SEC Proposed Rules Archives: 2000

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:

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Release No.	Date	Details
Fourth Quarter
IC-24775	Nov. 29, 2000	Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate File No.:   S7-20-00 Comments Due:   45 days after publication in the Federal Register Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. IC-25560
34-43401	Oct. 2, 2000	Processing Requirements for Cancelled Security Certificates File No.:   S7-18-00 Comments Due:   60 days after publication in the Federal Register Comments received electronically are available for this proposal.
Third Quarter
33-7883	Aug. 29, 2000	Extension of time period to submit materials for public hearing on September 20, 2000; location of hearings: Revision of the Commission's Auditor Independence Requirements. Reference:   Rel. No. 34-43219 File No.:   S7-13-00 Comments Due:   45 days after publication in the Federal Register Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. 33-7919
34-43085	Jul. 28, 2000	Firm Quote and Trade-Through Disclosure Rules for Options File No.:   S7-17-00 Comments Due:   45 days after publication in the Federal Register Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. 34-44852; Rule, Rel. No. 34-45654
34-43084	Jul. 28, 2000	Disclosure of Order Routing and Execution Practices File No.:   S7-16-00 Comments Due:   September 22, 2000 Comments received electronically are available for this proposal. See also: Final Rules, Rel. Nos. 34-44060 and 34-43590
Second Quarter
34-42994	Jun. 30, 2000	Revision of the Commission's Auditor Independence Requirements Reference:   Rel. Nos. 33-7870, 35-27193, IC-24549, IA-1884 File No.:   S7-13-00 Comments Due:   September 25, 2000 Comments received electronically are available for this proposal. Additional materials are available for this release:   Final Rule, Rel. No. 33-7919   Proposed Rule, Rel. No. 33-7883    3rd Hearing/Day 2 Testimony (testimony), September 21, 2000;    3rd Hearing/Day 1 Testimony (testimony), September 20, 2000;    Public Testimony (text submitted by speakers) on the issues, September 21, September 20, September 13, 2000 and July 26, 2000    2nd Hearing Testimony (testimony), September 13, 2000;    Notice of Hearings, July 7, 2000;    Hearing Testimony (testimony), July 26, 2000;    Notice of Additional Hearings, August 10, 2000;    Notice of Extension of deadline to submit testimony for additional hearings, August 30, 2000)
34-42755	May 4, 2000	Options Price Reporting Authority; Proposed Amendments to National Market System Plan File No.:   4-434 Comments Due:   30 days after publication in the Federal Register Comments received electronically are available for this proposal.
34-42741	May 2, 2000	Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers File No.:   S7-12-00 Comments Due:   June 7, 2000 Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. 34-44494
34-42620	Apr. 5, 2000	Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV Reference:   Rel. No. IA-1862 File No.:   S7-10-00 Comments Due:   June 13, 2000 Comments received electronically are available for this proposal. Additional materials are available for this release:   Final Rules, Rel. Nos. 34-48167 and IA-1897    Summary of Comments on Electronic Filing and Proposed Amendments to Form ADV
First Quarter
33-7815	Mar. 21, 2000	Proposed rule; extension of comment period Reference:   Rel. Nos. 34-42552, IC-24343 File No.:   S7-31-99 Comments Due:   April 28, 2000 See also: Final Rule, Rel. No. 33-7881 Proposed Rule, Rel. No. 34-42259
33-7809	Mar. 15, 2000	Disclosure of Mutual Fund After-Tax Returns Reference:   Rel. Nos. 34-42528, IC-24339 File No.:   S7-09-00 Comments Due:   June 30, 2000 Comments received electronically are available for this proposal. See also: Final Rules, Rel. Nos. 33-8010 and 33-7941
34-42484	Mar. 2, 2000	Privacy of Consumer Financial Information (Regulation S-P) Reference:   Rel. Nos. IC-24326, IA-1856 File No.:   S7-6-00 Comments Due:   March 31, 2000 Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. 34-42974
34-42462	Feb. 25, 2000	Rulemaking for EDGAR System Reference:   Rel. Nos. 33-7803, 35-27142, 39-2382, IC-24319 File No.:   S7-05-00 Comments Due:   April 3, 2000 Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. 33-7855
34-42354	Jan. 21, 2000	Supplementary Financial Information Reference:   Rel. No. 33-7793 File No.:   S7-03-00 Comments Due:   by April 17, 2000 Comments received electronically are available for this proposal.