34-39858
April 14, 1998
S7-7-98
Reports to be Made by Certain Brokers and Dealers Comments Due: Federal Register version (63 FR 19693)
34-39859
April 14, 1998
S7-8-98
Year 2000 Readiness Reports To Be Made by Transfer Agents Comments Due: Federal Register version (63 FR 19430)
33-7514, 33-8088
March 13, 1998
S7-9-98
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies Comments Due: 33-7514r.htm , 33-7514f.htm , Summary of Comments Federal Register version (63 FR 13988) Note: text of Form N-6 added, 3-23-98)Additional materials are available for this release: Summary of Comments
33-7514, 33-8088
March 13, 1998
S7-9-98
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies Comments Due: 33-7514r.htm , 33-7514f.htm , Summary of Comments Federal Register version (63 FR 13988) Note: text of Form N-6 added, 3-23-98)Additional materials are available for this release: Summary of Comments
34-39724
March 5, 1998
S7-7-98
Reports To Be Made by Certain Brokers and Dealers Comments Due: View Received Comments 1998 release Comments received electronically are available Federal Register version (63 FR 12056)
34-39726
March 5, 1998
S7-8-98
Year 2000 Readiness Reports To Be Made by Transfer Agents Comments Due: View Received Comments 1998 release Comments received electronically are available Federal Register version (63 FR 12062)
33-7506
Feb. 17, 1998
S7-2-98
Registration of Securities on Form S-8 Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (63 FR 9648)
33-7511, 33-7645
Feb. 17, 1998
S7-5-98
Rule 701Exempt Offerings Pursuant to Compensatory Arrangements Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (63 FR 10785)
33-7511, 33-7645
Feb. 17, 1998
S7-5-98
Rule 701Exempt Offerings Pursuant to Compensatory Arrangements Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (63 FR 10785)
34-39704, 34-39454, 33-39455
Feb. 17, 1998
S7-30-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: Federal Register version (63 FR 11173)
34-39704, 34-39454, 33-39455
Feb. 17, 1998
S7-31-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: View Received Comments Federal Register version (63 FR 11173)
34-39704, 34-39454, 33-39455
Feb. 17, 1998
S7-32-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: Federal Register version (63 FR 11173)
34-39704, 34-39454, 33-39455
Feb. 17, 1998
S7-31-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: View Received Comments Federal Register version (63 FR 11173)
34-39704, 34-39454, 33-39455
Feb. 17, 1998
S7-32-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: Federal Register version (63 FR 11173)
34-39704, 34-39454, 33-39455
Feb. 17, 1998
S7-30-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: Federal Register version (63 FR 11173)
34-39670
Feb. 17, 1998
S7-3-98
Publication or Submission of Quotations Without Specified Information Comments Due: 60 days after publication in the Federal Register Federal Register version (63 FR 9661)
34-39704, 34-39454, 33-39455
Feb. 17, 1998
S7-30-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: Federal Register version (63 FR 11173)
34-39704, 34-39454, 33-39455
Feb. 17, 1998
S7-31-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: View Received Comments Federal Register version (63 FR 11173)
34-39704, 34-39454, 33-39455
Feb. 17, 1998
S7-32-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: Federal Register version (63 FR 11173)
34-39454
Dec. 17, 1997
S7-30-97
OTC Derivatives Dealers Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (62 FR 67940)
34-39454
Dec. 17, 1997
S7-30-97
OTC Derivatives Dealers Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (62 FR 67940)
34-39455, 34-39704, 34-39456
Dec. 17, 1997
S7-30-97
Net Capital Rule Comments Due: View Received Comments 90 days after publication in the Federal Register Comments received electronically are available Federal Register version (62 FR 67996)
34-39455, 34-39704, 34-39456
Dec. 17, 1997
S7-31-97
Net Capital Rule Comments Due: View Received Comments 90 days after publication in the Federal Register Comments received electronically are available Federal Register version (62 FR 67996)
34-39455, 34-39704, 34-39456
Dec. 17, 1997
S7-30-97
Net Capital Rule Comments Due: View Received Comments 90 days after publication in the Federal Register Comments received electronically are available Federal Register version (62 FR 67996)
34-39455, 34-39704, 34-39456
Dec. 17, 1997
S7-31-97
Net Capital Rule Comments Due: View Received Comments 90 days after publication in the Federal Register Comments received electronically are available Federal Register version (62 FR 67996)
34-39457
Dec. 17, 1997
S7-33-97
Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (62 FR 68018)
34-39455, 34-39704, 34-39456
Dec. 17, 1997
S7-31-97
Net Capital Rule Comments Due: View Received Comments 90 days after publication in the Federal Register Comments received electronically are available Federal Register version (62 FR 67996)
34-39455, 34-39704, 34-39456
Dec. 17, 1997
