33-11391, 34-104102
Sept. 26, 2025
S7-2025-04
Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration Comments Due: Federal Register.
View Received Comments Fact Sheet , Press Release
33-11391, 34-104102
Sept. 26, 2025
S7-2025-04
Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration Comments Due: Federal Register.
View Received Comments Fact Sheet , Press Release
33-11376, 34-103176
June 4, 2025
S7-2025-01
Concept Release on Foreign Private Issuer Eligibility Comments Due: View Received Comments Fact Sheet , Press Release Federal Register version
33-11376, 34-103176
June 4, 2025
S7-2025-01
Concept Release on Foreign Private Issuer Eligibility Comments Due: View Received Comments Fact Sheet , Press Release Federal Register version
34-87115, 33-10842
Sept. 25, 2019
S7-14-19
Publication or Submission of Quotations Without Specified Information Comments Due: View Received Comments Federal Register version (84 FR 58206)
34-87115, 33-10842
Sept. 25, 2019
S7-14-19
Publication or Submission of Quotations Without Specified Information Comments Due: View Received Comments Federal Register version (84 FR 58206)
33-10649, 34-86129, IA-5256, IC-33512
June 18, 2019
S7-08-19
Concept Release on Harmonization of Securities Offering Exemptions Comments Due: View Received Comments Federal Register version (84 FR 30460)
33-10649, 34-86129, IA-5256, IC-33512
June 18, 2019
S7-08-19
Concept Release on Harmonization of Securities Offering Exemptions Comments Due: View Received Comments Federal Register version (84 FR 30460)
33-10649, 34-86129, IA-5256, IC-33512
June 18, 2019
S7-08-19
Concept Release on Harmonization of Securities Offering Exemptions Comments Due: View Received Comments Federal Register version (84 FR 30460)
33-10649, 34-86129, IA-5256, IC-33512
June 18, 2019
S7-08-19
Concept Release on Harmonization of Securities Offering Exemptions Comments Due: View Received Comments Federal Register version (84 FR 30460)
33-10521
July 18, 2018
S7-18-18
Concept Release on Compensatory Securities Offerings and Sales Comments Due: View Received Comments Federal Register version (83 FR 34958)
33-10064, 34-77599
April 13, 2016
S7-06-16
Business and Financial Disclosure Required by Regulation S-K Comments Due: View Received Comments Federal Register version (81 FR 23915)
33-10064, 34-77599
April 13, 2016
S7-06-16
Business and Financial Disclosure Required by Regulation S-K Comments Due: View Received Comments Federal Register version (81 FR 23915)
34-76743
Dec. 22, 2015
S7-27-15
Transfer Agent Regulations Comments Due: View Received Comments Federal Register version (80 FR 81947)
34-76743
Dec. 22, 2015
S7-27-15
Transfer Agent Regulations Comments Due: View Received Comments Federal Register version (80 FR 81947)
33-9862, 34-75344
July 1, 2015
S7-13-15
Possible Revisions To Audit Committee Disclosures Comments Due: View Received Comments Federal Register version (80 FR 38995)
33-9862, 34-75344
July 1, 2015
S7-13-15
Possible Revisions To Audit Committee Disclosures Comments Due: View Received Comments Federal Register version (80 FR 38995)
IC-29776
Aug. 31, 2011
S7-33-11
Use of Derivatives by Investment Companies Under the Investment Company Act of 1940 Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 55237)
IC-29778
Aug. 31, 2011
S7-34-11
Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 55300)
IC-29779
Aug. 31, 2011
S7-35-11
Treatment of Asset-Backed Issuers Under the Investment Company Act Comments Due: View Received Comments 2011 Federal Register version Federal Register version (76 FR 55308)
34-62717
Aug. 13, 2010
S7-16-10
Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act Comments Due: View Received Comments for this notice Federal Register version Federal Register version (75 FR 51429)
34-62495, IA-3052, IC-29340
July 14, 2010
S7-14-10
Concept Release on the U.S. Proxy System Comments Due: View Received Comments for this notice Federal Register version Federal Register version (75 FR 42981)
34-62495, IA-3052, IC-29340
July 14, 2010
S7-14-10
Concept Release on the U.S. Proxy System Comments Due: View Received Comments for this notice Federal Register version Federal Register version (75 FR 42981)
34-62495, IA-3052, IC-29340
July 14, 2010
S7-14-10
Concept Release on the U.S. Proxy System Comments Due: View Received Comments for this notice Federal Register version Federal Register version (75 FR 42981)
34-61358
Jan. 14, 2010
S7-02-10
Concept Release on Equity Market Structure Comments Due: View Received Comments Federal Register version Federal Register version (75 FR 3593)
33-9071A
Oct. 22, 2009
S7-25-09
Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933 Comments Due: View Received Comments IC-28943A Federal Register version Federal Register version (74 FR 55162)
33-9071A
Oct. 22, 2009
S7-25-09
Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933 Comments Due: View Received Comments IC-28943A Federal Register version Federal Register version (74 FR 55162)
33-9071
Oct. 7, 2009
S7-25-09
Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933 Comments Due: View Received Comments for this notice Federal Register version Federal Register version (74 FR 53114)
33-9071
Oct. 7, 2009
S7-25-09
Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933 Comments Due: View Received Comments for this notice Federal Register version Federal Register version (74 FR 53114)
33-8870, 34-56945
Dec. 12, 2007
S7-29-07
Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves Comments Due: View Received Comments for this notice Federal Register version Federal Register version (72 FR 71610)
33-8870, 34-56945
Dec. 12, 2007
S7-29-07
Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves Comments Due: View Received Comments for this notice Federal Register version Federal Register version (72 FR 71610)
33-8860
Nov. 16, 2007
S7-27-07
Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism Comments Due: View Received Comments for this notice Federal Register version Federal Register version (72 FR 65861)
33-8831A, 34-56217A, IC-27924A
Sept. 13, 2007
S7-20-07
Concept Release on Allowing U.S. Issuers to Prepare Financial Statements in Accordance With International Financial Reporting Standards Comments Due: View Received Comments IC-27924A Federal Register version Federal Register version (72 FR 53509)
33-8831A, 34-56217A, IC-27924A
Sept. 13, 2007
S7-20-07
Concept Release on Allowing U.S. Issuers to Prepare Financial Statements in Accordance With International Financial Reporting Standards Comments Due: View Received Comments IC-27924A Federal Register version Federal Register version (72 FR 53509)
33-8831A, 34-56217A, IC-27924A
Sept. 13, 2007
S7-20-07
Concept Release on Allowing U.S. Issuers to Prepare Financial Statements in Accordance With International Financial Reporting Standards Comments Due: View Received Comments IC-27924A Federal Register version Federal Register version (72 FR 53509)
33-8831, 34-56217, IC-27924
Aug. 7, 2007
S7-20-07
Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards Comments Due: View Received Comments IC-27924 Federal Register version Federal Register version (72 FR 45599)
33-8831, 34-56217, IC-27924
Aug. 7, 2007
S7-20-07
Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards Comments Due: View Received Comments IC-27924 Federal Register version Federal Register version (72 FR 45599)
33-8831, 34-56217, IC-27924
Aug. 7, 2007
S7-20-07
Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards Comments Due: View Received Comments IC-27924 Federal Register version Federal Register version (72 FR 45599)
34-54122
July 11, 2006
S7-11-06
Concept Release Concerning Management's Reports on Internal Control Over Financial Reporting Comments Due: View Received Comments 2006 Federal Register version Federal Register version (71 FR 40865)
34-50700
Nov. 18, 2004
S7-40-04
Concept Release Concerning Self-Regulation Comments Due: View Received Comments for this notice Federal Register PDF Federal Register version (69 FR 71255)
33-8497, 34-50454, 35-27895, 39-2429, IC-26623
Sept. 27, 2004
S7-36-04
Enhancing Commission Filings Through the Use of Tagged Data Comments Due: View Received Comments for this notice Federal Register PDF Federal Register version (69 FR 59111)
33-8497, 34-50454, 35-27895, 39-2429, IC-26623
Sept. 27, 2004
S7-36-04
Enhancing Commission Filings Through the Use of Tagged Data Comments Due: View Received Comments for this notice Federal Register PDF Federal Register version (69 FR 59111)
33-8497, 34-50454, 35-27895, 39-2429, IC-26623
Sept. 27, 2004
S7-36-04
Enhancing Commission Filings Through the Use of Tagged Data Comments Due: View Received Comments for this notice Federal Register PDF Federal Register version (69 FR 59111)
33-8497, 34-50454, 35-27895, 39-2429, IC-26623
Sept. 27, 2004
S7-36-04
Enhancing Commission Filings Through the Use of Tagged Data Comments Due: View Received Comments for this notice Federal Register PDF Federal Register version (69 FR 59111)
33-8497, 34-50454, 35-27895, 39-2429, IC-26623
Sept. 27, 2004
S7-36-04
Enhancing Commission Filings Through the Use of Tagged Data Comments Due: View Received Comments for this notice Federal Register PDF Federal Register version (69 FR 59111)
33-8398
March 11, 2004
S7-13-04
