Proposed

Release Number SEC Issue Date File Number Details
33-8297, 33-8713 S7-18-03 Fund of Funds Investments
Comments Due: December 3, 2003
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See Also - 2003. Federal Register PDF
Federal Register version (68 FR 58225)
33-8287 S7-16-03 Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts
Comments Due: October 17, 2003
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Federal Register version (68 FR 54643)
34-48481 S7-15-03 Foreign Bank Exemption From the Insider Lending Prohibition of Exchange Act Section 13(k)
Comments Due: October 17, 2003
View Received Comments
See Also - Summary of Comments
Federal Register version (68 FR 54589)
34-48481 S7-15-03 Foreign Bank Exemption From the Insider Lending Prohibition of Exchange Act Section 13(k)
Comments Due: October 17, 2003
View Received Comments
See Also - Summary of Comments
Federal Register version (68 FR 54589)
34-48301 S7-14-03 Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors
Comments Due: September 15, 2003
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See Also - Summary of Comments
Federal Register version (68 FR 48723)
34-48301 S7-14-03 Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors
Comments Due: September 15, 2003
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See Also - Summary of Comments
Federal Register version (68 FR 48723)
34-48036 S7-13-03 Recordkeeping Requirements for Registered Transfer Agents
Comments Due: July 21, 2003
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Federal Register version (68 FR 36951)
33-8212 S7-06-03 Certification of Disclosure in Certain Exchange Act Reports
Comments Due: May 15, 2003
View Received Comments
Federal Register version (68 FR 15599)
33-8212 S7-06-03 Certification of Disclosure in Certain Exchange Act Reports
Comments Due: May 15, 2003
View Received Comments
Federal Register version (68 FR 15599)
33-8212 S7-40-02 Certification of Disclosure in Certain Exchange Act Reports
Comments Due: May 15, 2003
View Received Comments
Federal Register version (68 FR 15599)
33-8212 S7-40-02 Certification of Disclosure in Certain Exchange Act Reports
Comments Due: May 15, 2003
View Received Comments
Federal Register version (68 FR 15599)
33-8212 S7-06-03 Certification of Disclosure in Certain Exchange Act Reports
Comments Due: May 15, 2003
View Received Comments
Federal Register version (68 FR 15599)
33-8212 S7-40-02 Certification of Disclosure in Certain Exchange Act Reports
Comments Due: May 15, 2003
View Received Comments
Federal Register version (68 FR 15599)
33-8212 S7-40-02 Certification of Disclosure in Certain Exchange Act Reports
Comments Due: May 15, 2003
View Received Comments
Federal Register version (68 FR 15599)
33-8190 S7-04-03 Rules of Practice
Comments Due: March 21, 2003
View Received Comments
Federal Register version (68 FR 8137)
IC-25925 S7-03-03 Compliance Programs of Investment Companies and Investment Advisers
Comments Due: April 18, 2003
View Received Comments
See Also - Notice of OMB Approval of Collections of Information, and Summary of Comments
Federal Register version (68 FR 7037)
33-8186 S7-45-02 Implementation of Standards of Professional Conduct for Attorneys
Comments Due: April 7, 2003
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See Also - 33-8186
Federal Register version (68 FR 6324)
33-8173 S7-02-03 Standards Relating to Listed Company Audit Committees
Comments Due: February 18, 2003
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See Also - Summary of Comments
Federal Register version (68 FR 2637)
33-8170 S7-52-02 Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5
Comments Due: February 10, 2003
View Received Comments
See Also - Summary of Comments
Federal Register version (67 FR 79465)
33-8164, 33-8393A S7-51-02 Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
Comments Due: February 14, 2003
View Received Comments
See Also - and summary of comments
Federal Register version (68 FR 159)
33-8164, 33-8393A S7-51-02 Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
Comments Due: February 14, 2003
View Received Comments
See Also - and summary of comments
Federal Register version (68 FR 159)
33-8164, 33-8393A S7-51-02 Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
Comments Due: February 14, 2003
View Received Comments
See Also - and summary of comments
Federal Register version (68 FR 159)
33-8164, 33-8393A S7-51-02 Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
Comments Due: February 14, 2003
View Received Comments
See Also - and summary of comments
Federal Register version (68 FR 159)
33-8160 S7-50-02 Rule 10b-18 and Purchases of Certain Equity Securities by the Issuer and Others
Comments Due: February 18, 2003
View Received Comments
See Also - and comment summary
Federal Register version (67 FR 77593)
33-8160 S7-50-02 Rule 10b-18 and Purchases of Certain Equity Securities by the Issuer and Others
Comments Due: February 18, 2003
