33-10577
Nov. 29, 2018
S7-04-18
Form N-1A; Correction
File Nos.:
S7-08-15, S7-04-18
View Received Comments
Federal Register version (83 FR 62454)
33-10577
Nov. 29, 2018
S7-08-15
Form N-1A; Correction
File Nos.:
S7-08-15, S7-04-18
View Received Comments
Federal Register version (83 FR 62454)
34-84541
Nov. 6, 2018
S7-23-15
Regulation of NMS Stock Alternative Trading Systems
View Received Comments
See Also -
Proposed Rule Rel. No. 34-76474
Federal Register version (83 FR 56257)
34-84528
Nov. 2, 2018
S7-14-16
Disclosure of Order Handling Information
View Received Comments
See Also -
Proposed Rule Rel. No. 34-78309
Federal Register version (83 FR 58338)
34-84528
Nov. 2, 2018
S7-14-16
Disclosure of Order Handling Information
View Received Comments
See Also -
Proposed Rule Rel. No. 34-78309
Federal Register version (83 FR 58338)
33-10570, 34-84509
Oct. 31, 2018
S7-10-16
Modernization of Property Disclosures for Mining Registrants
View Received Comments
See Also -
Proposed Rule Rel. No. 33-10098
Federal Register version (83 FR 66344)
33-10570, 34-84509
Oct. 31, 2018
S7-10-16
Modernization of Property Disclosures for Mining Registrants
View Received Comments
See Also -
Proposed Rule Rel. No. 33-10098
Federal Register version (83 FR 66344)
33-10566A, 34-84325A, 39-2522A, IC-33261A
Oct. 1, 2018
Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A
Oct. 1, 2018
Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A
Oct. 1, 2018
Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A
Oct. 1, 2018
Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A
Oct. 1, 2018
Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A
Oct. 1, 2018
Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A
Oct. 1, 2018
Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10566A, 34-84325A, 39-2522A, IC-33261A
Oct. 1, 2018
Adoption of Updated EDGAR Filer Manual; Correction
Federal Register version (83 FR 57677)
33-10537, 34-83911, IA-4994, IC-33212
Aug. 22, 2018
Delegation of Authority to General Counsel of the Commission
Federal Register version (83 FR 44465)
33-10537, 34-83911, IA-4994, IC-33212
Aug. 22, 2018
Delegation of Authority to General Counsel of the Commission
Federal Register version (83 FR 44465)
33-10537, 34-83911, IA-4994, IC-33212
Aug. 22, 2018
Delegation of Authority to General Counsel of the Commission
Federal Register version (83 FR 44465)
33-10537, 34-83911, IA-4994, IC-33212
Aug. 22, 2018
Delegation of Authority to General Counsel of the Commission
Federal Register version (83 FR 44465)
34-83885
Aug. 20, 2018
S7-01-17
Amendments to Municipal Securities Disclosure
View Received Comments
See Also -
Proposed Rule Rel. No. 34-80130
Federal Register version (83 FR 44700)
33-10532
Aug. 17, 2018
S7-15-16
Disclosure Update and Simplification
View Received Comments
See Also -
Demonstration Version , Proposed Rule Rel. Nos. 34-76474 , 33-10110 , and Small Entity Compliance Guide
Federal Register version (83 FR 50148)
33-10520
July 18, 2018
S7-17-18
Exempt Offerings Pursuant to Compensatory Arrangements
Comments Due: August 23, 2018
Federal Register version (83 FR 34940)
34-83663
July 18, 2018
S7-23-15
Regulation of NMS Stock Alternative Trading Systems
View Received Comments
See Also -
Proposed Rule Rel. No. 34-76474
Federal Register version (83 FR 38768)
33-10518, 34-83614, 39-2521, IC-33153
July 10, 2018
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 33119)
33-10518, 34-83614, 39-2521, IC-33153
July 10, 2018
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 33119)
33-10518, 34-83614, 39-2521, IC-33153
July 10, 2018
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 33119)
33-10518, 34-83614, 39-2521, IC-33153
July 10, 2018
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 33119)
33-10513, 34-83550
June 28, 2018
S7-12-16
Smaller Reporting Company Definition
View Received Comments
See Also -