Securities Transactions Settlement Comments Due: View Received Comments for this notice Federal Register PDF Federal Register version (69 FR 12921)
34-49175
Feb. 3, 2004
S7-07-04
Competitive Developments in the Options Markets Comments Due: View Received Comments for this notice Federal Register PDF Federal Register version (69 FR 6123)
34-48966
Dec. 22, 2003
S7-30-03
Interagency Proposal to Consider Alternative Forms of Privacy Notices Under the Gramm-Leach-Bliley Act Comments Due: View Received Comments Appendix A , Appendix B , Appendix C , Appendix D , Federal Register PDF Federal Register version (68 FR 75164)
33-8349
Dec. 19, 2003
S7-29-03
Request for Comments on Measures To Improve Disclosure of Mutual Fund Transaction Costs Comments Due: View Received Comments Federal Register version (68 FR 74819)
33-8236
June 4, 2003
S7-12-03
Rating Agencies and the Use of Credit Ratings Under the Federal Securities Laws Comments Due: View Received Comments Federal Register version (68 FR 35257)
34-47849
May 14, 2003
S7-11-03
Request for Comment on Nasdaq Petition Relating to the Regulation of Nasdaq-Listed Securities Comments Due: View Received Comments Federal Register version (68 FR 27721)
34-47571
March 26, 2003
S7-07-03
Request for Comment on the NYSE Petition Relating to Participant Fee Exemptions Comments Due: View Received Comments Federal Register version (68 FR 15688)
34-46432
Aug. 29, 2002
S7-32-02
Draft Interagency White Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System Comments Due: View Received Comments Federal Register version (67 FR 56835)
34-45879
May 6, 2002
S7-15-02
Interagency White Paper on Structural Change in the Settlement of Government Securities: Issues and Options Comments Due: View Received Comments Federal Register version (67 FR 32043)
IC-25258
Nov. 8, 2001
S7-20-01
Actively Managed Exchange-Traded Funds Comments Due: View Received Comments Federal Register version (66 FR 57613)
34-44845
Sept. 26, 2001
S7-14-01
Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period Comments Due: Federal Register version (66 FR 49877)
34-44568
July 18, 2001
S7-14-01
Request for Comment on the Effects of Decimal Trading in Subpennies Comments Due: View Received Comments Federal Register version (66 FR 38390)
33-7801, 34-42430, International Series Release No. 1215
Feb. 16, 2000
S7-04-00
International Accounting Standards Comments Due: View Received Comments International Series Release No. 1215 Comments received electronically are available Federal Register version (65 FR 8896)
33-7801, 34-42430, International Series Release No. 1215
Feb. 16, 2000
S7-04-00
International Accounting Standards Comments Due: View Received Comments International Series Release No. 1215 Comments received electronically are available Federal Register version (65 FR 8896)
33-7801, 34-42430, International Series Release No. 1215
Feb. 16, 2000
S7-04-00
International Accounting Standards Comments Due: View Received Comments International Series Release No. 1215 Comments received electronically are available Federal Register version (65 FR 8896)
35-27110
Dec. 14, 1999
S7-30-99
Registered Public-Utility Holding Companies and Internationalization Comments Due: View Received Comments International Series Release No. 1210 Comments received electronically are available Federal Register version (64 FR 71341)
34-42208
Dec. 9, 1999
S7-28-99
Regulation of Market Information Fees and Revenues Comments Due: View Received Comments S7-28-99 Comments received electronically are available Federal Register version (64 FR 70613)
34-42037
Oct. 20, 1999
S7-24-99
Short Sales Comments Due: View Received Comments S7-24-99. Comments received electronically are available , for this release. Summary of Comments Federal Register version (64 FR 57996)
34-39704, 34-39454, 34-39455, 34-39456
Feb. 17, 1998
S7-30-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: Federal Register version (63 FR 11173)
34-39704, 34-39454, 34-39455, 34-39456
Feb. 17, 1998
S7-30-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: Federal Register version (63 FR 11173)
34-39704, 34-39454, 34-39455, 34-39456
Feb. 17, 1998
S7-30-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: Federal Register version (63 FR 11173)
34-39704, 34-39454, 34-39455, 34-39456
Feb. 17, 1998
S7-30-97
OTC Derivatives Dealers, Net Capital Rule File Nos.: Comments Due: Federal Register version (63 FR 11173)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-31-97
Net Capital Rule Comments Due: View Received Comments Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-32-97
Net Capital Rule Comments Due: Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-30-97
