34-69606
May 20, 2013
S7-01-13
Regulation Systems Compliance and Integrity Comments Due: View Received Comments Staff Guidance on Current SCI Industry Standards , Proposed Rule Release No. 34-69077 Federal Register version (78 FR 30803)
34-69490
May 1, 2013
S7-34-10
Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants File Nos.: Comments Due: View Received Comments Proposed Rule Release No. 34-69490 , Proposed Rule Release No. 34-69490 , Proposed Rule Release No. 34-69490 , Proposed Rule Release No. 34-69490 , 34-63346 , 34-65543 Federal Register version (78 FR 30967)
34-69490
May 1, 2013
S7-02-13
Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants File Nos.: Comments Due: View Received Comments Proposed Rule Release No. 34-69490 , Proposed Rule Release No. 34-69490 , Proposed Rule Release No. 34-69490 , Proposed Rule Release No. 34-69490 , 34-63346 , 34-65543 Federal Register version (78 FR 30967)
34-69491
May 1, 2013
S7-27-10
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-06-11
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-43-10
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-32-10
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-08-11
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-03-11
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-40-11
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-34-10
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-32-10
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-08-12
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-03-11
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-34-10
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-27-10
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-08-12
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-25-11
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69491
May 1, 2013
S7-35-10
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: Comments Due: View Received Comments Federal Register version (78 FR 30800)
34-69077
March 8, 2013
S7-01-13
Regulation Systems Compliance and Integrity Comments Due: View Received Comments Staff Guidance on Current SCI Industry Standards Federal Register version (78 FR 18083)
34-68660
Jan. 15, 2013
S7-08-12
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Comments Due: View Received Comments Proposed Rule Release Nos. 34-69491 , Release No. 34-68071 Federal Register version (78 FR 4365)
34-68071
Oct. 18, 2012
S7-08-12
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Comments Due: View Received Comments Proposed Rule Release Nos. 34-69491 , Release No. 34-68071A.pdf Federal Register version (77 FR 71369)
34-68071
Oct. 18, 2012
S7-08-12
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Comments Due: View Received Comments Proposed Rule Release Nos. 34-69491 , Release No. 34-68071A.pdf Federal Register version (77 FR 71369)
IA-3483
Oct. 9, 2012
S7-23-07
Temporary Rule Regarding Principal Trades With Certain Advisory Clients Comments Due: View Received Comments Proposed Rule Release No. IA-3118 , Small Entity Compliance Guide Federal Register version (77 FR 62185)
33-9354
Aug. 29, 2012
S7-07-12
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings Comments Due: View Received Comments Federal Register version (77 FR 54464)
33-9354
Aug. 29, 2012
S7-07-12
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings Comments Due: View Received Comments Federal Register version (77 FR 54464)
34-66910
May 3, 2012
S7-08-07
Amendments to Financial Responsibility Rules for Broker-Dealers Comments Due: View Received Comments Proposed Rule Release Nos. 34-55431 Federal Register version (77 FR 27150)
33-9309, 33-9570
April 3, 2012
S7-12-10
Investment Company Advertising: Target Date Retirement Fund Names and Marketing Comments Due: View Received Comments Federal Register version (77 FR 20749)
33-9309, 33-9570
April 3, 2012
S7-12-10
Investment Company Advertising: Target Date Retirement Fund Names and Marketing Comments Due: View Received Comments Federal Register version (77 FR 20749)
IC-29969
Feb. 27, 2012
S7-02-12
Identity Theft Red Flags Rules Comments Due: View Received Comments Federal Register version (77 FR 13449)
IC-29969
Feb. 27, 2012
S7-02-12
Identity Theft Red Flags Rules Comments Due: View Received Comments Federal Register version (77 FR 13449)
34-66057
Dec. 23, 2011
S7-41-11
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Comments Due: View Received Comments 34-65545 Federal Register version (77 FR 23)
34-66057
Dec. 23, 2011
S7-41-11
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Comments Due: View Received Comments 34-65545 Federal Register version (77 FR 23)
