33-7431 Part 2, 33-7301
July 18, 1997
S7-15-96
Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997
33-7431 Part 1, 33-7301
July 18, 1997
S7-15-96
Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997
33-7431 Part 1, 33-7301
July 18, 1997
S7-15-96
Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997
33-7431 Part 2, 33-7301
July 18, 1997
S7-15-96
Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997
33-7427
July 1, 1997
S7-28-96
Rulemaking for the EDGAR System Federal Register version (62 FR 36450)
33-7424
June 25, 1997
Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers Federal Register version (62 FR 35338)
IA-1633
May 15, 1997
S7-31-96
Rules Implementing Amendments to the Investment Advisers Act of 1940 Additional materials are available. Federal Register version (62 FR 28112) Note: Additional materials are available.
IC-22658
May 12, 1997
S7-23-95
Custody of Investment Company Assets Outside the United States Federal Register version (62 FR 26923) Note: Compliance date changed;
33-7419, 33-7326
May 8, 1997
S7-23-96
Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity Federal Register version (62 FR 26386)
33-7419, 33-7326
May 8, 1997
S7-23-96
Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity Federal Register version (62 FR 26386)
33-7418, 33-7388
April 30, 1997
S7-6-97
Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation Federal Register version (62 FR 24572)
33-7418, 33-7388
April 30, 1997
S7-6-97
Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation Federal Register version (62 FR 24572)
IC-22597
April 3, 1997
S7-30-96
Privately Offered Investment Companies Federal Register version (62 FR 17512)
33-7411, 34-38465, 35-26699, 39-2351, IC-22595
April 2, 1997
Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation Federal Register version (62 FR 16690)
33-7411, 34-38465, 35-26699, 39-2351, IC-22595
April 2, 1997
Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation Federal Register version (62 FR 16690)
33-7411, 34-38465, 35-26699, 39-2351, IC-22595
April 2, 1997
Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation Federal Register version (62 FR 16690)
33-7411, 34-38465, 35-26699, 39-2351, IC-22595
April 2, 1997
Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation Federal Register version (62 FR 16690)
33-7411, 34-38465, 35-26699, 39-2351, IC-22595
April 2, 1997
Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation Federal Register version (62 FR 16690)
33-7407
March 27, 1997
Informal Guidance Program for Small Entities Federal Register version (62 FR 15604)
33-7408
March 27, 1997
S7-14-97
Penalty-Reduction Policy for Small Entities Comments Due: Federal Register version (62 FR 16076)
IC-22579, IC-21260
March 24, 1997
S7-24-95
Status of Investment Advisory Programs Under the Investment Company Act of 1940 Federal Register version (62 FR 15098)
IC-22579, IC-21260
March 24, 1997
S7-24-95
Status of Investment Advisory Programs Under the Investment Company Act of 1940 Federal Register version (62 FR 15098)
33-7405, 34-38419, 35-26688, 39-2348, IC-22571
March 19, 1997
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation Federal Register version (62 FR 13820)
33-7405, 34-38419, 35-26688, 39-2348, IC-22571
March 19, 1997
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation Federal Register version (62 FR 13820)
33-7405, 34-38419, 35-26688, 39-2348, IC-22571
March 19, 1997
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation Federal Register version (62 FR 13820)
33-7405, 34-38419, 35-26688, 39-2348, IC-22571
March 19, 1997
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation Federal Register version (62 FR 13820)
33-7405, 34-38419, 35-26688, 39-2348, IC-22571
March 19, 1997
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation Federal Register version (62 FR 13820)
34-38387
March 12, 1997
S7-20-96
Implementation of Section 10A of the Securities Exchange Act of 1934 Federal Register version (62 FR 12743)
33-7400
March 5, 1997
S7-11-96
Anti-Manipulation Rules Concerning Securities Offerings; Corrections Federal Register version (62 FR 13213)
33-7394, 34-38319, 35-26672, 39-2346, IC-22522
Feb. 21, 1997
Adoption of Updated EDGAR Filer Manual see related notice Federal Register version (62 FR 8877)
33-7394, 34-38319, 35-26672, 39-2346, IC-22522
Feb. 21, 1997
Adoption of Updated EDGAR Filer Manual see related notice Federal Register version (62 FR 8877)
33-7394, 34-38319, 35-26672, 39-2346, IC-22522
Feb. 21, 1997
Adoption of Updated EDGAR Filer Manual see related notice Federal Register version (62 FR 8877)
33-7394, 34-38319, 35-26672, 39-2346, IC-22522
Feb. 21, 1997
Adoption of Updated EDGAR Filer Manual see related notice Federal Register version (62 FR 8877)
33-7394, 34-38319, 35-26672, 39-2346, IC-22522
Feb. 21, 1997
Adoption of Updated EDGAR Filer Manual see related notice Federal Register version (62 FR 8877)
