa
Federal Register version (63 FR 39708)
IA-1733, IA-1681 S7-28-97 Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa
Federal Register version (63 FR 39708)
IA-1733, IA-1681 S7-28-97 Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa
Federal Register version (63 FR 39708)
IA-1731, IA-1682 S7-29-97 Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
Federal Register version (63 FR 39022)
IA-1731, IA-1682 S7-29-97 Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
Federal Register version (63 FR 39022)
34-40162 S7-7-98 Reports to be Made by Certain Brokers and Dealers
Federal Register version (63 FR 37668)
34-40163, 34-40165 S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
Federal Register version (63 FR 37688)
34-40163, 34-40165 S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
Federal Register version (63 FR 37688)
33-7548 S7-4-97 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
Federal Register version (63 FR 35508)
34-40018, 34-39093 S7-25-97 Amendments To Rules On Shareholder Proposals
Federal Register version (63 FR 50622)
34-40018, 34-39093 S7-25-97 Amendments To Rules On Shareholder Proposals
Federal Register version (63 FR 50622)
IC-23201 S7-23-95 Custody of Investment Company Assets Outside the United States
Federal Register version (63 FR 29345)
33-7539 Adoption of Updated EDGAR Filer Manual
Federal Register version (63 FR 29104)
33-7512r, 33-7398, 33-7512f S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512f, 33-7398, 33-7512r S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512r, 33-7398, 33-7512f S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512f, 33-7398, 33-7512r S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512r, 33-7398, 33-7512f S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512f, 33-7398, 33-7512r S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512r, 33-7398, 33-7512f S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512f, 33-7398, 33-7512r S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512r, 33-7398, 33-7512f S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512f, 33-7398, 33-7512r S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512r, 33-7398, 33-7512f S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7512f, 33-7398, 33-7512r S7-10-97 Registration Form Used by Open-End Management Investment Companies

Note: Registration Form Used by Open-End Management Investment Companies File No.: S7-10-97 Effective Date: Jun. 1, 1998. Note: text of Form N-1A added, 3-23-98.

33-7513 S7-18-96 New Disclosure Option for Open-End Management Investment Companies
Federal Register version (63 FR 19286)
35-26826, 35-26312 S7-11-95 Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
Federal Register version (63 FR 9736)
35-26826, 35-26312 S7-11-95 Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
Federal Register version (63 FR 9736)
33-7505 Part 1, 33-7505 Part 2 Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
33-7505 Part 2, 33-7505 Part 1 Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
33-7505 Part 2, 33-7505 Part 1 Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
33-7505 Part 1, 33-7505 Part 2 Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
34-39627 Delegation of Authority to the Director of the Division of Market Regulation
Federal Register version (63 FR 8100)
34-39624 Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act
Federal Register version (63 FR 8101)
33-7497, 34-38164 S7-3-97 Plain English Disclosure
See Also - Appendix A, Appendix B, and the Plain English Handbook
Federal Register version (63 FR 6370)

Note: Additional materials are available for this release: Appendix A , Appendix B , and the Plain English Handbook
33-7497, 34-38164 S7-3-97 Plain English Disclosure
See Also - Appendix A, Appendix B, and the Plain English Handbook
Federal Register version (63 FR 6370)

Note: Additional materials are available for this release: Appendix A , Appendix B , and the Plain English Handbook
33-7495 Adoption of Updated EDGAR Filer Manual
Federal Register version (63 FR 3462)
33-7494 S7-17-97 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Federal Register version (63 FR 3032)
34-39538, 34-37403 S7-16-96 Amendments to Beneficial Ownership Reporting Requirements
See Also - is available
Federal Register version (63 FR 2854)

Note: Additional material (the chart "III. Effects of Amendments to Regulation13D-G") is available
34-39538, 34-37403 S7-16-96 Amendments to Beneficial Ownership Reporting Requirements
See Also - is available
Federal Register version (63 FR 2854)

Note: Additional material (the chart "III. Effects of Amendments to Regulation13D-G") is available
33-7479, 33-7371 Technical Revisions to the Rules and Forms Regulating Money Market Funds
See Also - is available
Federal Register version (62 FR 64968)