Net Capital Rule Comments Due: Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-32-97
Net Capital Rule Comments Due: Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-32-97
Net Capital Rule Comments Due: Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-31-97
Net Capital Rule Comments Due: View Received Comments Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-32-97
Net Capital Rule Comments Due: Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-30-97
Net Capital Rule Comments Due: Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-32-97
Net Capital Rule Comments Due: Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-30-97
Net Capital Rule Comments Due: Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-32-97
Net Capital Rule Comments Due: Federal Register version (62 FR 68011)
34-39456, 34-39704, 33-39455
Dec. 17, 1997
S7-31-97
Net Capital Rule Comments Due: View Received Comments Federal Register version (62 FR 68011)
33-7476
Nov. 17, 1997
S7-22-97
Equity Index Insurance Products Comments Due: View Received Comments Federal Register version (62 FR 62273)
33-7438
Aug. 20, 1997
S7-22-97
Equity Index Insurance Products Comments Due: View Received Comments S7-22-97 Comments received electronically are available Federal Register version (62 FR 45359) Note: Comment period extended to January 5, 1998 (see Rel. No. 33-7476, above). File No.: S7-22-97 Comments received electronically are available
34-38860
July 22, 1997
S7-16-97
Regulation of Exchanges Comments Due: View Received Comments Federal Register version (62 FR 40316)
34-38672
May 23, 1997
S7-16-97
Regulation of Exchanges Comments Due: View Received Comments S7-16-97 Comments received electronically are available , for this release. Additional materials are available Note: Comment period extended to October 3, 1997 (see Rel. No. 34-38860, above). File No.: S7-16-97 Comments received electronically are available for this release. Additional materials are available as well: An overview of the SEC's role in regulating markets and of the issues addressed in the release (added 9-4-97
33-7329, 33-7314
Sept. 12, 1996
S7-19-96
Securities Act Concepts and Their Effects on Capital Formation Comments Due: View Received Comments Federal Register version (61 FR 49184)
33-7329, 33-7314
Sept. 12, 1996
S7-19-96
Securities Act Concepts and Their Effects on Capital Formation Comments Due: View Received Comments Federal Register version (61 FR 49184)
33-7314, 33-7329
July 25, 1996
S7-19-96
Securities Act Concepts and Their Effects on Capital Formation Comments Due: View Received Comments S7-19-96 Commentsreceived electronically are available Federal Register version (61 FR 40044)
33-7314, 33-7329
July 25, 1996
S7-19-96
Securities Act Concepts and Their Effects on Capital Formation Comments Due: View Received Comments S7-19-96 Commentsreceived electronically are available Federal Register version (61 FR 40044)
33-7153, 34-35546, IC-20974
March 29, 1995
S7-10-95
Improving Descriptions of Risk by Mutual Funds and Other Investment Companies Federal Register version (60 FR 17172)
33-7153, 34-35546, IC-20974
March 29, 1995
S7-10-95
Improving Descriptions of Risk by Mutual Funds and Other Investment Companies Federal Register version (60 FR 17172)
33-7153, 34-35546, IC-20974
March 29, 1995
S7-10-95
Improving Descriptions of Risk by Mutual Funds and Other Investment Companies Federal Register version (60 FR 17172)
34-35038
Dec. 1, 1994
S7-34-94
Transfer Agents Operating Direct Registration System
35-26153, IC-20675, International Series Release No. 740
Nov. 2, 1994
S7-32-94
Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies Federal Register version
35-26153, IC-20675, International Series Release No. 740
Nov. 2, 1994
S7-32-94
Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies Federal Register version
35-26153, IC-20675, International Series Release No. 740
Nov. 2, 1994
S7-32-94
Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies Federal Register version
33-7101, 34-34831, 35-26141, 39-2324, IC-20613
Oct. 13, 1994
S7-29-94
Safe Harbor for Forward-Looking Statements Federal Register version
33-7101, 34-34831, 35-26141, 39-2324, IC-20613
Oct. 13, 1994
S7-29-94
Safe Harbor for Forward-Looking Statements Federal Register version
33-7101, 34-34831, 35-26141, 39-2324, IC-20613
Oct. 13, 1994
S7-29-94
Safe Harbor for Forward-Looking Statements Federal Register version
33-7101, 34-34831, 35-26141, 39-2324, IC-20613
Oct. 13, 1994
S7-29-94
Safe Harbor for Forward-Looking Statements Federal Register version
33-7101, 34-34831, 35-26141, 39-2324, IC-20613
Oct. 13, 1994
S7-29-94
Safe Harbor for Forward-Looking Statements Federal Register version