33-7390
Feb. 20, 1997
S7-17-95
Revision of Holding Period Requirements in Rules 144 and 145 Federal Register version (62 FR 9242)
35-26667
Feb. 14, 1997
S7-12-95
Exemption of Acquisition by Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Activities; Exemption of Capital Contributions and Advances to Such Companies Federal Register version (62 FR 7900)
34-38248
Feb. 6, 1997
S7-7-94
Net Capital Rule Federal Register version (62 FR 6474)
34-38245
Feb. 5, 1997
S7-21-93
Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 Federal Register version (62 FR 6469)
33-7386
Jan. 31, 1997
S7-35-95
Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments Federal Register version (62 FR 6044)
34-38139
Jan. 8, 1997
S7-30-95
Order Execution Obligations Federal Register version (62 FR 1385)
34-38110
Jan. 2, 1997
S7-30-95
Order Execution Obligations Federal Register version (62 FR 1279)
34-38073, IC-22415
Dec. 23, 1996
S7-32-96
Securities Transactions Exempt From Transaction Fees Federal Register version (61 FR 68590)
34-38073, IC-22415
Dec. 23, 1996
S7-32-96
Securities Transactions Exempt From Transaction Fees Federal Register version (61 FR 68590)
33-7376, 33-7283, 34-38068, IC-22413
Dec. 20, 1996
S7-12-96
Odd-Lot Tender Offers by Issuers Federal Register version (61 FR 68587)
33-7375, 34-38067, IC-22412, International Series Release No. 1039
Dec. 20, 1996
S7-11-96
Anti-manipulation Rules Concerning Securities Offerings Federal Register version (62 FR 520)
33-7376, 33-7283, 34-38068, IC-22413
Dec. 20, 1996
S7-12-96
Odd-Lot Tender Offers by Issuers Federal Register version (61 FR 68587)
33-7375, 34-38067, IC-22412, International Series Release No. 1039
Dec. 20, 1996
S7-11-96
Anti-manipulation Rules Concerning Securities Offerings Federal Register version (62 FR 520)
33-7376, 33-7283, 34-38068, IC-22413
Dec. 20, 1996
S7-12-96
Odd-Lot Tender Offers by Issuers Federal Register version (61 FR 68587)
IA-1602
Dec. 20, 1996
Suspension of Form ADV-S Federal Register version (61 FR 68503)
33-7375, 34-38067, IC-22412, International Series Release No. 1039
Dec. 20, 1996
S7-11-96
Anti-manipulation Rules Concerning Securities Offerings Federal Register version (62 FR 520)
33-7376, 33-7283, 34-38068, IC-22413
Dec. 20, 1996
S7-12-96
Odd-Lot Tender Offers by Issuers Federal Register version (61 FR 68587)
33-7375, 34-38067, IC-22412, International Series Release No. 1039
Dec. 20, 1996
S7-11-96
Anti-manipulation Rules Concerning Securities Offerings Federal Register version (62 FR 520)
33-7373
Dec. 16, 1996
Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices Federal Register version (61 FR 67200)
IC-22389
Dec. 11, 1996
S7-15-94
Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations Federal Register version (61 FR 66207)
34-37972, 34-37619A
Nov. 26, 1996
S7-30-95
Order Execution Obligations Federal Register version (61 FR 63709)
34-37972, 34-37619A
Nov. 26, 1996
S7-30-95
Order Execution Obligations Federal Register version (61 FR 63709)
34-37972, 34-37619A
Nov. 26, 1996
S7-30-95
Order Execution Obligations Federal Register version (61 FR 63709)
34-37972, 34-37619A
Nov. 26, 1996
S7-30-95
Order Execution Obligations Federal Register version (61 FR 63709)
34-37893
Oct. 30, 1996
Delegation of Authority to the General Counsel Federal Register version (61 FR 56891)
34-37801
Oct. 10, 1996
S7-19-95
Periodic Reporting of Unregistered Equity Sales Federal Register version (61 FR 54506)
33-7355
Oct. 10, 1996
S7-19-95
Streamlining Disclosure Requirements Relating to Significant Business Acquisitions Federal Register version (61 FR 54509)
33-7351, 34-37774, 35-26585, 39-2343, IC-22257
Oct. 2, 1996
Adoption of Updated EDGAR Filer Manual Federal Register version (61 FR 52283)
33-7351, 34-37774, 35-26585, 39-2343, IC-22257
Oct. 2, 1996
Adoption of Updated EDGAR Filer Manual Federal Register version (61 FR 52283)
33-7351, 34-37774, 35-26585, 39-2343, IC-22257
Oct. 2, 1996
Adoption of Updated EDGAR Filer Manual Federal Register version (61 FR 52283)
33-7351, 34-37774, 35-26585, 39-2343, IC-22257
Oct. 2, 1996
Adoption of Updated EDGAR Filer Manual Federal Register version (61 FR 52283)
33-7351, 34-37774, 35-26585, 39-2343, IC-22257
Oct. 2, 1996
Adoption of Updated EDGAR Filer Manual Federal Register version (61 FR 52283)
33-7331
Sept. 17, 1996
S7-14-96
Changes Selected Rules in Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952 Federal Register version (61 FR 52996)
IC-22201
Sept. 9, 1996
S7-2-96
Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company Federal Register version (61 FR 49010)
IC-22202
Sept. 9, 1996
S7-8-95
Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads Federal Register version (61 FR 49011)
34-37619A, 34-37972
Sept. 6, 1996
S7-30-95
Order Execution Obligations Additional materials are available. Federal Register version (61 FR 48290) Note: Additional materials are available.