Note: Additional material (the illustration \"'Look-Through' to Secondary ABSs Under the Rule's ABS Issuer Diversification Standards\") is available
33-7479, 33-7371 S7-29-96 Technical Revisions to the Rules and Forms Regulating Money Market Funds
See Also - is available
Federal Register version (62 FR 64968)

Note: Additional material (the illustration \"'Look-Through' to Secondary ABSs Under the Rule's ABS Issuer Diversification Standards\") is available
33-7478, 33-7608 S7-19-97 Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
Federal Register version (62 FR 64687)
33-7478, 33-7608 S7-19-97 Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
Federal Register version (62 FR 64687)
33-7479, 33-7371 Technical Revisions to the Rules and Forms Regulating Money Market Funds
See Also - is available
Federal Register version (62 FR 64968)

Note: Additional material (the illustration \"'Look-Through' to Secondary ABSs Under the Rule's ABS Issuer Diversification Standards\") is available
33-7479, 33-7371 S7-29-96 Technical Revisions to the Rules and Forms Regulating Money Market Funds
See Also - is available
Federal Register version (62 FR 64968)

Note: Additional material (the illustration \"'Look-Through' to Secondary ABSs Under the Rule's ABS Issuer Diversification Standards\") is available
33-7478, 33-7608 S7-19-97 Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
Federal Register version (62 FR 64687)
33-7478, 33-7608 S7-19-97 Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
Federal Register version (62 FR 64687)
33-7472 Rule to Provide That the Commission Will Not Accept Paper Filings That are Required To Be Filed Electronically
Federal Register version (62 FR 58647)
33-7470, 33-7356 S7-26-96 Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore
Federal Register version (62 FR 53948)
33-7470, 33-7356 S7-26-96 Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore
Federal Register version (62 FR 53948)
34-39176, 34-37595 S7-21-96 Lost Securityholders
See Also - 1998. Federal Register version
Federal Register version (63 FR 1884)
34-39176, 34-37595 S7-21-96 Lost Securityholders
See Also - 1998. Federal Register version
Federal Register version (63 FR 1884)
IC-22835, IC-22203 S7-24-96 Rule Amendments Relating to Multiple Class and Series Investment Companies
Federal Register version (62 FR 51762)
IC-22835, IC-22203 S7-24-96 Rule Amendments Relating to Multiple Class and Series Investment Companies
Federal Register version (62 FR 51762)
33-7448, 33-7430 S7-19-97 Registration Under the Securities Act of 1933 of Certain Investment Company Securities
See Also - is available
Federal Register version (62 FR 47934)

Note: Additional material (a copy of the registration form, to be used as a formatting example in preparing the filing; added 9-12-97) is available
33-7448, 33-7430 S7-19-97 Registration Under the Securities Act of 1933 of Certain Investment Company Securities
See Also - is available
Federal Register version (62 FR 47934)

Note: Additional material (a copy of the registration form, to be used as a formatting example in preparing the filing; added 9-12-97) is available
33-7445 Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance
Federal Register version (62 FR 47367)
IC-22775 S7-7-96 Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate
Federal Register version (62 FR 42401)
33-7432, 34-38883, 35-26747, 39-2356, IC-22769 Adoption of Updated EDGAR Filer Manual
Federal Register version (62 FR 41841)
33-7432, 34-38883, 35-26747, 39-2356, IC-22769 Adoption of Updated EDGAR Filer Manual
Federal Register version (62 FR 41841)
33-7432, 34-38883, 35-26747, 39-2356, IC-22769 Adoption of Updated EDGAR Filer Manual
Federal Register version (62 FR 41841)
33-7432, 34-38883, 35-26747, 39-2356, IC-22769 Adoption of Updated EDGAR Filer Manual
Federal Register version (62 FR 41841)
33-7432, 34-38883, 35-26747, 39-2356, IC-22769 Adoption of Updated EDGAR Filer Manual
Federal Register version (62 FR 41841)
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