| Release No. |
Date |
Details |
| Fourth Quarter |
| 34-38073 |
Dec. 23, 1996 |
Securities Transactions Exempt From Transaction Fees
File No.: S7-32-96.
Other Release Nos.: IC-22415 |
| IA-1602 |
Dec. 20, 1996 |
Suspension of Form ADV-S
|
| 33-7375 |
|
Anti-Manipulation Rules Concerning Securities Offerings
File No.: S7-11-96.
Other Release Nos.: 34-38067; IC-22412; International Series Release No. 1039 |
| 33-7376 |
Dec. 20, 1996 |
Odd-Lot Tender Offers by Issuers
File No.: S7-12-96.
Other Release Nos.: 34-38068; IC-22413 |
| 33-7373 |
Dec. 16, 1996 |
Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southwest, Midwest, Central and Pacific Regional Offices
Effective Date: 30 days after publication in Federal Register except for Section 232.101(c) Effective 5, 1997 |
| IC-22389 |
Dec. 11, 1996 |
Custody of Investment Company Assets with Futures Commission Merchants
File No.: S7-15-94
Effective Date: 30 days after publication in Federal Register. |
| 34-37972 |
Nov. 26, 1996 |
Revised Compliance Dates – Order Execution Obligations.
File No.: S7-30-95 |
| 33-7361 |
Nov. 1, 1996 |
Adjustments to Civil Monetary Amounts
Effective Date: 30 days after publication in Federal Register |
| 34-37893 |
Oct. 30, 1996 |
Delegation of Authority to the General Counsel
Effective Date: date of publication in Federal Register |
| 33-7355 |
Oct. 10, 1996 |
Streamlining Disclosure Requirements Relating to Significant Business Acquisitions
File No.: S7-19-95
Effective Date: 30 days after publication in Federal Register. |
| 34-37801 |
Oct. 10, 1996 |
Periodic Reporting of Unregistered Equity Sales (Regulation S)
File No.: S7-19-95
Effective Date: 30 days after publication in Federal Register. |
| 33-7351 |
Oct. 2, 1996 |
Adoption of Updated EDGAR Filer Manual
Effective Date: Oct. 7, 1996.
Other Release Nos.: 34-37774; 35-26585; 39-2343; IC-22257 |
| Third Quarter |
| 33-7331 |
Sep. 17, 1996 |
Changes Selected Rules in Order to Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952
File No.: S7-14-96
Effective Date: Oct. 7, 1996. |
| IC-22201 |
Sep. 9, 1996 |
Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company
File No.: S7-2-96
Effective Date: 30 days after publication in Federal Register. |
| IC-22202 |
Sep. 9, 1996 |
Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads (TEXT REVISED 9-16-96)
File No.: S7-8-95
Effective Date: 30 days after publication in Federal Register. |
| 34-37632 |
Sep. 4, 1996 |
Suspension of Compliance Date for Form BD Amendments
File No.: S7-2-95
Effective Date: date of publication in Federal Register. |
| 34-37619A |
Sep. 6, 1996 |
Order Execution Obligations (Rules 11Ac1-4 and 11Ac1-1) (TEXTREVISED 9-6-96)
File No.: S7-30-95
Effective Date: 120 days after publication in Federal Register.
Note: Additional materials are available. |
| 33-7320 |
Aug. 13, 1996 |
Suspension of Compliance Date: Revisions of Rules Regulating Money Market Funds.
File No.: S7-34-93. |
| 34-37431 |
Jul. 12, 1996 |
Form BD Amendments
File No.: S7-2-95
Effective Date: 30 days after publication in Federal Register. |
| Second Quarter |
34-37260
Part 1 and Part 2 |
May 31, 1996 |
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
File No.: S7-21-94
Effective Date: Aug. 15, 1996
|
| 34-37261 |
May 31, 1996 |
Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934 (Extension of Phase-In Period)
Effective Date: Federal Register publication date |
| 33-7300 |
May 31, 1996 |
Phase One Recommendation of Task Force on Disclosure Simplification
File No.: S7-6-96
Effective Date: 30 days after publication in Federal Register. |
| 33-7289 |
May 9, 1996 |
Use of Electronic Media for Delivery Purposes
File No.: S7-31-95
Effective Date: 30 days after publication in the Federal Register. |
| 34-37159 |
May 2, 1996 |
Delegation of Authority to Director of Division of Enforcement
Effective Date: Date of publication in the Federal Register |
| 33-7285 |
May 1, 1996 |
Exemption for Certain California Limited Issues
File No.: S7-15-95
Effective Date: 30 days after publication in the Federal Register. |
| 34-37157 |
May 1, 1996 |
Relief From Reporting by Small Issuers;
File No.: S7-16-95
Effective Date: Date published in the Federal Register. |
| First Quarter |
| 200-30 |
Mar. 25, 1996 |
Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings)
File No.: S7-40-92
Effective Date: Jul. 24, 1995. |
| 33-7275 |
Mar. 21, 1996 |
Revisions to Rules Regulating Money Market Funds
File No.: S7-34-93
Effective Date: Jun. 6, 1996, with several different compliance dates.
Other Release Nos.: IC-21837 |
| 34-36940 |
Mar. 7, 1996 |
Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
File No.: S7-34-95 |
| 34-36824 |
Feb. 9, 1996 |
Delegation of Authority to the Secretary of the Commission |
