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)
34-36940
March 7, 1996
S7-34-95
Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on those Securities Federal Register version (61 FR 10271)
34-36824, 34-45848
Feb. 9, 1996
Delegation of Authority to the Secretary of the Commission Federal Register version (61 FR 5939)
34-36824, 34-45848
Feb. 9, 1996
Delegation of Authority to the Secretary of the Commission Federal Register version (61 FR 5939)
34-36824, 34-45848
Feb. 9, 1996
Delegation of Authority to the Secretary of the Commission Federal Register version (61 FR 5939)
34-36824, 34-45848
Feb. 9, 1996
Delegation of Authority to the Secretary of the Commission Federal Register version (61 FR 5939)
33-7241, 34-36479, 35-26407, IC-21500
Dec. 18, 1995
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments Federal Register version (60 FR 57682)
33-7241, 34-36479, 35-26407, IC-21500
Dec. 18, 1995
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments Federal Register version (60 FR 57682)
33-7241, 34-36479, 35-26407, IC-21500
Dec. 18, 1995
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments Federal Register version (60 FR 57682)
33-7241, 34-36479, 35-26407, IC-21500
Dec. 18, 1995
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments Federal Register version (60 FR 57682)
34-36530
Nov. 30, 1995
S7-26-95
Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities Federal Register version (60 FR 62323)
33-7197, IC-21221, FR-46
July 26, 1995
S7-22-94
Payment for Investment Company Services With Brokerage Commissions Federal Register version (60 FR 38918)
33-7197, IC-21221, FR-46
July 26, 1995
S7-22-94
Payment for Investment Company Services With Brokerage Commissions Federal Register version (60 FR 38918)
33-7197, IC-21221, FR-46
July 26, 1995
S7-22-94
Payment for Investment Company Services With Brokerage Commissions Federal Register version (60 FR 38918)
35-26311
June 20, 1995
S7-17-92
Exemption of Issuance and Sale of Certain Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public Utility Holding Company System of Certain Securities of Associate Companies; Exemption of Capital Contributions and Open Account Advances, Without Interest, by Parent Companies to Subsidiary Companies Federal Register version (60 FR 33634)
34-35844
June 9, 1995
S7-40-92
Rules of Practice
33-7168, 34-35705
May 11, 1995
S7-7-95
Prospectus Delivery; Securities Transactions Settlement Federal Register version (60 FR 26604)
33-7168, 34-35705
May 11, 1995
S7-7-95
Prospectus Delivery; Securities Transactions Settlement Federal Register version (60 FR 26604)
34-35548
March 30, 1995
Establishment of Commission Quorum Requirement Federal Register version (60 FR 17201)
33-7143, IC-20915
Feb. 23, 1995
S7-32-93
Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master- Feeder Funds; Class Voting on Distribution Plans Federal Register version (60 FR 11876)
33-7143, IC-20915
Feb. 23, 1995
S7-32-93
Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master- Feeder Funds; Class Voting on Distribution Plans Federal Register version (60 FR 11876)
IC-20916
Feb. 23, 1995
S7-24-88
Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads Federal Register version (60 FR 11887)
34-35341
Feb. 8, 1995
SR-AMEX-94-59
Order Approving Proposed Rule Changes by the American Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Municipal Securities Rulemaking Board, National Association of Securities Dealers, Inc., New York Stock Exchange, Inc., Pacific Stock Exchange Inc., and Philadelphia Stock Exchange, Inc., Relating to a Continuing Education Requirement for Registered Persons File Nos.: Federal Register version (60 FR 8426)
33-7132
Feb. 1, 1995
S7-36-94
Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports Federal Register version (60 FR 6965)
34-35123
Dec. 20, 1994
S7-17-94
Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board Federal Register version (60 FR 5461)
34-35124
Dec. 20, 1994
S7-3-94
Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers Federal Register version
33-7123, 34-35114, 35-26192, 39-2327, IC-20784
Dec. 19, 1994
Adoption of Updated EDGAR Filer Manual Federal Register version
33-7123, 34-35114, 35-26192, 39-2327, IC-20784
Dec. 19, 1994
Adoption of Updated EDGAR Filer Manual Federal Register version
33-7123, 34-35114, 35-26192, 39-2327, IC-20784
Dec. 19, 1994
Adoption of Updated EDGAR Filer Manual Federal Register version
33-7123, 34-35114, 35-26192, 39-2327, IC-20784
Dec. 19, 1994
Adoption of Updated EDGAR Filer Manual Federal Register version
33-7123, 34-35114, 35-26192, 39-2327, IC-20784
Dec. 19, 1994
Adoption of Updated EDGAR Filer Manual Federal Register version
33-7122, 34-35113, 35-26191, 39-2326, IC-20783
Dec. 19, 1994
S7-20-94
Rulemaking for EDGAR System
33-7122, 34-35113, 35-26191, 39-2326, IC-20783
Dec. 19, 1994
S7-20-94
Rulemaking for EDGAR System
