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Release Number	SEC Issue Date	File Number	Details
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)
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)
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	S7-06-03	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 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 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 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 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)
33-8160	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	S7-40-02	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
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
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)
33-8106	June 17, 2002	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	June 17, 2002	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	June 17, 2002	S7-21-02	Certification of Disclosure in Companies' Quarterly and Annual Reports *Comments Due:* August 19, 2002 See Also - Rel. Nos. 33-8109 Federal Register version (67 FR 41877)
34-46079	June 17, 2002	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	June 3, 2002	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	May 31, 2002	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	May 30, 2002	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	May 17, 2002	S7-17-02	Proposed Amendments to Investment Company Advertising Rules *Comments Due:* July 31, 2002 View Received Comments Federal Register version (67 FR 36711)
33-8098	May 10, 2002	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	May 1, 2002	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	April 30, 2002	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	April 12, 2002	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	April 12, 2002	S7-08-02	Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports *Comments Due:* May 23, 2002 View Received Comments Federal Register version (67 FR 19895)
33-8089	April 12, 2002	S7-08-02	Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports *Comments Due:* May 23, 2002 View Received Comments Federal Register version (67 FR 19895)
33-8090	April 12, 2002	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	April 12, 2002	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	April 12, 2002	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	Dec. 19, 2001	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	Nov. 15, 2001	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	Nov. 8, 2001	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	Oct. 29, 2001	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)
34-44996	Oct. 29, 2001	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)
33-8016	Sept. 28, 2001	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	Sept. 25, 2001	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)