View Received Comments
See Also - and comment summary
Federal Register version (67 FR 77593)
33-8154 S7-49-02 Strengthening the Commission's Requirements Regarding Auditor Independence
Comments Due: January 13, 2003
View Received Comments
Federal Register version (67 FR 76779)
33-8154 S7-49-02 Strengthening the Commission's Requirements Regarding Auditor Independence
Comments Due: January 13, 2003
View Received Comments
Federal Register version (67 FR 76779)
34-46920, 34-48272 S7-48-02 Broker-Dealer Exemption from Sending Certain Financial Information to Customers
Comments Due: January 2, 2003
View Received Comments
Federal Register version (67 FR 71909)
34-46920, 34-48272 S7-48-02 Broker-Dealer Exemption from Sending Certain Financial Information to Customers
Comments Due: January 2, 2003
View Received Comments
Federal Register version (67 FR 71909)
IC-28535 S7-47-02 Certain Research and Development Companies
Comments Due: January 15, 2003
View Received Comments
33-8150 S7-45-02 Implementation of Standards of Professional Conduct for Attorneys
Comments Due: December 18, 2002
View Received Comments
Federal Register version (67 FR 71669)
33-8151 S7-46-02 Retention of Records Relevant to Audits and Reviews
Comments Due: December 27, 2002
View Received Comments
Federal Register version (67 FR 71017)
34-46778 S7-44-02 Insider Trades During Pension Fund Blackout Periods
Comments Due: December 16, 2002
View Received Comments
Federal Register version (67 FR 69429)
33-8145 S7-44-02 Conditions for Use of Non-GAAP Financial Measures
Comments Due: December 13, 2002
View Received Comments
Federal Register version (67 FR 68790)
33-8145 S7-43-02 Conditions for Use of Non-GAAP Financial Measures
Comments Due: December 13, 2002
View Received Comments
Federal Register version (67 FR 68790)
33-8144 S7-42-02 Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements, Contractual Obligations and Contingent Liabilities and Commitments
Comments Due: December 9, 2002
View Received Comments
See Also - Summary of Comments
Federal Register version (67 FR 68054)
34-46745 S7-41-02 Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
Comments Due: December 5, 2002
View Received Comments
Federal Register version (67 FR 67495)
33-8138 S7-40-02 Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
File Nos.: S7-40-02, S7-06-03 Comments Due: November 29, 2002
View Received Comments
33-8138 S7-40-02 Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
File Nos.: S7-40-02, S7-06-03 Comments Due: November 29, 2002
View Received Comments
33-8138 S7-40-02 Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
File Nos.: S7-40-02, S7-06-03 Comments Due: November 29, 2002
View Received Comments
33-8138 S7-40-02 Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
File Nos.: S7-40-02, S7-06-03 Comments Due: November 29, 2002
View Received Comments
33-8138 S7-40-02 Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
File Nos.: S7-40-02, S7-06-03 Comments Due: November 29, 2002
View Received Comments
33-8138 S7-40-02 Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
File Nos.: S7-40-02, S7-06-03 Comments Due: November 29, 2002
View Received Comments
33-8138 S7-33-02 Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
File Nos.: S7-40-02, S7-06-03 Comments Due: November 29, 2002
View Received Comments
34-46685 S7-39-02 Improper Influence on Conduct of Audits
Comments Due: November 25, 2002
View Received Comments
Federal Register version (67 FR 65325)
33-8131 S7-36-02 Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
Comments Due: December 6, 2002
View Received Comments
Federal Register version (67 FR 60827)
IA-2059 S7-38-02 Proxy Voting By Investment Advisers
Comments Due: December 6, 2002
View Received Comments
Federal Register version (67 FR 60841)
34-46492 S7-34-02 Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products
Comments Due: October 23, 2002
View Received Comments
See Also - Rel. No. 34-46492
Federal Register version (67 FR 59747)
34-46441 S7-33-02 Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms
Comments Due: October 16, 2002
View Received Comments
See Also - for this proposal. Summary of Comments
Federal Register version (67 FR 57298)
34-46441 S7-21-02 Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms
Comments Due: October 16, 2002
View Received Comments
See Also - for this proposal. Summary of Comments
Federal Register version (67 FR 57298)
33-8119 S7-30-02 Regulation Analyst Certification
Comments Due: September 23, 2002
View Received Comments
See Also - 2003 Notice of OMB Approval of Collections of Information
Federal Register version (67 FR 51510)
34-46300 S7-21-02 Certification of Disclosure in Companies' Quarterly and Annual Reports
Comments Due: August 19, 2002
View Received Comments
See Also - 34-46079
Federal Register version (67 FR 51508)
33-8114 S7-29-02 Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
Comments Due: September 3, 2002
View Received Comments