S7-30-97
Net Capital Rule Comments Due: View Received Comments 90 days after publication in the Federal Register Comments received electronically are available Federal Register version (62 FR 67996)
33-7475, 33-7766
Nov. 13, 1997
S7-27-97
Delivery of Disclosure Documents to Households Comments Due: View Received Comments 1998 Comments received electronically are available Federal Register version (62 FR 61933)
33-7475, 33-7766
Nov. 13, 1997
S7-27-97
Delivery of Disclosure Documents to Households Comments Due: View Received Comments 1998 Comments received electronically are available Federal Register version (62 FR 61933)
IA-1681, IA-1733
Nov. 13, 1997
S7-28-97
Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940 Comments Due: View Received Comments 1998 Comments received electronically are available Federal Register version (62 FR 61866)
IA-1681, IA-1733
Nov. 13, 1997
S7-28-97
Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940 Comments Due: View Received Comments 1998 Comments received electronically are available Federal Register version (62 FR 61866)
IA-1682, IA-1731
Nov. 13, 1997
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 Comments Due: View Received Comments 1998 Comments received electronically are available Federal Register version (62 FR 61882)
IA-1682, IA-1731
Nov. 13, 1997
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 Comments Due: View Received Comments 1998 Comments received electronically are available Federal Register version (62 FR 61882)
34-39093, 34-40018
Sept. 19, 1997
S7-25-97
Amendments to Rules on Shareholder Proposals Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available , s72597cn.htm Federal Register version (62 FR 50682)
34-39093, 34-40018
Sept. 19, 1997
S7-25-97
Amendments to Rules on Shareholder Proposals Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available , s72597cn.htm Federal Register version (62 FR 50682)
33-7430, 33-7448
July 14, 1997
S7-19-97
Registration Under the Securities Act of 1933 of Certain Investment Company Securities Comments Due: View Received Comments 1997 Comments received electronically are available Federal Register version (62 FR 38495)
33-7430, 33-7448
July 14, 1997
S7-19-97
Registration Under the Securities Act of 1933 of Certain Investment Company Securities Comments Due: View Received Comments 1997 Comments received electronically are available Federal Register version (62 FR 38495)
34-38800
July 2, 1997
S7-18-97
Rulemaking for EDGAR System Comments Due: View Received Comments 1997 Comments received electronically are available , for this proposal. Additional materials available Federal Register version (62 FR 36467)
33-7422
June 10, 1997
S7-17-97
Covered Securities Pursuant to Section 18 of the Securities Act of 1933 Comments Due:
33-7404
March 14, 1997
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 Comments Due: Federal Register version (62 FR 13356) Note: see actual proposed rule below (#s7497)
33-7404
March 14, 1997
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 Comments Due: Federal Register version (62 FR 13356) Note: see actual proposed rule below (#s7497)
33-7398, 33-7512f, 33-7512r
Feb. 27, 1997
S7-10-97
Registration Form Used by Open-End Management Investment Companies Comments Due: View Received Comments 1997 Comments received electronically are available , for this proposal. Additional materials available Federal Register version (62 FR 24160)
33-7398, 33-7512f, 33-7512r
Feb. 27, 1997
S7-10-97
Registration Form Used by Open-End Management Investment Companies Comments Due: View Received Comments 1997 Comments received electronically are available , for this proposal. Additional materials available Federal Register version (62 FR 24160)
33-7399
Feb. 27, 1997
S7-18-96
Proposed New Disclosure Option for Open-End Management Investment Companies Comments Due: View Received Comments are available Federal Register version (62 FR 24160) Note: Comments on this proposal were received electronically some months before its release; all such comments, whether received before and after release, are available from the same page
33-7398, 33-7512f, 33-7512r
Feb. 27, 1997
S7-10-97
Registration Form Used by Open-End Management Investment Companies Comments Due: View Received Comments 1997 Comments received electronically are available , for this proposal. Additional materials available Federal Register version (62 FR 24160)
33-7398, 33-7512f, 33-7512r
Feb. 27, 1997
S7-10-97
Registration Form Used by Open-End Management Investment Companies Comments Due: View Received Comments 1997 Comments received electronically are available , for this proposal. Additional materials available Federal Register version (62 FR 24160)
33-7398, 33-7512f, 33-7512r
Feb. 27, 1997
S7-10-97
Registration Form Used by Open-End Management Investment Companies Comments Due: View Received Comments 1997 Comments received electronically are available , for this proposal. Additional materials available Federal Register version (62 FR 24160)
