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Release Number	SEC Issue Date	File Number	Details
33-8404	March 22, 2004	S7-17-04	Covered Securities Pursuant to Section 18 of the Securities Act of 1933 *Comments Due:* Comments should be received on or before April 26, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 16153)
33-8397A	March 18, 2004	S7-15-04	First-Time Application of International Financial Reporting Standards; Correction *Comments Due:* Comments should be received on or before April 5, 2004 See Also - Rel. No. 33-8397 Federal Register version (69 FR 15271)
33-8397A	March 18, 2004	S7-15-04	First-Time Application of International Financial Reporting Standards; Correction *Comments Due:* Comments should be received on or before April 5, 2004 View Received Comments See Also - Rel. No. 33-8397 Federal Register version (69 FR 15271)
33-8401	March 16, 2004	S7-16-04	Rulemaking for EDGAR System *Comments Due:* Comments should be received on or before May 24, 2004 See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 13689)
33-8401	March 16, 2004	S7-16-04	Rulemaking for EDGAR System *Comments Due:* Comments should be received on or before May 24, 2004 See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 13689)
33-8401	March 16, 2004	S7-16-04	Rulemaking for EDGAR System *Comments Due:* Comments should be received on or before May 24, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 13689)
33-8399	March 15, 2004	S7-14-04	Mandated Electronic Filing for Form ID *Comments Due:* Comments should be received on or before April 5, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 13425)
33-8399	March 15, 2004	S7-14-04	Mandated Electronic Filing for Form ID *Comments Due:* Comments should be received on or before April 5, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 13425)
33-8396	March 11, 2004	S7-12-04	Disclosure Regarding Portfolio Managers of Registered Management Investment Companies *Comments Due:* Comments should be received on or before May 21, 2004 View Received Comments See Also - for this proposal. Federal Register PDF, Summary of Comments Federal Register version (69 FR 12751)
33-8397	March 11, 2004	S7-15-04	First-Time Application of International Financial Reporting Standards *Comments Due:* Comments should be received on or before April 19, 2004 See Also - Rel. No. 33-8397A, for this proposal. Federal Register PDF Federal Register version (69 FR 12903)
33-8397	March 11, 2004	S7-15-04	First-Time Application of International Financial Reporting Standards *Comments Due:* Comments should be received on or before April 19, 2004 View Received Comments See Also - Rel. No. 33-8397A, for this proposal. Federal Register PDF Federal Register version (69 FR 12903)
IC-26375A	March 5, 2004	S7-11-04	Mandatory Redemption Fees for Redeemable Fund Securities *Comments Due:* Comments should be received on or before May 10, 2004 View Received Comments See Also - for this proposal. Federal Register PDF, ic-26782.pdf Federal Register version (69 FR 11762)
34-49325	Feb. 26, 2004	S7-10-04	Regulation NMS *Comments Due:* Comments should be received on or before June 30, 2004 View Received Comments See Also - Federal Register PDF, Spotlight on Regulation NMS Federal Register version (69 FR 11125)
IC-26356	Feb. 24, 2004	S7-09-04	Prohibition on the Use of Brokerage Commissions To Finance Distribution *Comments Due:* Comments should be received on or before May 10, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 9725)
33-8364	Feb. 11, 2004	S7-08-04	Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies *Comments Due:* Comments should be received on or before April 26, 2004 View Received Comments See Also - for this proposal. Federal Register PDF, Outline of Comments Federal Register version (69 FR 7851)
33-8358, 33-8544	Jan. 29, 2004	S7-06-04	Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds *Comments Due:* Comments should be received on or before April 12, 2004 View Received Comments See Also - Form Examples, for this proposal. Federal Register PDF Federal Register version (69 FR 6437)
33-8358, 33-8544	Jan. 29, 2004	S7-06-04	Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds *Comments Due:* Comments should be received on or before April 12, 2004 View Received Comments See Also - Form Examples, for this proposal. Federal Register PDF Federal Register version (69 FR 6437)
34-49104	Jan. 20, 2004	S7-05-04	Collection Practices Under Section 31 of the Exchange Act *Comments Due:* Comments should be received on or before February 26, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 4017)
IA-2209	Jan. 20, 2004	S7-04-04	Investment Adviser Codes of Ethics *Comments Due:* Comments should be received on or before March 15, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 4039)
IC-26323, IC-26985	Jan. 15, 2004	S7-03-04	Investment Company Governance *Comments Due:* Comments should be received on or before March 10, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 3471)
IC-26323, IC-26985	Jan. 15, 2004	S7-03-04	Investment Company Governance *Comments Due:* Comments should be received on or before March 10, 2004 See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 3471)
IC-26323, IC-26985	Jan. 15, 2004	S7-03-04	Investment Company Governance *Comments Due:* Comments should be received on or before March 10, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 3471)
IC-26323, IC-26985	Jan. 15, 2004	S7-03-04	Investment Company Governance *Comments Due:* Comments should be received on or before March 10, 2004 See Also - for this proposal. Federal Register PDF Federal Register version (69 FR 3471)
