We encourage the public to submit comments on the following proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:
| Release No. |
Date |
Details |
| Fourth Quarter 2004 |
|
34-50870
|
Dec. 16, 2004
|
Regulation NMS: Proposed Rules and Amendments to Joint Industry Plans
File No.: S7-10-04
Comments Due: Comments should be received on or before January 26, 2005.
Comments received are available for this proposal.
 Click to submit comments on S7-10-04
See also: Federal Register PDF (Note: Footnote 317 was unintentionally omitted; see correction.); Spotlight on Regulation NMS
|
|
33-8511 |
Dec. 9, 2004 |
Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings
Other Release Nos.: 34-50831; IC-26691
File No.: S7-41-04
Comments Due: Comments should be received on or before February 15, 2005.
Federal Register PDF
Comments received are available for this proposal.
Click to submit comments on S7-41-04
|
|
34-50699 |
Nov. 18, 2004 |
Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization
File No.: S7-39-04
Comments Due: Comments should be received on or before January 24, 2005.
Federal Register PDF
Comments received are available for this proposal.
Click to submit comments on S7-39-04
See also: Extension of comment period, Rel. No. 34-51019
|
|
33-8501 |
Nov. 3, 2004 |
Securities Offering Reform
Other Release Nos.: 34-50624; IC-26649; International Series Release No. 1282
File No.: S7-38-04
Comments Due: Comments should be received on or before January 31, 2005.
Federal Register PDF
Comments received are available for this proposal.
Click to submit comments on S7-38-04
|
|
IC-26647 |
Nov. 1, 2004 |
Definition of Eligible Portfolio Company under the Investment Company Act of 1940
File No.: S7-37-04
Federal Register PDF
Comments Due: Comments should be received on or before January 7, 2005.
Comments received are available for this proposal.
Click to submit comments on S7-37-04
|
| Third Quarter 2004 |
|
33-8496 |
Sep. 27, 2004 |
XBRL Voluntary Financial Reporting Program on the EDGAR System
Other Release Nos.: 34-50453, 35-27894, 39-2498, IC-26622
File No.: S7-35-04
Comments Due: Comments should be received on or before November 1, 2004.
See also: Correction
Federal Register PDF;
Comment Summary
Comments received are available for this proposal.
Click to submit comments on S7-35-04
|
|
34-50361 |
Sep. 14, 2004 |
Disposal of Consumer Report Information
Other Release Nos.: IA-2293, IC-26596
File No.: S7-33-04
Comments Due: Comments should be received on or before October 20, 2004.
Federal Register PDF
Comments received are available for this proposal.
Click to submit comments on S7-33-04
|
|
33-8477 |
Aug. 25, 2004 |
Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates
Other Release No.: 34-50254
File No.: S7-32-04
Comments Due: Comments should be received on or before October 1, 2004.
Federal Register PDF
Comments received are available for this proposal.
Summary of Comments on this proposal
Click to submit comments on S7-32-04
See also: Final Rule, Release No. 33-8507
|
|
34-50213 |
Aug. 18, 2004 |
Certain Broker-Dealers Deemed Not To Be Investment Advisers
Reopening of Comment Period
Other Release No.: IA-2278
File No.: S7-25-99
Comments Due: Comments should be received on or before September 22, 2004.
Comments received are available for this proposal.
See also: Release No. 34-42099 (original proposing release)
Federal Register PDF
Click to submit comments on S7-25-99
|
|
34-50056 |
Jul. 22, 2004 |
Regulation B
Extension of Comment Period
Other Release No.: International Series Release No. 1279
File No.: S7-26-04
Comments Due: Comments should be received on or before September 1, 2004.
Federal Register PDF
See also: Release No. 34-49879 and comments
|
|
IA-2266 |
Jul. 20, 2004 |
Registration Under the Advisers Act of Certain Hedge Fund Advisers
File No.: S7-30-04
Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins
Comments Due: Comments should be received on or before September 15, 2004.
Federal Register PDF
Comments received are available for this proposal.
Click to submit comments on S7-30-04
|
|
34-49985 |
Jul. 8, 2004 |
Limitations on Affiliate Marketing (Regulation S-AM)
Other Release Nos.: IC-26494, IA-2259
File No.: S7-29-04
Comments Due: Comments should be received on or before August 13, 2004.
Federal Register PDF
Comments received are available for this proposal.
Click to submit comments on S7-29-04
|
| Second Quarter 2004 |
|
34-49895 |
Jun. 21, 2004 |
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Other Release Nos.: 35-27861; IC-26471
File No.: S7-27-04
Comments Due: Comments should be received on or before August 9, 2004.
See also: Comment Summary; Final Rule Release No.33-8600
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-27-04
|
|
34-49879 |
Jun. 17, 2004 |
Regulation B
[Corrected June 23, 2004]
Other Release No.: International Series Release No. 1278
File No.: S7-26-04
Comments Due: Comments should be received on or before August 2, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-26-04
|
|
34-49858 |
Jun. 15, 2004 |
Removal from Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934
File No.: S7-25-04
Comments Due: Comments should be received on or before July 22, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-25-04
|
|
34-49804 |
Jun. 4, 2004 |
Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries
File No.: S7-24-04
Comments Due: Comments should be received on or before July 12, 2004.
See also Correction
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-24-04
|
|
34-49749
|
May 20, 2004
|
Regulation NMS: Extension of Comment Period and Supplemental Request for Comment
File No.: S7-10-04
Comments Due: Comments should be received on or before June 30, 2004.
Comments received are available for this proposal.