34-66058
Dec. 23, 2011
S7-38-11
Prohibition Against Conflicts of Interest in Certain Securitizations Comments Due: View Received Comments Federal Register version (77 FR 24)
34-65942
Dec. 13, 2011
S7-38-11
Prohibition Against Conflicts of Interest in Certain Securitizations Comments Due: View Received Comments Federal Register version (76 FR 78181)
34-65543
Oct. 12, 2011
S7-07-13
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants Comments Due: View Received Comments Proposed Rule Release Nos. 34-69491 , Form SBSE , Form SBSE-A , Form SBSE-BD , Form SBSE-C , Form SBSE-W , 34-75611.pdf , Security-Based Swaps Implementation Policy Statement Federal Register version (76 FR 65783) Note: Form SBSE ; Form SBSE-A ; Form SBSE-BD ; Form SBSE-C ; Form SBSE-W See also: Final Rule Release No. 34-75611 ; Security-Based Swaps Implementation Policy Statement
34-65543
Oct. 12, 2011
S7-40-11
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants Comments Due: View Received Comments Proposed Rule Release Nos. 34-69491 , Form SBSE , Form SBSE-A , Form SBSE-BD , Form SBSE-C , Form SBSE-W , 34-75611.pdf , Security-Based Swaps Implementation Policy Statement Federal Register version (76 FR 65783) Note: Form SBSE ; Form SBSE-A ; Form SBSE-BD ; Form SBSE-C ; Form SBSE-W See also: Final Rule Release No. 34-75611 ; Security-Based Swaps Implementation Policy Statement
34-65545
Oct. 12, 2011
S7-41-11
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Comments Due: View Received Comments Proposed Rule Release Nos. 34-66057 Federal Register version (76 FR 68846)
34-65545
Oct. 12, 2011
S7-41-11
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Comments Due: View Received Comments Proposed Rule Release Nos. 34-66057 Federal Register version (76 FR 68846)
34-65355
Sept. 19, 2011
S7-38-11
Prohibition Against Conflicts of Interest in Certain Securitizations Comments Due: View Received Comments S7-38-11 Federal Register version Federal Register version (76 FR 60319)
33-9251
Aug. 8, 2011
S7-31-11
Covered Securities Pursuant to Section 18 of the Securities Act of 1933 Comments Due: View Received Comments 2011 Federal Register version , 33-9295.pdf Federal Register version (76 FR 49698)
33-9244, 34-64968
July 26, 2011
S7-08-10
Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities Comments Due: View Received Comments 2011 Federal Register version , and 33-9117 Federal Register version (76 FR 47947)
33-9244, 34-64968
July 26, 2011
S7-08-10
Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities Comments Due: View Received Comments 2011 Federal Register version , and 33-9117 Federal Register version (76 FR 47947)
34-64766
June 29, 2011
S7-25-11
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Comments Due: View Received Comments Proposed Rule Release Nos. 34-69491 , Federal Register version , 34-77617.pdf , Security-Based Swaps Implementation Policy Statement Federal Register version (76 FR 46668)
34-64676
June 15, 2011
S7-23-11
Broker-Dealer Reports Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 37571)
34-64676
June 15, 2011
S7-23-11
Broker-Dealer Reports Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 37571)
33-9222
June 9, 2011
S7-22-11
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies Comments Due: View Received Comments 2011 Federal Register version , 33-9308.pdf Federal Register version (76 FR 34920)
34-64603
June 6, 2011
S7-14-11
Credit Risk Retention Comments Due: View Received Comments 2011 Federal Register version , Credit Risk Retention Federal Register version (76 FR 34010)
33-9204A, 34-64372A
June 1, 2011
S7-16-11
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping S7-16-11 Federal Register version , Proposed Rule Release No. 33-9204 Federal Register version (76 FR 32880)
33-9204A, 34-64372A
June 1, 2011
S7-16-11
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping S7-16-11 Federal Register version , Proposed Rule Release No. 33-9204 Federal Register version (76 FR 32880)
33-9211
May 25, 2011
S7-21-11
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 31518)
33-9211
May 25, 2011
S7-21-11
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 31518)
34-64514
May 18, 2011
S7-18-11
Nationally Recognized Statistical Rating Organizations Comments Due: View Received Comments 2011 Federal Register version , 34-72936.pdf Federal Register version (76 FR 33419)
PA-45
May 18, 2011
S7-19-11
Privacy Act of 1974: Implementation and Amendment of Exemptions Comments Due: View Received Comments 2011 Federal Register version , pa-47.pdf Federal Register version (76 FR 30048)