33-7398, 33-7512f, 33-7512r
Feb. 27, 1997
S7-10-97
Registration Form Used by Open-End Management Investment Companies Comments Due: View Received Comments 1997 Comments received electronically are available , for this proposal. Additional materials available Federal Register version (62 FR 24160)
IC-22530, IC-24828
Feb. 27, 1997
S7-11-97
Investment Company Names Comments Due: View Received Comments 1997 Comments received electronically are available Federal Register version (62 FR 24161)
IC-22530, IC-24828
Feb. 27, 1997
S7-11-97
Investment Company Names Comments Due: View Received Comments 1997 Comments received electronically are available Federal Register version (62 FR 24161)
33-7391
Feb. 20, 1997
S7-07-97
Revision of Rule 144, Rule 145 and Form 144 Comments Due: View Received Comments 1997 Comments received electronically are available Federal Register version (62 FR 9246)
33-7392
Feb. 20, 1997
S7-8-97
Offshore Offers and Sales Comments Due: View Received Comments 1997 Comments received electronically are available Federal Register version (62 FR 9258)
33-7393
Feb. 20, 1997
S7-9-97
Delayed Pricing for Certain Registrants Comments Due: View Received Comments 1997 Comments received electronically are available Federal Register version (62 FR 9276)
33-7388, 33-7418
Feb. 11, 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. Comments Due: Federal Register version (62 FR 7186)
33-7388, 33-7418
Feb. 11, 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. Comments Due: Federal Register version (62 FR 7186)
33-7383
Jan. 22, 1997
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 (62 FR 4106) Note: Comments deadline extended to April 30, 1997; see Rel. No. 33-7404, above (#s7497a)
34-38164, 33-7497
Jan. 14, 1997
S7-3-97
Plain English Disclosure Comments Due: View Received Comments 1997 Comments received electronically are available , available Federal Register version (62 FR 3152)
34-38164, 33-7497
Jan. 14, 1997
S7-3-97
Plain English Disclosure Comments Due: View Received Comments 1997 Comments received electronically are available , available Federal Register version (62 FR 3152)
34-38159
Jan. 13, 1997
S7-27-96
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 Comments Due: Federal Register version (62 FR 2633)
IA-1601
Dec. 20, 1996
S7-31-96
Rules Implementing Amendments to the Investment Advisers Act of 1940 View Received Comments S7-31-96 Comments received electronically are available Federal Register version (61 FR 68480) Note: Form ADV-T can be obtained from our Public Reference Room; call 202-942-8090
IC-22405
Dec. 18, 1996
S7-30-96
Private Investment Companies Comments Due: View Received Comments 1997 Comments received electronically are available Federal Register version (61 FR 68100)
33-7371, 33-7479
Dec. 10, 1996
S7-29-96
Technical Revisions to the Rules and Forms Regulating Money Market Funds Comments Due: View Received Comments 1997 Comments received electronically are available Federal Register version (61 FR 66621)
33-7371, 33-7479
Dec. 10, 1996
S7-29-96
Technical Revisions to the Rules and Forms Regulating Money Market Funds Comments Due: View Received Comments 1997 Comments received electronically are available Federal Register version (61 FR 66621)
33-7369
Dec. 6, 1996
S7-28-96
Rulemaking for the EDGAR System Comments Due: View Received Comments 30 days after publication in the Federal Register Comments received electronically are available Federal Register version (61 FR 65440)
34-37850
Oct. 22, 1996
S7-27-96
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (61 FR 55593)
33-7356, 33-7470
Oct. 10, 1996
S7-26-96
Offshore Press Conferences, Meetings With Company Representatives Conducted Offshore and Press Related Materials Released Offshore Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (61 FR 54518)
33-7356, 33-7470
Oct. 10, 1996
S7-26-96
Offshore Press Conferences, Meetings With Company Representatives Conducted Offshore and Press Related Materials Released Offshore Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (61 FR 54518)
IC-22203, IC-22835
Sept. 10, 1996
S7-24-96
Rule Amendments Relating to Multiple Class and Series Investment Companies Comments Due: Federal Register version (61 FR 49022)
IC-22203, IC-22835
Sept. 10, 1996
S7-24-96
Rule Amendments Relating to Multiple Class and Series Investment Companies Comments Due: Federal Register version (61 FR 49022)
33-7326, 33-7419
Aug. 30, 1996
S7-23-96
Expansion of Short-Form Registration To Include Companies With Non-voting Common Equity Comments Due: Federal Register version (61 FR 47706)
33-7326, 33-7419
Aug. 30, 1996
S7-23-96
Expansion of Short-Form Registration To Include Companies With Non-voting Common Equity Comments Due: Federal Register version (61 FR 47706)
34-37620
Aug. 29, 1996
S7-22-96
Proposed Quote Rule Amendment Comments Due: Federal Register version (61 FR 48333)
34-37594
Aug. 22, 1996
S7-20-96
Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934 Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available
34-37595, 34-39176
Aug. 22, 1996
S7-21-96
Lost Securityholders Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (61 FR 44249)
34-37595, 34-39176
Aug. 22, 1996
S7-21-96
Lost Securityholders Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (61 FR 44249)
34-37432
July 12, 1996
S7-17-96
Broker-Dealer Registration and Reporting Comments Due: Federal Register version (61 FR 37701)
34-37403, 34-39538
July 5, 1996
S7-16-96
Amendments to Beneficial Ownership Reporting Requirements Comments Due: Federal Register version (61 FR 36521)
34-37403, 34-39538
July 5, 1996
S7-16-96
Amendments to Beneficial Ownership Reporting Requirements Comments Due: Federal Register version (61 FR 36521)
33-7301, 33-7431 Part 1
May 31, 1996
S7-15-96
Phase Two Recommendations of Task Force on Disclosure Simplification Comments Due: View Received Comments 45 days after publicationin the Federal Register Comments received electronically are available Federal Register version (61 FR 30405)
33-7301, 33-7431 Part 1
May 31, 1996
S7-15-96
Phase Two Recommendations of Task Force on Disclosure Simplification Comments Due: View Received Comments 45 days after publicationin the Federal Register Comments received electronically are available Federal Register version (61 FR 30405)
33-7301, 33-7431 Part 1
May 31, 1996
S7-15-96
Phase Two Recommendations of Task Force on Disclosure Simplification Comments Due: View Received Comments 45 days after publicationin the Federal Register Comments received electronically are available Federal Register version (61 FR 30405)
33-7301, 33-7431 Part 1
May 31, 1996
S7-15-96
Phase Two Recommendations of Task Force on Disclosure Simplification Comments Due: View Received Comments 45 days after publicationin the Federal Register Comments received electronically are available Federal Register version (61 FR 30405)
33-7301, 33-7431 Part 1
May 31, 1996
S7-15-96
Phase Two Recommendations of Task Force on Disclosure Simplification Comments Due: View Received Comments 45 days after publicationin the Federal Register Comments received electronically are available Federal Register version (61 FR 30405)
33-7301, 33-7431 Part 1
May 31, 1996
S7-15-96
Phase Two Recommendations of Task Force on Disclosure Simplification Comments Due: View Received Comments 45 days after publicationin the Federal Register Comments received electronically are available Federal Register version (61 FR 30405)
33-7283, 33-7376
April 19, 1996
S7-12-96
Odd-lot Tender Offers by Issuers Comments Due: View Received Comments 30 days after publication in the Federal Register Comments received electronically are available Federal Register version (61 FR 18305)
33-7283, 33-7376
April 19, 1996
S7-12-96
Odd-lot Tender Offers by Issuers Comments Due: View Received Comments 30 days after publication in the Federal Register Comments received electronically are available Federal Register version (61 FR 18305)
33-7282
April 11, 1996
S7-11-96
Trading Practices Rules Concerning Securities Offerings Comments Due: View Received Comments 60 days after publication in the Federal Register Comments received electronically are available Federal Register version (61 FR 17108)
33-7280
April 9, 1996
S7-10-96
Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments Comments Due: Federal Register version (61 FR 16672)
33-7281
April 9, 1996
S7-35-95
Proposed Amendments To Require Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments Comments Due: Federal Register version (61 FR 16674)
IC-21838
March 21, 1996
S7-7-96
Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate Comments Due: Federal Register version (61 FR 13630)
33-7253
Jan. 11, 1996
S7-32-95
Calculation of Yield by Certain Unit Investment Trusts Comments Due: Federal Register version (61 FR 1312)
33-7250
Dec. 28, 1995
S7-35-95
Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625
33-7242
Nov. 22, 1995
S7-32-95
Calculation of Yield by Certain Unit Investment Trusts
IC-21398
Oct. 5, 1995
S7-23-95
Custody of Investment Company Assets Outside the United States Extension of Comment Period Federal Register version (60 FR 53152)
33-7212
Sept. 8, 1995
S7-25-95
Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters Comments Due: View Received Comments 1995 Comments received electronically are available Federal Register version (60 FR 47844)
IC-21259
July 27, 1995
S7-23-95
Custody of Investment Company Assets Outside the United States Federal Register version (60 FR 39592)
IC-21260, IC-22579
July 27, 1995
S7-24-95
Status of Investment Advisory Programs Under the Investment Company Act of 1940 Federal Register version (60 FR 39574)
IC-21260, IC-22579
July 27, 1995
S7-24-95
Status of Investment Advisory Programs Under the Investment Company Act of 1940 Federal Register version (60 FR 39574)
33-7196
July 19, 1995
Money Market Fund Prospectuses Federal Register version (60 FR 38454)