Click to submit comments on S7-10-04
See also: Federal Register PDF; Spotlight on Regulation NMS
|
|
33-8419 |
May 3, 2004 |
Asset-Backed Securities
File No.: S7-21-04
Release No.: 34-49644
Comments Due: Comments should be received on or before July 12, 2004.
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal; Final Rule 33-8518
|
|
34-49639 |
May 3, 2004 |
Certain Thrift Institutions Deemed Not To Be Investment Advisers
File No.: S7-20-04
Release Nos.: 34-49639, IA-2232
Comments Due: Comments should be received on or before July 9, 2004.
Federal Register PDF
Click to submit comments on S7-20-04
Comments received are available for this proposal.
|
|
33-8407 |
Apr. 15, 2004 |
Use of Form S-8 and Form 8-K by Shell Companies
File No.: S7-19-04
Release No.: 34-49566
Comments Due: Comments should be received on or before June 7, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-19-04
|
| First Quarter 2004 |
|
34-49505 |
Mar. 30, 2004 |
Proposed Rule Changes of Self-Regulatory Organizations
File No.: S7-18-04
Comments Due: Comments should be received on or before June 4, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-18-04
|
|
33-8404 |
Mar. 22, 2004 |
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-17-04
Comments Due: Comments should be received on or before April 26, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-17-04
|
|
33-8397A |
Mar. 18, 2004 |
First-Time Application of International Financial Reporting Standards; Correction
Release Nos.: 34-49403A; International Series Release No. 1274A
File No.: S7-15-04
Comments Due: Comments should be received on or before April 5, 2004.
Comments received are available for this proposal.
Click to submit comments on S7-15-04
See also: original release, 33-8397, below
|
|
33-8401 |
Mar. 16, 2004 |
Rulemaking for EDGAR System
Release Nos.: 34-49426; 35-27816; 39-2417; IC-26388
File No.: S7-16-04
Comments Due: Comments should be received on or before May 24, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-16-04
|
|
33-8399 |
Mar. 15, 2004 |
Mandated Electronic Filing for Form ID
Release Nos.: 34-49416, 35-27815, 39-2416, IC-26385
File No.: S7-14-04
Comments Due: Comments should be received on or before April 5, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-14-04
|
|
33-8397 |
Mar. 11, 2004 |
First-Time Application of International Financial Reporting Standards
Release Nos.: 34-49403; International Series Release No. 1274
File No.: S7-15-04 (file no. corrected, see 33-8397A)
Comments Due: Comments should be received on or before April 19, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-15-04
|
|
33-8396 |
Mar. 11, 2004 |
Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
Release Nos.: 34-49398; IC-26383
File No.: S7-12-04
Comments Due: Comments should be received on or before May 21, 2004.
Comments received are available for this proposal.
Federal Register PDF
See also: Summary of Comments on this proposal; Final Rule 33-8458
|
|
IC-26375A |
Mar. 5, 2004 |
Mandatory Redemption Fees for Redeemable Fund Securities
[amended]
File No.: S7-11-04
Comments Due: Comments should be received on or before May 10, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-11-04
See also: Final Rule IC-26782
|
|
34-49325
|
Feb. 26, 2004
|
Regulation NMS: Proposed Rules and Amendments to Joint Industry Plans
File No.: S7-10-04
Comments Due: Comments should be received on or before June 30, 2004.
Comments received are available for this proposal.
Click to submit comments on S7-10-04
See also: Federal Register PDF; Spotlight on Regulation NMS
|
|
IC-26356 |
Feb. 24, 2004 |
Prohibition on the Use of Brokerage Commissions to Finance Distribution
File No.: S7-09-04
Comments Due: Comments should be received on or before May 10, 2004.
See also: Final Rule Release No. IC-26591
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-09-04
|
|
33-8364 |
Feb. 11, 2004 |
Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies
File No.: S7-08-04
Release Nos.: 34-49219; IC-26350
Comments Due: Comments should be received on or before April 26, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-08-04
See also: Outline of Comments on this proposal; Final Rule Release No. 33-8433
|
|
33-8358 |
Jan. 29, 2004 |
Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds
File No.: S7-06-04
Release Nos.: 34-49148; IC-26341
Comments Due: Comments should be received on or before April 12, 2004.
See Also: Attachments 1 - 5, Form Examples
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-06-04
|
|
34-49104 |
Jan. 20, 2004 |
Collection Practices under Section 31 of the Exchange Act
File No.: S7-05-04
Comments Due: Comments should be received on or before February 26, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-05-04
See also: Final Rule, Rel. No. 34-49928
|
|
IA-2209 |
Jan. 20, 2004 |
Investment Adviser Codes of Ethics
File No.: S7-04-04
Comments Due: Comments should be received on or before March 15, 2004.
Release No.: IC-26337
See also: Appendix A: Key Distinctions Between Existing And Proposed Rules
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-04-04
See also: Final Rule, Rel. No. IA-2256
|
|
IC-26323 |
Jan. 15, 2004 |
Investment Company Governance
File No.: S7-03-04
Comments Due: Comments should be received on or before March 10, 2004.
Comments received are available for this proposal.
Federal Register PDF
Click to submit comments on S7-03-04
|
|
34-49037 |
Jan. 8, 2004 |
Amendments to the Penny Stock Rules
File No.: S7-02-04
Comments Due: Comments should be received on or before March 16, 2004.
Comments received are available for this proposal.
Federal Register PDF
See also: Exemptive Order Rel. No. 34-49038
Click to submit comments on S7-02-04
|