34-49037	Jan. 8, 2004	S7-02-04	Amendments to the Penny Stock Rules *Comments Due:* Comments should be received on or before March 16, 2004 See Also - for this proposal. Federal Register PDF, Exemptive Order Rel. No. 34-49038 Federal Register version (69 FR 2531)
34-49037	Jan. 8, 2004	S7-02-04	Amendments to the Penny Stock Rules *Comments Due:* Comments should be received on or before March 16, 2004 See Also - for this proposal. Federal Register PDF, Exemptive Order Rel. No. 34-49038 Federal Register version (69 FR 2531)
34-49037	Jan. 8, 2004	S7-02-04	Amendments to the Penny Stock Rules *Comments Due:* Comments should be received on or before March 16, 2004 View Received Comments See Also - for this proposal. Federal Register PDF, Exemptive Order Rel. No. 34-49038 Federal Register version (69 FR 2531)
33-8347	Dec. 17, 2003	S7-28-03	Disclosure of Breakpoint Discounts by Mutual Funds *Comments Due:* February 13, 2004 View Received Comments See Also - for this proposal. Federal Register PDF, Summary of Comments Federal Register version (68 FR 74731)
33-8347	Dec. 17, 2003	S7-28-03	Disclosure of Breakpoint Discounts by Mutual Funds *Comments Due:* February 13, 2004 View Received Comments See Also - for this proposal. Federal Register PDF, Summary of Comments Federal Register version (68 FR 74731)
33-8343, 33-8408	Dec. 11, 2003	S7-26-03	Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings *Comments Due:* February 6, 2004 View Received Comments See Also - for this proposal. Federal Register PDF, Outline of Comments Federal Register version (68 FR 70401)
33-8343, 33-8408	Dec. 11, 2003	S7-26-03	Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings *Comments Due:* February 6, 2004 View Received Comments See Also - for this proposal. Federal Register PDF, Outline of Comments Federal Register version (68 FR 70401)
IC-26288	Dec. 11, 2003	S7-27-03	Amendments to Rules Governing Pricing of Mutual Fund Shares *Comments Due:* February 6, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (68 FR 70387)
34-48832	Nov. 23, 2003	S7-25-03	Proposed Amendments to the Rules of Practice and Related Provisions *Comments Due:* January 5, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (68 FR 68185)
34-48832	Nov. 23, 2003	S7-25-03	Proposed Amendments to the Rules of Practice and Related Provisions *Comments Due:* January 5, 2004 View Received Comments See Also - for this proposal. Federal Register PDF Federal Register version (68 FR 68185)
34-48709	Oct. 28, 2003	S7-23-03	Short Sales *Comments Due:* January 5, 2004 View Received Comments See Also - Summary of Comments, Federal Register PDF Federal Register version (68 FR 62971)
34-48690	Oct. 24, 2003	S7-21-03	Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities *Comments Due:* February 4, 2004 View Received Comments See Also - 2004 Federal Register PDF Federal Register version (68 FR 62871)
34-48690	Oct. 24, 2003	S7-21-03	Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities *Comments Due:* February 4, 2004 View Received Comments See Also - 2004 Federal Register PDF Federal Register version (68 FR 62871)
34-48694	Oct. 24, 2003	S7-22-03	Supervised Investment Bank Holding Companies *Comments Due:* February 4, 2004 View Received Comments See Also - 2004 Federal Register PDF Federal Register version (68 FR 62909)
34-48694	Oct. 24, 2003	S7-22-03	Supervised Investment Bank Holding Companies *Comments Due:* February 4, 2004 View Received Comments See Also - 2004 Federal Register PDF Federal Register version (68 FR 62909)
33-8312	Oct. 23, 2003	S7-20-03	Exemption From Shareholder Approval for Certain Subadvisory Contracts *Comments Due:* January 8, 2004 View Received Comments See Also - 2004 Federal Register PDF Federal Register version (68 FR 61719)
34-48626	Oct. 14, 2003	S7-19-03	Security Holder Director Nominations *Comments Due:* December 22, 2003 View Received Comments See Also - Summary of Comments, on this proposal and Supplemental Summary of Comments, Commission Notice: Roundtable Discussion on Security Holder Director Nominations Federal Register version (68 FR 60783)
33-8297, 33-8713	Oct. 2, 2003	S7-18-03	Fund of Funds Investments *Comments Due:* December 3, 2003 View Received Comments See Also - 2003. Federal Register PDF Federal Register version (68 FR 58225)
33-8297, 33-8713	Oct. 2, 2003	S7-18-03	Fund of Funds Investments *Comments Due:* December 3, 2003 View Received Comments See Also - 2003. Federal Register PDF Federal Register version (68 FR 58225)
33-8287	Sept. 11, 2003	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 View Received Comments Federal Register version (68 FR 54643)
34-48481	Sept. 11, 2003	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	Sept. 11, 2003	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	Aug. 8, 2003	S7-14-03	Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors *Comments Due:* September 15, 2003 View Received Comments See Also - Summary of Comments Federal Register version (68 FR 48723)
34-48301	Aug. 8, 2003	S7-14-03	Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors *Comments Due:* September 15, 2003 View Received Comments See Also - Summary of Comments Federal Register version (68 FR 48723)
34-48036	June 16, 2003	S7-13-03	Recordkeeping Requirements for Registered Transfer Agents *Comments Due:* July 21, 2003 View Received Comments Federal Register version (68 FR 36951)
33-8212	March 21, 2003	S7-40-02	Certification of Disclosure in Certain Exchange Act Reports *Comments Due:* May 15, 2003 Federal Register version (68 FR 15599)