IA-3198
May 10, 2011
S7-17-11
Investment Adviser Performance Compensation Comments Due: View Received Comments 2011 Federal Register version , ia-3372.pdf Federal Register version (76 FR 27959)
33-9203, 34-64366
April 29, 2011
S7-13-11
Listing Standards for Compensation Committees Comments Due: View Received Comments 2011 Federal Register version , and 33-9199 , 33-9330.pdf Federal Register version (76 FR 25273)
33-9204
April 29, 2011
S7-16-11
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Federal Register version (76 FR 29817)
33-9204
April 29, 2011
S7-16-11
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Federal Register version (76 FR 29817)
33-9203, 34-64366
April 29, 2011
S7-13-11
Listing Standards for Compensation Committees Comments Due: View Received Comments 2011 Federal Register version , and 33-9199 , 33-9330.pdf Federal Register version (76 FR 25273)
34-64352
April 27, 2011
S7-15-11
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 26549)
34-64352
April 27, 2011
S7-15-11
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 26549)
33-9199
March 30, 2011
S7-13-11
Listing Standards for Compensation Committees Comments Due: View Received Comments 2011 Federal Register version , Proposed Rule Release Nos. 33-9203 , 33-9330.pdf Federal Register version (76 FR 18966)
34-64148
March 30, 2011
S7-14-11
Credit Risk Retention Comments Due: View Received Comments 2011 Federal Register version , 34-64603 Federal Register version (76 FR 24089)
34-64140
March 29, 2011
S7-12-11
Incentive-Based Compensation Arrangements Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 21169)
34-64099
March 18, 2011
S7-11-11
Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 16707)
34-64099
March 18, 2011
S7-11-11
Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 16707)
34-64087
March 17, 2011
S7-10-11
Beneficial Ownership Reporting Requirements and Security-Based Swaps Comments Due: View Received Comments 2011 Federal Register version , 34-64628.pdf Federal Register version (76 FR 15874)
33-9193, IC-29592
March 3, 2011
S7-07-11
References to Credit Ratings in Certain Investment Company Act Rules and Forms Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 12896)
33-9193, IC-29592
March 3, 2011
S7-7-11
References to Credit Ratings in Certain Investment Company Act Rules and Forms Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 12896)
33-9193, IC-29592
March 3, 2011
S7-07-11
References to Credit Ratings in Certain Investment Company Act Rules and Forms Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 12896)
34-64017
March 3, 2011
S7-08-11
Clearing Agency Standards for Operation and Governance Comments Due: View Received Comments Proposed Rule Release Nos. 34-69491 , Federal Register version , Security-Based Swaps Implementation Policy Statement Federal Register version (76 FR 14471)
33-9193, IC-29592
March 3, 2011
S7-07-11
References to Credit Ratings in Certain Investment Company Act Rules and Forms Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 12896)
33-9193, IC-29592
March 3, 2011
S7-7-11
References to Credit Ratings in Certain Investment Company Act Rules and Forms Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 12896)
33-9193, IC-29592
March 3, 2011
S7-07-11
References to Credit Ratings in Certain Investment Company Act Rules and Forms Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 12896)
34-64018
March 3, 2011
S7-27-10
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 12645)
33-9186, 34-63874
Feb. 9, 2011
S7-18-08
Security Ratings Comments Due: View Received Comments 2011 Federal Register version , 33-9245.pdf Federal Register version (76 FR 8946)
33-9186, 34-63874
Feb. 9, 2011
S7-18-08
Security Ratings Comments Due: View Received Comments 2011 Federal Register version , 33-9245.pdf Federal Register version (76 FR 8946)
34-63825
Feb. 2, 2011
S7-06-11
Registration and Regulation of Security-Based Swap Execution Facilities Comments Due: View Received Comments Proposed Rule Release Nos. 34-69491 , Federal Register version , Security-Based Swaps Implementation Policy Statement Federal Register version (76 FR 10947)
33-9179, 34-63794
Jan. 28, 2011
S7-41-10
Mine Safety Disclosure Comments Due: View Received Comments 2011 Federal Register version , Proposed Rule Release No. 33-9164 Federal Register version (76 FR 6110)
34-63793
Jan. 28, 2011
S7-40-10
Conflict Minerals Comments Due: View Received Comments 2011 Federal Register version , Proposed Rule Release Nos. 34-63547 , 34-67716.pdf Federal Register version (76 FR 6110)
33-9179, 34-63794