Small Entity Compliance Guide , Proposed Rule Rel. No. 33-10107
Federal Register version (83 FR 31992)
33-10514
June 28, 2018
S7-03-17
Inline XBRL Filing of Tagged Data
View Received Comments
See Also -
Proposed Rule Rel. No. 33-10323
Federal Register version (83 FR 40846)
33-10513, 34-83550
June 28, 2018
S7-12-16
Smaller Reporting Company Definition
View Received Comments
See Also -
Small Entity Compliance Guide , Proposed Rule Rel. No. 33-10107
Federal Register version (83 FR 31992)
IC-33142
June 28, 2018
S7-04-18
Investment Company Liquidity Disclosure
View Received Comments
See Also -
Proposed Rule Rel. No. IC-33046 , Small Entity Compliance Guide
Federal Register version (83 FR 31859)
IC-33142
June 28, 2018
S7-08-15
Investment Company Liquidity Disclosure
View Received Comments
See Also -
Proposed Rule Rel. No. IC-33046 , Small Entity Compliance Guide
Federal Register version (83 FR 31859)
34-83506, FOIA-193
June 25, 2018
S7-09-17
Amendments to the Commission's Freedom of Information Act Regulations
View Received Comments
See Also -
Proposed Rule Rel. No. 34-82373
Federal Register version (83 FR 30322)
34-83506, FOIA-193
June 25, 2018
S7-09-17
Amendments to the Commission's Freedom of Information Act Regulations
View Received Comments
See Also -
Proposed Rule Rel. No. 34-82373
Federal Register version (83 FR 30322)
33-10506
June 5, 2018
S7-08-15
Optional Internet Availability of Investment Company Shareholder Reports
View Received Comments
See Also -
Small Entity Compliance Guide
Federal Register version (83 FR 29158)
33-10506
June 5, 2018
S7-08-15
Optional Internet Availability of Investment Company Shareholder Reports
View Received Comments
See Also -
Small Entity Compliance Guide
Federal Register version (83 FR 29158)
34-83325
May 24, 2018
Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
Federal Register version (83 FR 25365)
33-10486, 34-83097, IC-33077
April 25, 2018
Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
Federal Register version (83 FR 22190)
33-10486, 34-83097, IC-33077
April 25, 2018
Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
Federal Register version (83 FR 22190)
33-10486, 34-83097, IC-33077
April 25, 2018
Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
Federal Register version (83 FR 22190)
33-10467, 34-82830, 39-2520, IC-33041
March 8, 2018
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 11637)
33-10467, 34-82830, 39-2520, IC-33041
March 8, 2018
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 11637)
33-10467, 34-82830, 39-2520, IC-33041
March 8, 2018
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 11637)
33-10467, 34-82830, 39-2520, IC-33041
March 8, 2018
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 11637)
33-7424A
Jan. 24, 2018
Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
Federal Register version (83 FR 4138)
IA-4839
Jan. 5, 2018
S7-05-17
Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
View Received Comments
See Also -
Small Entity Compliance Guide , Proposed Rule Rel. No. IA-4697
Federal Register version (83 FR 1296)
33-10450
Jan. 5, 2018
S7-09-14
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
View Received Comments
See Also -
Proposed Rule Rel. No. 33-9643
Federal Register version (83 FR 2046)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10444, 34-82246, 39-2519, IC-32938
Dec. 8, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 2369)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10444, 34-82246, 39-2519, IC-32938
Dec. 8, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 2369)
33-10444, 34-82246, 39-2519, IC-32938
Dec. 8, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 2369)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Dec. 8, 2017
S7-08-15
Investment Company Reporting Modernization
View Received Comments
Federal Register version (82 FR 58731)
33-10444, 34-82246, 39-2519, IC-32938
