| Release No. |
Date |
Details |
| Fourth Quarter |
| 34-40760 |
Dec. 8, 1998 |
Regulation of Exchanges and Alternative Trading Systems
File No.: : S7-12-98
Effective Date: Apr. 21, 1999
Compliance Date: The first two brackets are 120 days (Apr. 21, 1999) and the third bracket is 240 days (Aug. 30, 1999).
Note: Additional materials are available for this release in PDF format:
Form 1, Form ATS, Form ATS-R, and Form PILOT |
| 34-40761 |
Dec. 8, 1998 |
Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
File No.: S7-13-98
Effective Date: Feb. 22, 1999
Note: Additional materials are available for this release in PDF format:
Form 19b-4(e). |
| 34-40594a |
Nov. 5, 1998 |
OTC Derivatives Dealers; Correction
File No.: S7-30-97
Effective Date: Jan. 1, 1999 |
| 34-40636 |
Nov. 4, 1998 |
Rules of Practice
File No.: S7-23-98
Effective Date: 30 days after publication in Federal Register |
| 33-7608 |
Nov. 4, 1998 |
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 Federal Register |
| 34-40608 |
Oct. 28, 1998 |
Reports to be Made by Certain Brokers and Dealers
File No.: S7-7-98
Effective Date: 60 days after publication in Federal Register. |
| 34-40587 |
Oct. 22, 1998 |
Year 2000 Readiness Reports to be Made by Certain Non-Bank Transfer Agents
File No.: S7-8-98
Effective Date: Dec. 2, 1998 |
| 34-40594 |
Oct. 23, 1998 |
OTC Derivatives Dealers
File No.: S7-30-97
Effective Date: Jan. 4, 1999 |
| 33-7593 |
Oct. 19, 1998 |
Amendment to Rule 102(e) of the Commission's Rules of Practice
File No.: S7-16-98
Effective Date: Nov. 25, 1998. |
| IA-1769 |
Oct. 1, 1998 |
Investment Adviser Year 2000 Reports
File No.: S7-20-98
Effective Date: Nov. 13, 1998. |
| Third Quarter |
| 34-40163A |
Aug. 3, 1998 |
Correction to Year 2000 Readiness Reports
File No.: S7-8-98
Effective Date: date of publication in Federal Register |
| IA-1733 |
Jul. 20, 1998 |
Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers with Principal Offices and Places of Business in Colorado or Iowa
File No.: S7-28-97
Effective Date: Aug. 31, 1998. |
| IA-1731 |
Jul. 15, 1998 |
Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
File No.: S7-29-97
Effective Date: Aug. 20, 1998. |
| 34-40163 |
Jul. 2, 1998 |
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
File No.: S7-8-98
Effective Date: Aug. 12, 1998. |
| 34-40162 |
Jul. 2, 1998 |
Reports to be Made by Certain Brokers and Dealers
File No.: S7-7-98
Effective Date: Aug. 12, 1998. |
| Second Quarter |
| 33-7548 |
Jun. 24, 1998 |
Definitions of "Small Business" or "Small Organization" Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
File No.: S7-4-97
Effective Date: Jul. 30, 1998. |
| 33-7539 |
May 19, 1998 |
Adoption of Updated EDGAR Filer Manual
Effective Date: Jun. 1, 1998 |
| IC-23201 |
May 21, 1998 |
Extension of Compliance Date: Custody of Investment Company Assets Outside the United States
File No.: S7-23-95
Effective Date: Jun. 16, 1997.
Compliance Date: Feb. 1, 1999 |
| 34-40018 |
May 21, 1998 |
Amendments to Rules on Shareholder Proposals
File No.: S7-25-97
Effective Date: 30 days after publication in Federal Register. |
| First Quarter |
| 33-7513 |
Mar. 13, 1998 |
New Disclosure Option for Open-End Management Investment Companies
File No.: S7-18-97
Effective Date: Jun. 1, 1998. |
33-7512r;
33-7512f |
Mar. 13, 1998 |
Registration Form Used by Open-End Management Investment Companies
File No.: S7-10-97
Effective Date: Jun. 1, 1998.
Note: text of Form N-1A added, 3-23-98. |
| 35-26826 |
Feb. 20, 1998 |
Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
File No.: S7-11-95
Effective Date: date of publication in Federal Register. |
33-7505
Part 1 ; Part 2 |
Feb. 17, 1998 |
Offshore Offers and Sales (Regulation S)
Effective Date: 60 days after publication in Federal Register. |
| 34-39627 |
Feb. 9, 1998 |
Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: date of publication in Federal Register |
| 34-39624 |
Feb. 5, 1998 |
Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act
Effective Date: date of publication in Federal Register |
| 33-7497 |
Jan. 28, 1998 |
Plain English Disclosure
File No.: S7-3-97
Effective Date: Oct. 1, 1998
Note: Additional materials are available for this release: Appendix A, Appendix B, and the Plain English Handbook. |
| 33-7495 |
Jan. 20, 1998 |
Adoption of Updated EDGAR Filer Manual
Effective Date: Jan. 26, 1998. |
| 33-7494 |
Jan. 13, 1998 |
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-17-97
Effective Date: date of publication in Federal Register. |
| 34-39538 |
Jan. 12, 1998 |
Amendments to Beneficial Ownership Reporting Requirements
File No.: S7-16-96
Effective Date: Feb. 17, 1998.
Note: Additional material (the chart "III. Effects of Amendments to Regulation13D-G") is available for this release. |