33-7122, 34-35113, 35-26191, 39-2326, IC-20783
Dec. 19, 1994
S7-20-94
Rulemaking for EDGAR System
33-7122, 34-35113, 35-26191, 39-2326, IC-20783
Dec. 19, 1994
S7-20-94
Rulemaking for EDGAR System
33-7122, 34-35113, 35-26191, 39-2326, IC-20783
Dec. 19, 1994
S7-20-94
Rulemaking for EDGAR System
33-7117, 34-35093, International Series Release No. 757
Dec. 13, 1994
S7-11-94
Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy
33-7118, 34-35094, IC-20766, International Series No. 758
Dec. 13, 1994
S7-12-94
Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules Federal Register version
33-7119, 34-35095, International Series Release No. 759
Dec. 13, 1994
S7-13-94
Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations Federal Register version
33-7117, 34-35093, International Series Release No. 757
Dec. 13, 1994
S7-11-94
Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy
33-7118, 34-35094, IC-20766, International Series No. 758
Dec. 13, 1994
S7-12-94
Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules Federal Register version
33-7119, 34-35095, International Series Release No. 759
Dec. 13, 1994
S7-13-94
Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations Federal Register version
33-7118, 34-35094, IC-20766, International Series No. 758
Dec. 13, 1994
S7-12-94
Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules Federal Register version
33-7118, 34-35094, IC-20766, International Series No. 758
Dec. 13, 1994
S7-12-94
Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules Federal Register version
33-7117, 34-35093, International Series Release No. 757
Dec. 13, 1994
S7-11-94
Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy
33-7119, 34-35095, International Series Release No. 759
Dec. 13, 1994
S7-13-94
Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations Federal Register version
33-7113, 34-35036
Dec. 1, 1994
S7-26-94
Limited Partnership Roll-Up Transactions
33-7113, 34-35036
Dec. 1, 1994
S7-26-94
Limited Partnership Roll-Up Transactions
34-35039
Dec. 1, 1994
S7-1-92
Notice of Assumption or Termination of Transfer Agent Services S7-1-92 Federal Register version Federal Register version
34-34961
Nov. 10, 1994
S7-5-94
Municipal Securities Disclosure
34-34962
Nov. 10, 1994
S7-6-94
Confirmation of Transactions
34-34922
Nov. 1, 1994
S7-16-94
Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange Federal Register version
34-34902
Oct. 27, 1994
S7-29-93
Payment for Order Flow Federal Register version
33-7102, 34-34832, IC-20614
Oct. 13, 1994
S7-33-93
Amendments to Proxy Rules for Registered Investment Companies Federal Register version
33-7102, 34-34832, IC-20614
Oct. 13, 1994
S7-33-93
Amendments to Proxy Rules for Registered Investment Companies Federal Register version
33-7102, 34-34832, IC-20614
Oct. 13, 1994
S7-33-93
Amendments to Proxy Rules for Registered Investment Companies Federal Register version
33-7072, 34-34330, 35-26079, IC-20388
Sept. 1, 1994
Rulemaking for EDGAR System: Financial Data Schedules
33-7072, 34-34330, 35-26079, IC-20388
Sept. 1, 1994
Rulemaking for EDGAR System: Financial Data Schedules
33-7072, 34-34330, 35-26079, IC-20388
Sept. 1, 1994
Rulemaking for EDGAR System: Financial Data Schedules
33-7072, 34-34330, 35-26079, IC-20388
Sept. 1, 1994
Rulemaking for EDGAR System: Financial Data Schedules
33-7032
Nov. 22, 1993
Executive Compensation Disclosure; Securityholder Lists and Mailing Requests
33-6996
April 28, 1993
Adoption of Additional Small Business Initiatives
33-6988, IC-19382
April 6, 1993
Disclosure of Mutual Fund Performance and Portfolio Managers
33-6988, IC-19382
April 6, 1993
Disclosure of Mutual Fund Performance and Portfolio Managers
33-6949
July 30, 1992
Adoption of Small Business Initiatives
34-30929
July 21, 1992
Final Temporary Risk Assessment Rules
34-30608
April 28, 1992
Penny Stock Disclosure Rules
34-30146
Jan. 6, 1992
Acceptance of Signature Guarantees from Eligible Guarantor Institutions
34-27017
July 11, 1989
Registration Requirements for Foreign Broker-Dealers
34-26985
June 28, 1989
Municipal Securities Disclosure
34-22172
June 27, 1985
The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as that term is defined in the Securities Exchange Act of 1934.
34-20581
Jan. 19, 1984
Processing of Tender Offers within the National Clearance and SettlementSystem
34-19860
June 10, 1983
Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents
34-16443
Dec. 20, 1979
Securities Position Listing Rule
34-14852
July 31, 1978
S7-687
Filing and Reporting Requirements Relating to Institutional lnvestment Managers
34-13636
June 16, 1977
Regulation of Transfer Agents
34-11742
Oct. 15, 1975
Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating to the Registration Of Municipal Securities Brokers and Dealers Under Section 15 of the Act; and Delegation of Authority to the Staff of The Commission
33-4552
Nov. 6, 1962
Nonpublic Offering Exemption