Jan. 28, 2011
S7-41-10
Mine Safety Disclosure Comments Due: View Received Comments 2011 Federal Register version , Proposed Rule Release No. 33-9164 Federal Register version (76 FR 6110)
34-63795
Jan. 28, 2011
S7-42-10
Disclosure of Payments by Resource Extraction Issuers Comments Due: View Received Comments 2011 Federal Register version , Proposed Rule Release Nos. 34-63549 , 34-67717.pdf Federal Register version (76 FR 6111)
IA-3145
Jan. 26, 2011
S7-05-11
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF Comments Due: View Received Comments 2011 Federal Register version , ia-3308.pdf Federal Register version (76 FR 8067)
33-9177, 33-9287A, IA-3144, IC-29572
Jan. 25, 2011
S7-04-11
Net Worth Standard for Accredited Investors Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 5307)
33-9177, 33-9287A, IA-3144, IC-29572
Jan. 25, 2011
S7-04-11
Net Worth Standard for Accredited Investors Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 5307)
33-9177, 33-9287A, IA-3144, IC-29572
Jan. 25, 2011
S7-04-11
Net Worth Standard for Accredited Investors Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 5307)
33-9177, 33-9287A, IA-3144, IC-29572
Jan. 25, 2011
S7-04-11
Net Worth Standard for Accredited Investors Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 5307)
34-63727
Jan. 14, 2011
S7-03-11
Trade Acknowledgment and Verification of Security-Based Swap Transactions Comments Due: View Received Comments Proposed Rule Release Nos. 34-69491 , Federal Register version , Security-Based Swaps Implementation Policy Statement Federal Register version (76 FR 3859)
34-63727
Jan. 14, 2011
S7-03-11
Trade Acknowledgment and Verification of Security-Based Swap Transactions Comments Due: View Received Comments Proposed Rule Release Nos. 34-69491 , Federal Register version , Security-Based Swaps Implementation Policy Statement Federal Register version (76 FR 3859)
34-63652
Jan. 6, 2011
S7-02-11
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934 Comments Due: View Received Comments 2011 Federal Register version , 34-65148.pdf Federal Register version (76 FR 2049)
34-63576, 34-67901
Dec. 20, 2010
S7-19-10
Registration of Municipal Advisors Comments Due: View Received Comments 2011 Federal Register version , 34-71288.pdf , Extension of Temporary Registration of Municipal Advisors , Small Entity Compliance Guide Federal Register version (76 FR 823)
34-63576, 34-67901
Dec. 20, 2010
S7-45-10
Registration of Municipal Advisors Comments Due: View Received Comments 2011 Federal Register version , 34-71288.pdf , Extension of Temporary Registration of Municipal Advisors , Small Entity Compliance Guide Federal Register version (76 FR 823)
34-63576, 34-67901
Dec. 20, 2010
S7-45-10
Registration of Municipal Advisors Comments Due: View Received Comments 2011 Federal Register version , 34-71288.pdf , Extension of Temporary Registration of Municipal Advisors , Small Entity Compliance Guide Federal Register version (76 FR 823)
34-63576, 34-67901
Dec. 20, 2010
S7-19-10
Registration of Municipal Advisors Comments Due: View Received Comments 2011 Federal Register version , 34-71288.pdf , Extension of Temporary Registration of Municipal Advisors , Small Entity Compliance Guide Federal Register version (76 FR 823)
34-63576, 34-67901
Dec. 20, 2010
S7-45-10
Registration of Municipal Advisors Comments Due: View Received Comments 2011 Federal Register version , 34-71288.pdf , Extension of Temporary Registration of Municipal Advisors , Small Entity Compliance Guide Federal Register version (76 FR 823)
34-63576, 34-67901
Dec. 20, 2010
S7-45-10
Registration of Municipal Advisors Comments Due: View Received Comments 2011 Federal Register version , 34-71288.pdf , Extension of Temporary Registration of Municipal Advisors , Small Entity Compliance Guide Federal Register version (76 FR 823)
33-9164, 34-63548
Dec. 15, 2010
S7-41-10
Mine Safety Disclosure Comments Due: View Received Comments 2011 Federal Register version , 33-9286.pdf Federal Register version (75 FR 80374)
34-63547
Dec. 15, 2010
S7-40-10
Conflict Minerals Comments Due: View Received Comments 2011 Federal Register version , and 34-63793 , 34-67716.pdf Federal Register version (75 FR 80947)
33-9164, 34-63548
Dec. 15, 2010
S7-41-10
Mine Safety Disclosure Comments Due: View Received Comments 2011 Federal Register version , 33-9286.pdf Federal Register version (75 FR 80374)
34-63549
Dec. 15, 2010
S7-42-10
Disclosure of Payments by Resource Extraction Issuers Comments Due: View Received Comments 2011 Federal Register version , 34-63795 , 34-67717.pdf Federal Register version (75 FR 80977)
