Proposed

Release Number SEC Issue Date File Number Details
33-7301, 33-7431 Part 1 S7-15-96 Phase Two Recommendations of Task Force on Disclosure Simplification
Comments Due: 45 days after publicationin the Federal Register
View Received Comments
Federal Register version (61 FR 30405)
33-7301, 33-7431 Part 1 S7-15-96 Phase Two Recommendations of Task Force on Disclosure Simplification
Comments Due: 45 days after publicationin the Federal Register
View Received Comments
Federal Register version (61 FR 30405)
33-7283, 33-7376 S7-12-96 Odd-lot Tender Offers by Issuers
Comments Due: 30 days after publication in the Federal Register
View Received Comments
See Also - 30 days after publication in the Federal Register Comments received electronically are available
Federal Register version (61 FR 18305)
33-7283, 33-7376 S7-12-96 Odd-lot Tender Offers by Issuers
Comments Due: 30 days after publication in the Federal Register
View Received Comments
See Also - 30 days after publication in the Federal Register Comments received electronically are available
Federal Register version (61 FR 18305)
33-7282 S7-11-96 Trading Practices Rules Concerning Securities Offerings
Comments Due: 60 days after publication in the Federal Register
View Received Comments
Federal Register version (61 FR 17108)
33-7280 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: May 20, 1996
Federal Register version (61 FR 16672)
33-7281 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: May 20, 1996
Federal Register version (61 FR 16674)
IC-21838 S7-7-96 Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate
Comments Due: June 3, 1996
Federal Register version (61 FR 13630)
33-7253 S7-32-95 Calculation of Yield by Certain Unit Investment Trusts
Comments Due: March 29, 1996
Federal Register version (61 FR 1312)
33-7250 S7-35-95 Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625
33-7242 S7-32-95 Calculation of Yield by Certain Unit Investment Trusts
IC-21398 S7-23-95 Custody of Investment Company Assets Outside the United States Extension of Comment Period
Federal Register version (60 FR 53152)
33-7212 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: November 13, 1995
View Received Comments
Federal Register version (60 FR 47844)
IC-21259 S7-23-95 Custody of Investment Company Assets Outside the United States
Federal Register version (60 FR 39592)
IC-21260, IC-22579 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 S7-24-95 Status of Investment Advisory Programs Under the Investment Company Act of 1940
Federal Register version (60 FR 39574)
33-7196 Money Market Fund Prospectuses
Federal Register version (60 FR 38454)
IC-21217 S7-22-95 Money Market Fund Quarterly Reporting
Federal Register version (60 FR 38467)
33-7183 S7-13-95 Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934
Federal Register version (60 FR 35604)
33-7184 S7-14-95 Streamlining and Consolidation of Executive and Director Compensation Disclosure
Comments Due: September 8, 1995
View Received Comments
Federal Register version (60 FR 35633)
33-7188 S7-18-95 Solicitations of Interest Prior to an Initial Public Offering
Federal Register version (60 FR 35648)
34-34923 S7-31-94 Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others
Federal Register version
35-26312, 35-26826 S7-11-95 Exemption of Issuance and Sale of Securities By Public-Utility and Nonutility Subsidiary Companies of Registered Public-Utility Holding Companies
Federal Register version (60 FR 33640)
35-26313 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 Businesses; Exemption of Capital Contributions and Advances to Such Companies
Federal Register version (60 FR 33642)
35-26312, 35-26826 S7-11-95 Exemption of Issuance and Sale of Securities By Public-Utility and Nonutility Subsidiary Companies of Registered Public-Utility Holding Companies
Federal Register version (60 FR 33640)
34-35375 S7-5-95 Disclosure by Investment Advisers Regarding Soft Dollar Practices
Federal Register version (60 FR 9750)
34-35323 S7-4-95 Unlisted Trading Privileges
Federal Register version (60 FR 7718)
33-7133 S7-3-95 Registration Fees for Certain Investment Companies
Federal Register version (60 FR 7146)
34-35040 S7-35-94 Proposed Amendments to the Transfer Agent Rules
Federal Register version
34-34903 S7-30-94 Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices
Federal Register version
34-34753 S7-28-94 Customer Limit Orders
View Received Comments
See Also - S7-28-94 Comments received electronically are available
Federal Register version
34-26100 S7-20-88 Amendments to Municipal Securities Disclosure