Federal Register version (67 FR 50325)
IA-2044 S7-28-02 Custody of Funds or Securities of Clients by Investment Advisers
Comments Due: September 25, 2002
View Received Comments
See Also - for this proposal. Summary of Comments
Federal Register version (67 FR 48579)
IA-2044 S7-28-02 Custody of Funds or Securities of Clients by Investment Advisers
Comments Due: September 25, 2002
View Received Comments
See Also - for this proposal. Summary of Comments
Federal Register version (67 FR 48579)
34-46192 S7-25-02 Customer Identification Programs For Broker-Dealers
Comments Due: September 6, 2002
View Received Comments
Federal Register version (67 FR 48306)
IC-25657 S7-26-02 Customer Identification Programs for Mutual Funds
Comments Due: September 6, 2002
View Received Comments
Federal Register version (67 FR 48318)
33-8109 S7-21-02 Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process
Comments Due: September 3, 2002
View Received Comments
Federal Register version (67 FR 44963)
33-8109 S7-24-02 Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process
Comments Due: September 3, 2002
View Received Comments
Federal Register version (67 FR 44963)
33-8106 S7-22-02 Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
Comments Due: August 26, 2002
View Received Comments
Federal Register version (67 FR 42913)
33-8106 S7-22-02 Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
Comments Due: August 26, 2002
View Received Comments
Federal Register version (67 FR 42913)
34-46079 S7-21-02 Certification of Disclosure in Companies' Quarterly and Annual Reports
Comments Due: August 19, 2002
View Received Comments
See Also - Rel. Nos. 33-8109
Federal Register version (67 FR 41877)
34-46079 S7-21-02 Certification of Disclosure in Companies' Quarterly and Annual Reports
Comments Due: August 19, 2002
View Received Comments
See Also - Rel. Nos. 33-8109
Federal Register version (67 FR 41877)
34-46019 S7-20-02 Customer Protection-Reserves and Custody of Securities
Comments Due: July 25, 2002
View Received Comments
Federal Register version (67 FR 39642)
34-46014 S7-19-02 Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
Comments Due: July 10, 2002
View Received Comments
Federal Register version (67 FR 39647)
34-46002 S7-18-02 Repeal of Options Trade-Through Disclosure Rule
Comments Due: July 22, 2002
View Received Comments
Federal Register version (67 FR 38610)
33-8101 S7-17-02 Proposed Amendments to Investment Company Advertising Rules
Comments Due: July 31, 2002
View Received Comments
See Also - and comment summary
Federal Register version (67 FR 36711)
33-8098 S7-16-02 Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies
Comments Due: July 19, 2002
View Received Comments
Federal Register version (67 FR 35619)
34-45854 S7-14-02 Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting From Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
Comments Due: June 6, 2002
View Received Comments
Federal Register version (67 FR 30628)
IC-25557 S7-13-02 Transactions of Investment Companies With Portfolio and Subadvisory Affiliates
Comments Due: July 19, 2002
View Received Comments
See Also - for this proposal Summary of Comments
Federal Register version (67 FR 31081)
33-8087 S7-07-02 Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts
Comments Due: June 14, 2002
View Received Comments
See Also - for this proposal Summary of Comments
Federal Register version (67 FR 19885)
33-8089 S7-08-02 Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
Comments Due: May 23, 2002
View Received Comments
See Also - for this proposal Summary of Comments
Federal Register version (67 FR 19895)
33-8089 S7-08-02 Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
Comments Due: May 23, 2002
View Received Comments
See Also - for this proposal Summary of Comments
Federal Register version (67 FR 19895)
33-8090 S7-09-02 Form 8-K Disclosure of Certain Management Transactions
Comments Due: June 24, 2002
View Received Comments
Federal Register version (67 FR 19913)
33-8090 S7-09-02 Form 8-K Disclosure of Certain Management Transactions
Comments Due: June 24, 2002
View Received Comments
Federal Register version (67 FR 19913)
IA-2028 S7-10-02 Exemption for Certain Investment Advisers Operating Through the Internet
Comments Due: June 6, 2002
View Received Comments
See Also - for this proposal. Summary of Comments
Federal Register version (67 FR 19499)
33-8041 S7-23-01 Defining the Term "Qualified Purchaser" Under the Securities Act of 1933
Comments Due: February 25, 2002
View Received Comments
Federal Register version (66 FR 66839)
IC-25266 S7-22-01 Custody of Investment Company Assets With a Securities Depository
Comments Due: January 31, 2002
View Received Comments
Federal Register version (66 FR 58412)
IC-25259 S7-21-01 Investment Company Mergers
Comments Due: January 18, 2002
View Received Comments
See Also - for this proposal. Summary of Comments
Federal Register version (66 FR 57601)
34-44996 S7-16-01 Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
