| Release No. |
Date |
Details |
| Fourth Quarter |
| 33-7479 |
Dec. 2, 1997 |
Technical Revisions to the Rules and Forms Regulating Money Market Funds
File No.: S7-29-96
Effective Date: Feb. 10, 1998
Note: Additional material (the illustration "'Look-Through' to Secondary ABSs Under the Rule's ABS Issuer Diversification Standards") is available for this release. |
| 33-7478 |
Dec. 2, 1997 |
Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
File No.: S7-19-97
Effective Date: Date of publication in the Federal Register. |
| 33-7472 |
Oct. 24, 1997 |
Rule to Provide That the Commission Will Not Accept Paper Filings That Are Required To Be Filed Electronically
Effective Date: Jan. 1, 1998 |
| 33-7470 |
Oct. 10, 1997 |
Offshore Press Conferences, Meetings with Company Representative Conducted Offshore, and Press-Related Materials Released Offshore
File No.: S7-26-96
Effective Date: 30 days after publication in Federal Register. |
| Third Quarter |
| IC-22835 |
Sep. 26, 1997 |
Rule Amendments Relating to Multiple Class and Series Investment Companies
File No.: S7-24-96
Effective Date: Nov. 10, 1997. |
| 34-39176 |
|
Lost Securityholders
File No.: S7-21-96
Effective dates: §§240.17Ad-17 and 240.17Ad-7(i) will be effective Dec.8, 1997; and §§240.17a-24 and 249b-102 will be effective Feb. 4, 1998. |
| 33-7448 |
Sep. 10, 1997 |
Registration under the Securities Act of 1933 of Certain Investment Company Securities
File No.: S7-19-97
Effective Date: Oct. 11, 1997.
Note: Additional material (a copy of the registration form, to be used as a formatting example in preparing the filing; added 9-12-97) is available for this release. |
| 33-7445 |
Sep. 3, 1997 |
Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance
Effective Date: Sep. 9, 1997. |
| IC-22775 |
Jul. 31, 1997 |
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
File No.: S7-7-96
Effective Date: 60 days after publication in Federal Register. |
| 33-7432 |
Jul. 29, 1997 |
Adoption of Updated EDGAR Filer Manual (Release 5.30)
Effective Date: Aug. 25, 1997.
Other Release Nos.: 34-38883; 35-26747; 39-2356; IC-22769 |
33-7431
Two parts:
Part 1, Part 2 |
Jul. 18, 1997 |
Phase Two Recommendations of Task Force on Disclosure Simplification
Effective Date: Sep. 2, 1997
File No.: S7-15-96 |
| 33-7427 |
Jul. 1, 1997 |
Rulemaking for the EDGAR System
Effective Date: 30 days after publication in Federal Register
File No.: S7-28-96 |
| Second Quarter |
| 33-7424 |
Jun. 25, 1997 |
Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers
Effective Date: Jul. 1, 1997. |
| IA-1633 |
May 15, 1997 |
Rules Implementing Amendments to the Investment Advisers Act of 1940.
File No.: S7-31-96
Effective dates: Jul. 8, 1997, except for §275.203A-2, which will become effective Jul. 21, 1997
Note: Additional materials are available. |
| IC-22658 |
May 12, 1997 |
Custody of Investment Company Assets Outside the United States
File No.: S7-23-95
Effective Date: Jun. 16, 1997
Note: Compliance date changed; see release of 05-22-98 |
| 33-7419 |
May 8, 1997 |
Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity
File No.: S7-23-96
Effective Date: 30 days after publication in Federal Register. |
| 33-7418 |
Apr. 30, 1997 |
Definition of "Prepared by or on Behalf of the Issuer" for Purposes of Determining if an Offering Document is Subject to State Regulation.
File No.: S7-6-97
Effective date : May 6, 1997. |
| IC-22597 |
Apr. 3, 1997 |
Privately Offered Investment Companies
File No.: S7-30-96
Effective Date: Jun. 9, 1997. |
| 33-7411 |
Apr. 2, 1997. |
Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation.
Effective Other Dates: see the release itself
Other Release Nos.: 34-38465; 35-26699; 39-2351; IC-22595 |
| First Quarter |
| 33-7408 |
Mar. 27, 1997 |
Penalty-Reduction Policy for Small Entities
Effective Date: Mar. 29, 1997; Comments due: Dec. 31, 1997 |
| 33-7407 |
Mar. 27, 1997 |
Informal Guidance Program for Small Entities
Effective Date: Mar. 29, 1997 |
| IC-22579 |
Mar. 24, 1997 |
Status of Investment Advisory Programs under the Investment Company Act of 1940
File No.: S7-24-95
Effective Date: Mar. 31, 1997. |
| 33-7405 |
Mar. 19, 1997 |
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation
Effective Other Dates: see the release itself.
Other Release Nos.: 34-38419; 35-26688; 39-2348; IC-22571 |
| 34-38387 |
Mar. 13, 1997 |
Implementation of Section 10A of the Securities Exchange Act of 1934
File No.: S7-20-96
Effective Date: 30 days after publication in the Federal Register. |
| 33-7400 |
Mar. 5, 1997 |
Anti-Manipulation Rules Concerning Securities Offerings - Corrections
File No.: S7-11-96 |
| 33-7394 |
Feb. 21, 1997 |
Adoption of Updated EDGAR Filer Manual
Effective Date: Delayed; see related notice
Other Release Nos.: 34-38319; 35-26672; 39-2346; IC-22522 |
| 33-7390 |
Feb. 20, 1997 |
Revision of Holding Period Requirements in Rules 144 and 145
File No.: S7-17-95
Effective Date: Apr. 29, 1997. |
| 35-26667 |
Feb. 14, 1997 |
Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Activities; Exemption of Capital Contributions and Advances to Such Companies (Rule 58)
File No.: S7-12-95
Effective Date: 30 days after publication in Federal Register. |
| 34-38248 |
Feb. 6, 1997 |
Net Capital Rule
File No.: S7-7-94
Effective Date: Sep. 1, 1997. |
| 34-38245 |
Feb. 5, 1997 |
Reporting Requirements for Brokers or Dealers under the Securities Exchange Act of 1934
File No.: S7-21-93
Effective Date: 60 days after publication in Federal Register. |
| 33-7386 |
Jan. 31, 1997 |
Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
File No.: S7-35-95
Effective Date: 60 days after publication in Federal Register. |
| 34-38139 |
Jan. 8, 1997 |
Revised Effective date; Revised Compliance Dates: Order Execution Obligations
File No.: S7-30-95. |
| 34-38110 |
Jan. 2, 1997 |
Final Rule; Revised Effective date; Revised Compliance Dates: Order Execution Obligations
Effective dates: for Order Execution Rules - Jan. 13, 1997; for Subject Security Definition in Quote Rule - Apr. 10, 1997; for ECN Amendment phase in - Jan. 13, Jan. 31, Feb. 21,and Mar. 28, 1997
File No.: S7-30-95. |