Dec. 8, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (83 FR 2369)
33-10428
Oct. 24, 2017
S7-06-17
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
View Received Comments
See Also -
Proposed Rule Rel. No. 33-10390
Federal Register version (82 FR 50059)
33-10413, 34-81592, 39-2518, IC-32818
Sept. 13, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 45434)
33-10413, 34-81592, 39-2518, IC-32818
Sept. 13, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 45434)
33-10413, 34-81592, 39-2518, IC-32818
Sept. 13, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 45434)
33-10413, 34-81592, 39-2518, IC-32818
Sept. 13, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 45434)
33-10385, 34-81080, 39-2517, IC-32724
July 6, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 35062)
33-10385, 34-81080, 39-2517, IC-32724
July 6, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 35062)
33-10385, 34-81080, 39-2517, IC-32724
July 6, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 35062)
33-10385, 34-81080, 39-2517, IC-32724
July 6, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 35062)
IA-4698
May 4, 2017
Technical Amendments to Form ADV and Form ADV-W
Federal Register version (82 FR 21472)
33-10332, 34-80355
March 31, 2017
S7-09-16
Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act
Federal Register version (82 FR 17545)
33-10332, 34-80355
March 31, 2017
S7-09-16
Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act
Federal Register version (82 FR 17545)
34-80295
March 22, 2017
S7-22-16
Securities Transaction Settlement Cycle
View Received Comments
See Also -
Small Entity Compliance Guide , Proposed Rule Rel. No. 34-78962
Federal Register version (82 FR 15564)
33-10324, 34-80182, 39-2516, IC-32527
March 13, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 15993)
33-10324, 34-80182, 39-2516, IC-32527
March 13, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 15993)
33-10324, 34-80182, 39-2516, IC-32527
March 13, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 15993)
33-10324, 34-80182, 39-2516, IC-32527
March 13, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 15993)
33-10322, 34-80132
March 1, 2017
S7-19-16
Exhibit Hyperlinks and HTML Format
View Received Comments
See Also -
Small Entity Compliance Guide , Proposed Rule Rel. No. 33-10201 , Notice Rel. No. 33-10446
Federal Register version (82 FR 14130)
33-10322, 34-80132
March 1, 2017
S7-19-16
Exhibit Hyperlinks and HTML Format
View Received Comments
See Also -
Small Entity Compliance Guide , Proposed Rule Rel. No. 33-10201 , Notice Rel. No. 33-10446
Federal Register version (82 FR 14130)
33-10238A, 34-79161A
Feb. 17, 2017
S7-22-15
Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction
View Received Comments
Federal Register version
33-10238A, 34-79161A
Feb. 17, 2017
S7-22-15
Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction
View Received Comments
Federal Register version
33-10295, 34-79878, 39-2514, IC-32452
Jan. 26, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 9680)
33-10295, 34-79878, 39-2514, IC-32452
Jan. 26, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 9680)
33-10295, 34-79878, 39-2514, IC-32452
Jan. 26, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 9680)
33-10295, 34-79878, 39-2514, IC-32452
Jan. 26, 2017
Adoption of Updated EDGAR Filer Manual
Federal Register version (82 FR 9680)
33-10276, 34-79749, IA-4599, IC-32414
Jan. 6, 2017
Adjustments to Civil Monetary Penalty Amounts
Federal Register version (82 FR 5367)
33-10276, 34-79749, IA-4599, IC-32414
Jan. 6, 2017
Adjustments to Civil Monetary Penalty Amounts
Federal Register version (82 FR 5367)
33-10276, 34-79749, IA-4599, IC-32414
Jan. 6, 2017
Adjustments to Civil Monetary Penalty Amounts
Federal Register version (82 FR 5367)
33-10276, 34-79749, IA-4599, IC-32414
Jan. 6, 2017
Adjustments to Civil Monetary Penalty Amounts
Federal Register version (82 FR 5367)