| Release No. |
Date |
Details |
| Fourth Quarter |
| IA-1916 |
Dec. 21, 2000 |
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
Effective Date: Jan. 1, 2001
Other Release Nos.: 34-43758 |
| 34-43651 |
Dec. 1, 2000 |
Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness
File No.: S7-12-98
Effective Date: 17 CFR 242.301(b)(5)(i)(D) and (E) and 242.301(b)(6)(i)(D) and(E) are stayed until Dec. 1, 2001
|
| 34-43621 |
Nov. 27, 2000 |
Adoption of Amendments to National Market System Plan
File No.: 4-434
Effective Date: Jan. 2, 2001
|
| 33-7919 |
Nov. 21, 2000 |
Revision of the Commission's Auditor Independence Requirements
File No.: S7-13-00
Effective Date: Feb. 5, 2001.
Other Release Nos.: 34-43602; 35-27279; IC-24744; IA-1911; FR-56
See also Proposed Rules, Rel. Nos. 33-7883, 34-42994 and comments
|
| 34-43591 |
Nov. 17, 2000 |
Firm Quote and Trade-Through Disclosure Rules for Options
File No.:
Effective Date: 30 days after publication in the Federal Register
|
| 34-43590 |
Nov. 17, 2000 |
Disclosure of Order Execution and Routing Practices
File No.: S7-16-00
Effective Date: Jan. 30, 2001
See also Final Rule, Rel. No. 34-44060; Proposed Rule, Rel. No. 34-43084 and comments
|
| 33-7912 |
Oct. 27, 2000 |
Delivery of Proxy Statements and Information Statements to Households
File No.: S7-26-99
Effective Date: Dec. 4, 2000
Other Release Nos.: 34-43487; IC-24715 |
| 34-34961 |
Oct. 19, 2000 |
Amendments to Rule 9b-1 under the Securities Exchange Act of 1934Relating to the Options Disclosure Document
File No.: S7-18-98
Effective Date: 30 days after publication in the Federal Register
|
| Third Quarter |
| IA-1897 |
Sep. 12, 2000 |
Electronic Filing by Investment Advisers; Amendments to Form ADV
File No.: S7-10-00
Effective Date: Oct. 10, 2000
See also 34-48167;
Proposed Rule, Rel. No. 34-42620 and comments
|
| 34-43239 |
Sep. 1, 2000 |
Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83
File No.: S7-14-99
Effective Date: Oct. 13, 2000
Other Release Nos.: FOIA-191;
PA-30 |
| 34-43217 |
Aug. 29, 2000 |
Unlisted Trading Privileges
File No.: S7-29-99
Effective Date: Nov. 6, 2000
|
| 33-7881 |
Aug. 15, 2000 |
Selective Disclosure and Insider Trading
File No.: S7-31-99
Effective Date: Oct. 23, 2000
Other Release Nos.: 34-43154; IC-24599 |
| 33-7878 |
Aug. 15, 2000 |
Financial Statements and Periodic Reports for Related Issuers and Guarantors
File No.: S7-7-99
Effective Date: Oct. 23, 2000
Other Release Nos.: 34-43124; International Series No. 1229; FR-55 |
| 33-7877 |
Jul. 27, 2000 |
Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies
File No.: S7-14-00
Other Release Nos.: IC-24582 |
| Second Quarter |
| 34-42974 |
Jun. 22, 2000 |
Privacy of Consumer Financial Information (Regulation S-P)
File No.: S7-6-00
Effective Date: Nov. 13, 2000
Other Release Nos.: IC-24543, IA-1883
Note: Additional material is available for this release:
Staff Responses to Questions About Regulation S-P
Proposed Rule, Rel. No. 34-42484 and comments
|
| 33-7867 |
Jun. 14, 2000 |
Adoption of Updated EDGAR Filer Manual
Effective Date: Jun. 23, 2000
Other Release Nos.: 34-42942; 35-27185; 39-2386; IC-24498 |
| 33-7860 |
Jun. 7, 2000 |
Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts.
File No.: S7-10-99
Effective Date: Jun. 23, 2000
Other Release Nos.: 34-42905, IC-24491; International Series Release No.1226 |
| 34-42892 |
Jun. 2, 2000 |
Revised Transfer Agent Form and Related Rule
File No.: S7-11-99
Effective Date: 30 days after date of publication in Federal Register.
|
| 33-7858 |
May 16, 2000 |
Adoption of Updated EDGAR Filer Manual.
Effective Date: May 30, 2000
Other Release Nos.: 34-42789; 35-27177; 39-2385; IC-24455 |
| IC-24424 |
Apr. 27, 2000 |
Custody of Investment Company Assets Outside the United States.
File No.: S7-15-99
Effective Date: Jun. 12, 2000
Other Release Nos.: IS-1221 |
| 33-7855 |
Apr. 24, 2000 |
Rulemaking for EDGAR System
File No.: S7-05-00
Effective Date: May 30, 2000
Other Release Nos.: 34-42712; 35-27172; 39-2384; IC-24400
See also Proposed Rule, Rel. No. 342462 and comments
|
| First Quarter |
| 3442603A |
Mar. 31, 2000 |
Regulation of Alternative Trading Systems; Suspension (Extension of Effective date to Dec. 1, 2000)
File No.: S7-12-98
|
| 33-7789 |
Jan. 12, 2000 |
Adoption of Updated EDGAR Filer Manual
File No.:
Effective Date: Jan. 12, 2000
Other Release Nos.: 34-42327; 35-27123; 39-2380; IC-24235 |
