Archive of older proposed rules currently available on site. We encourage the public to submit comments on proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:
| Release No. |
Date |
Details |
| Fourth Quarter |
|
33-8347 |
Dec. 17, 2003 |
Disclosure of Breakpoint Discounts by Mutual Funds
Release Nos.: 34-48939; IC-26298
File No.: S7-28-03
Comments Due: February 13, 2004
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal.
|
|
IC-26288 |
Dec. 11, 2003 |
Amendments to Rules Governing Pricing of Mutual Fund Shares
File No.: S7-27-03
Comments Due: February 6, 2004
Comments received are available for this proposal.
Federal Register PDF |
|
33-8343 |
Dec. 11, 2003 |
Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
Release No.: IC-26287
File No.: S7-26-03
Comments Due: February 6, 2004
Comments received are available for this proposal.
Federal Register PDF
See also: Outline of Comments on this proposal.
|
|
34-48832 |
Nov. 23, 2003 |
Proposed Amendments to the Rules of Practice and Related Provisions
File No.: S7-25-03
Comments Due: January 5, 2004
Comments received are available for this proposal.
Federal Register PDF
|
|
34-48709 |
Oct. 28, 2003 |
Short Sales
File No.: S7-23-03
Comments Due: January 5, 2004
Comments received are available for this proposal.
See also: Final Rule, Release No. 34-50103
Summary of Comments
Federal Register PDF
|
|
34-48694 |
Oct. 24, 2003 |
Supervised Investment Bank Holding Companies
File No.: S7-22-03
Comments Due: February 4, 2004
Federal Register PDF
Comments received are available for this proposal.
|
|
34-48690 |
Oct. 24, 2003 |
Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
File No.: S7-21-03
Comments Due: February 4, 2004
Federal Register PDF
Comments received are available for this proposal.
|
|
33-8312 |
Oct. 23, 2003 |
Exemption from Shareholder Approval for Certain Subadvisory Contracts
Release Nos.: 34-48683, IC-26230
File No.: S7-20-03
Comments Due: January 8, 2004
Federal Register PDF
Comments received are available for this proposal.
|
|
34-48626 |
Oct. 14, 2003 |
Security Holder Director Nominations
Release No.: IC-26206
File No.: S7-19-03
Comments Due: December 22, 2003
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal and Supplemental Summary of Comments.
|
|
33-8297 |
Oct. 2, 2003 |
Fund of Funds Investments
Release No.: IC-26198;
File No.: S7-18-03
Comments Due: December 3, 2003.
Federal Register PDF
Comments received are available for this proposal.
|
| Third Quarter |
|
33-8287 |
Sep. 11, 2003 |
Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts
Release Nos.: 34-48482, International Series Release No. 1273
File No.: S7-16-03
Comments Due: October 17, 2003
Comments received are available for this proposal.
|
|
34-48481 |
Sep. 11, 2003 |
Foreign Bank Exemption from The Insider Lending Prohibition of Exchange Act
Section 13(k)
Release No.: International Series Release No. 1272
File No.: S7-15-03
Comments Due: October 17, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
|
|
34-48301 |
Aug. 8, 2003 |
Disclosure Regarding Nominating Committee Functions and Communications between Security Holders and Boards of Directors
Release No.: IC-26145
File No.: S7-14-03
Comments Due: September 15, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
|
| Second Quarter |
|
34-48036 |
Jun. 16, 2003 |
Recordkeeping Requirements for Registered Transfer Agents
File No.: S7-13-03
Comments Due: July 21, 2003.
Comments received are available for this proposal.
|
| First Quarter |
|
33-8212 |
Mar. 21, 2003 |
Certification of Disclosure in Certain Exchange Act Reports
Release No.: 33-8212, 34-47551, IC-25967
File No.: S7-06-03
Comments Due: May 15, 2003
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8238
|
|
33-8190 |
Feb. 12, 2003 |
Rules of Practice
Release No.: 34-47355; 35-27650; 39-2405; IA-2109; IC-25933
File No.: S7-04-03
Comments Due: March 21, 2003
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 33-8240
|
|
IC-25925 |
Feb. 5, 2003 |
Compliance Programs of Investment Companies and Investment Advisers
Release No.: IA-2107
File No.: S7-03-03
Comments Due: April 18, 2003.
Comments received are available for this proposal;
See also: Final Rule, Rel. No. IA-2204; Notice, Rel. No. IA-2265; Summary of Comments on this proposal.
|
|
33-8186 |
Jan. 29, 2003 |
Implementation of Standards of Professional Conduct for Attorneys
Release Nos.: IC-25920; 34-47282
File No.: S7-45-02
Comments Due: April 7, 2003
Comments received are available for this proposal.
See also: Proposed Rule, Rel. No. 33-8150; Final Rule, Rel. No. 33-8185
|
|
33-8173 |
Jan. 8, 2003 |
Standards Relating To Listed Company Audit Committees
Release Nos.: 34-47137; IC-25885
File No.: S7-02-03
Comments Due: February 18, 2003
Comments received are available for this proposal.
See also: Summary of Comments on this proposal.
Final Rule, Rel. No. 33-8220
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