33-8212	March 21, 2003	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	March 21, 2003	S7-40-02	Certification of Disclosure in Certain Exchange Act Reports *Comments Due:* May 15, 2003 Federal Register version (68 FR 15599)
33-8212	March 21, 2003	S7-40-02	Certification of Disclosure in Certain Exchange Act Reports *Comments Due:* May 15, 2003 Federal Register version (68 FR 15599)
33-8212	March 21, 2003	S7-06-03	Certification of Disclosure in Certain Exchange Act Reports *Comments Due:* May 15, 2003 Federal Register version (68 FR 15599)
33-8212	March 21, 2003	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	March 21, 2003	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)
33-8190	Feb. 12, 2003	S7-04-03	Rules of Practice *Comments Due:* March 21, 2003 View Received Comments Federal Register version (68 FR 8137)
IC-25925	Feb. 5, 2003	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	Jan. 29, 2003	S7-45-02	Implementation of Standards of Professional Conduct for Attorneys *Comments Due:* April 7, 2003 View Received Comments See Also - 33-8186 Federal Register version (68 FR 6324)
33-8173	Jan. 8, 2003	S7-02-03	Standards Relating to Listed Company Audit Committees *Comments Due:* February 18, 2003 View Received Comments See Also - Summary of Comments Federal Register version (68 FR 2637)
33-8170	Dec. 20, 2002	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	Dec. 18, 2002	S7-51-02	Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies *Comments Due:* February 14, 2003 View Received Comments See Also - Summary of comments Federal Register version (68 FR 159)
33-8164, 33-8393A	Dec. 18, 2002	S7-51-02	Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies *Comments Due:* February 14, 2003 See Also - Summary of comments Federal Register version (68 FR 159)
33-8164, 33-8393A	Dec. 18, 2002	S7-51-02	Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies *Comments Due:* February 14, 2003 View Received Comments See Also - Summary of comments Federal Register version (68 FR 159)
33-8164, 33-8393A	Dec. 18, 2002	S7-51-02	Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies *Comments Due:* February 14, 2003 See Also - Summary of comments Federal Register version (68 FR 159)
33-8160	Dec. 10, 2002	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 - Summary of comments Federal Register version (67 FR 77593)
33-8160	Dec. 10, 2002	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 - Summary of comments Federal Register version (67 FR 77593)
33-8154	Dec. 2, 2002	S7-49-02	Strengthening the Commission's Requirements Regarding Auditor Independence *Comments Due:* January 13, 2003 Federal Register version (67 FR 76779)
33-8154	Dec. 2, 2002	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	Nov. 26, 2002	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	Nov. 26, 2002	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	Nov. 26, 2002	S7-47-02	Certain Research and Development Companies *Comments Due:* January 15, 2003 View Received Comments
33-8150	Nov. 21, 2002	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	Nov. 21, 2002	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	Nov. 6, 2002	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	Nov. 5, 2002	S7-43-02	Conditions for Use of Non-GAAP Financial Measures *Comments Due:* December 13, 2002 Federal Register version (67 FR 68790)
33-8145	Nov. 5, 2002	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)
33-8144	Nov. 4, 2002	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	Oct. 31, 2002	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	Oct. 22, 2002	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	Oct. 22, 2002	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
33-8138	Oct. 22, 2002	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
33-8138	Oct. 22, 2002	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
33-8138	Oct. 22, 2002	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	Oct. 22, 2002	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
33-8138	Oct. 22, 2002	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
34-46685	Oct. 18, 2002	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	Sept. 20, 2002	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	Sept. 20, 2002	S7-38-02	Proxy Voting By Investment Advisers *Comments Due:* December 6, 2002 View Received Comments Federal Register version (67 FR 60841)
34-46492	Sept. 12, 2002	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	Aug. 30, 2002	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 - Summary of Comments Federal Register version (67 FR 57298)
34-46441	Aug. 30, 2002	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 - Summary of Comments Federal Register version (67 FR 57298)
33-8119	Aug. 2, 2002	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	Aug. 2, 2002	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	July 25, 2002	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	July 18, 2002	S7-28-02	Custody of Funds or Securities of Clients by Investment Advisers *Comments Due:* September 25, 2002 See Also - Summary of Comments Federal Register version (67 FR 48579)
IA-2044	July 18, 2002	S7-28-02	Custody of Funds or Securities of Clients by Investment Advisers *Comments Due:* September 25, 2002 View Received Comments See Also - Summary of Comments Federal Register version (67 FR 48579)
34-46192	July 12, 2002	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	July 12, 2002	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	June 26, 2002	S7-21-02	Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process *Comments Due:* September 3, 2002 Federal Register version (67 FR 44963)
33-8109	June 26, 2002	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)