Comments Due: December 5, 2001
See Also - 34-44854, and comments, 34-44853, and comments
Federal Register version (66 FR 55608)
34-44996 S7-17-01 Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
Comments Due: December 5, 2001
See Also - 34-44854, and comments, 34-44853, and comments
Federal Register version (66 FR 55608)
33-8016 S7-18-01 Mandated EDGAR Filing for Foreign Issuers
Comments Due: December 3, 2001
View Received Comments
See Also - for this proposal. Summary of Comments
Federal Register version (66 FR 50743)
34-44853 S7-16-01 Customer Margin Rules Relating to Security Futures
File Nos.: S7-16-01, 1-9641 Comments Due: November 5, 2001
View Received Comments
See Also - Rel. Nos. 34-44996
Federal Register version (66 FR 58007)
34-44854 S7-17-01 Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
Comments Due: November 5, 2001
View Received Comments
See Also - Rel. Nos. 34-44996, Rel. Nos. 34-44996
Federal Register version (66 FR 50785)
34-44743 S7-15-01 Cash Settlement and Regulatory Halt Requirements for Security Futures Products
Comments Due: October 1, 2001
View Received Comments
Federal Register version (66 FR 45903)
34-44475 S7-11-01 Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
Comments Due: July 11, 2001
See Also - 34-44288
Federal Register version (66 FR 34864)
34-44475 S7-11-01 Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
Comments Due: July 11, 2001
See Also - 34-44288
Federal Register version (66 FR 34864)
34-44455 S7-13-01 Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
Comments Due: July 26, 2001
View Received Comments
See Also - 2001. Comments received electronically are available
Federal Register version (66 FR 34041)
34-44288 S7-11-01 Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
Comments Due: 30 days after date of publication in the Federal Register
View Received Comments
See Also - 30 days after date of publication in the Federal Register . Comments received electronically are available, Rel. Nos. 34-44475
Federal Register version (66 FR 27559)
34-44288 S7-11-01 Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
Comments Due: 30 days after date of publication in the Federal Register
View Received Comments
See Also - 30 days after date of publication in the Federal Register . Comments received electronically are available, Rel. Nos. 34-44475
Federal Register version (66 FR 27559)
34-44279 S7-10-01 Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations
Comments Due: 30 days after the date of publication in the Federal Register
View Received Comments
See Also - 30 days after the date of publication in the Federal Register . Comments received electronically are available
Federal Register version (66 FR 26977)
35-27357 S7-07-01 Electronic Recordkeeping by Public Utility Holding Companies
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 (66 FR 16158)
IC-24890 S7-06-01 Electronic Recordkeeping by Investment Companies and Investment Advisers
Comments Due: April 19, 2001
View Received Comments
See Also - 2001. Comments received electronically are available
Federal Register version (66 FR 15369)
33-7955 Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000
Federal Register version (66 FR 13273)
35-27342 S7-05-01 Foreign Utility Companies
Comments Due: April 9, 2001
View Received Comments
See Also - 2001. Comments received electronically are available
Federal Register version (66 FR 9247)
33-7944 S7-04-01 Disclosure of Equity Compensation Plan Information
Comments Due: 60 days after publication in the Federal Register
View Received Comments
See Also - 60 days after publication in the Federal Register . Comments received electronically are available, for this proposal. Summary of Comments
Federal Register version (66 FR 8731)
33-7944 S7-04-01 Disclosure of Equity Compensation Plan Information
Comments Due: 60 days after publication in the Federal Register
View Received Comments
See Also - 60 days after publication in the Federal Register . Comments received electronically are available, for this proposal. Summary of Comments
Federal Register version (66 FR 8731)
34-43860 S7-03-01 Proposed Rule Changes of Self-Regulatory Organizations
Comments Due: April 6, 2001
View Received Comments
See Also - 2001. Comments received electronically are available
Federal Register version (66 FR 8912)
IC-24775 S7-20-00 Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
Comments Due: 45 days after publication in the Federal Register
View Received Comments
See Also - 45 days after publication in the Federal Register Comments received electronically are available
Federal Register version (65 FR 76189)
34-43401, 34-48931 S7-18-00 Processing Requirements for Cancelled Security Certificates
Comments Due: 60 days after publication in the Federal Register
View Received Comments
See Also - 60 days after publication in the Federal Register Comments received electronically are available
Federal Register version (65 FR 59766)