34-37619A, 34-37972
Sept. 6, 1996
S7-30-95
Order Execution Obligations Additional materials are available. Federal Register version (61 FR 48290) Note: Additional materials are available.
34-37619A, 34-37972
Sept. 6, 1996
S7-30-95
Order Execution Obligations Additional materials are available. Federal Register version (61 FR 48290) Note: Additional materials are available.
34-37619A, 34-37972
Sept. 6, 1996
S7-30-95
Order Execution Obligations Additional materials are available. Federal Register version (61 FR 48290) Note: Additional materials are available.
34-37632, 34-37431
Sept. 4, 1996
S7-2-95
Form BD Amendments Federal Register version (61 FR 47412)
34-37632, 34-37431
Sept. 4, 1996
S7-2-95
Form BD Amendments Federal Register version (61 FR 47412)
34-37632, 34-37431
Sept. 4, 1996
S7-2-95
Form BD Amendments Federal Register version (61 FR 47412)
34-37632, 34-37431
Sept. 4, 1996
S7-2-95
Form BD Amendments Federal Register version (61 FR 47412)
33-7320, 33-7275, IC-21837
Aug. 13, 1996
S7-34-93
Revisions to Rules Regulating Money Market Funds Federal Register version (61 FR 42786)
33-7320, 33-7275, IC-21837
Aug. 13, 1996
S7-34-93
Revisions to Rules Regulating Money Market Funds Federal Register version (61 FR 42786)
33-7320, 33-7275, IC-21837
Aug. 13, 1996
S7-34-93
Revisions to Rules Regulating Money Market Funds Federal Register version (61 FR 42786)
33-7320, 33-7275, IC-21837
Aug. 13, 1996
S7-34-93
Revisions to Rules Regulating Money Market Funds Federal Register version (61 FR 42786)
33-7320, 33-7275, IC-21837
Aug. 13, 1996
S7-34-93
Revisions to Rules Regulating Money Market Funds Federal Register version (61 FR 42786)
33-7320, 33-7275, IC-21837
Aug. 13, 1996
S7-34-93
Revisions to Rules Regulating Money Market Funds Federal Register version (61 FR 42786)
34-37431, 34-37632
July 12, 1996
S7-2-95
Form BD Amendments Federal Register version (61 FR 37357)
34-37431, 34-37632
July 12, 1996
S7-2-95
Form BD Amendments Federal Register version (61 FR 37357)
34-37431, 34-37632
July 12, 1996
S7-2-95
Form BD Amendments Federal Register version (61 FR 37357)
34-37431, 34-37632
July 12, 1996
S7-2-95
Form BD Amendments Federal Register version (61 FR 37357)
34-37260 Part 1
May 31, 1996
S7-21-94
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-37260 Part 2
May 31, 1996
S7-21-94
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-37261
May 31, 1996
Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934 Federal Register version (61 FR 30396)
33-7300
May 31, 1996
S7-6-96
Phase One Recommendations of Task Force on Disclosure Simplification Federal Register version (61 FR 30397)
33-7289, 33-7233
May 9, 1996
S7-31-95
Use of Electronic Media for Delivery Purposes Federal Register version (61 FR 24651)
33-7289, 33-7233
May 9, 1996
S7-31-95
Use of Electronic Media for Delivery Purposes Federal Register version (61 FR 24651)
34-37159
May 2, 1996
Delegation of Authority to Director of Division of Enforcement Federal Register version (61 FR 20721)
33-7285
May 1, 1996
S7-15-95
Exemption for Certain California Limited Issues Federal Register version (61 FR 21356)
34-37157
May 1, 1996
S7-16-95
Relief From Reporting by Small Issuers Federal Register version (61 FR 21354)
200-30
March 25, 1996
S7-40-92
Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings)
33-7275, IC-21837, 33-7320
March 21, 1996
S7-34-93
Revisions to Rules Regulating Money Market Funds Federal Register version (61 FR 13956)
33-7275, IC-21837, 33-7320
March 21, 1996
S7-34-93
Revisions to Rules Regulating Money Market Funds Federal Register version (61 FR 13956)
33-7275, IC-21837, 33-7320
March 21, 1996
S7-34-93
Revisions to Rules Regulating Money Market Funds Federal Register version (61 FR 13956)
