| Release No. |
Date |
Details |
| Fourth Quarter |
| 34-42266 |
Dec. 22, 1999 |
Audit Committee Disclosure
File No.: S7-22-99
Effective Date: Jan. 31, 2000
|
| 34-42212 |
Dec. 9, 1999 |
Adoption of Amendments to the Intermarket Trading System Plan To Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities
File No.: 4-208
Effective Date: Feb. 14, 2000
|
| IC-24177 |
Nov. 30, 1999 |
Temporary Exemption for Certain Investment Advisers
File No.: S7-22-98
Effective Date: Dec. 13, 1999
Other Release Nos.: IA-1846 |
| 33-7766 |
Nov. 5, 1999 |
Delivery of Disclosure Documents to Households
File No.: S7-27-97
Effective Date: Dec. 20, 1999
Other Release Nos.: 34-42101; IC-24123 |
| 33-7760 |
Oct. 22, 1999 |
Regulation of Takeovers and Security Holder Communications
File No.: S7-28-98
Effective Date: Jan. 24, 2000
Other Release Nos.: 34-42055 |
| 33-7759 |
Oct. 22, 1999 |
Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings
File No.: S7-29-98
Effective Date: Jan. 24, 2000
Other Release Nos.: 34-42054 |
| 33-7752 |
Oct. 7, 1999 |
Adoption of Updated EDGAR Filer Manual
File No.:
Effective Date: Oct. 18, 1999
Other Release Nos.: 34-41986; 35-27081; 39-2376; IC-24075 |
| Third Quarter |
| 34-41936 |
Sep. 28, 1999 |
International Disclosure Standards
File No.: S7-3-99
Effective Date:
|
| 34-41905 |
Sep. 23, 1999 |
Purchases of Certain Equity Securities by the Issuer and Others
File No.: S7-27-98
Effective Date: 30 days after date of publication in Federal Register.
|
| 33-7728 |
Aug. 24, 1999 |
Personal Investment Activities of Investment Company Personnel
File No.: S7-25-95
Effective Date: Oct. 29, 1999
Other Release Nos.: IC-23958, IA-1815 |
| 34-41661 |
Jul. 29, 1999 |
Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents
File No.: S7-8-99
Effective Date: Aug. 30, 1999 |
| 34-41594 |
Jul. 2, 1999 |
Broker-Dealer Registration and Reporting
Effective Date: Jul. 30, 1999
File No.: S7-16-99
Note: Additional material is available for this release:
Appendix A; Appendix B: Form BD in Adobe Acrobat format; Amendments:(File name: 34-41672.htm). |
| Second Quarter |
| IA-1804 |
Jun. 22, 1999 |
Delegation of Authority To Cancel Registration of Certain Investment Advisers
Effective Date: Jun. 28, 1999 |
| 34-41453 |
May 26, 1999 |
Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities;
File No.: S7-4-99
Effective Date: Jun. 2, 1999 |
| 33-7685 |
May 18, 1999 |
Adoption of Updated EDGAR Filer Manual;
Effective Date: amendment to 17 CFR part 232 (Regulation S-T): Jun. 28,1999; New edition of the EDGAR Filer Manual (Release 6.50): Jun. 28, 1999
Note: The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of Jun. 28, 1999
Other Release Nos.: 34-41411; 35-27026; 39-2373; IC-23844 |
| 33-7684 |
May 17, 1999 |
Rulemaking for EDGAR System
File No.: S7-9-99
Effective Date: Jun. 28, 1999 (and apply to filings submitted on or after that date).
Other Release Nos. : 34-41410; IC-23843 |
| 34-41356 |
May 3, 1999 |
Broker-Dealer Registration and Reporting
File No.: S7-17-96
Effective Date: 30 days after publication in the Federal Register
Note: Additional material is available for this release:
Form BDW in Adobe Acrobat format. |
| IC-23814 |
Apr. 30, 1999 |
Custody of Investment Company Assets Outside the United States; Extension of Compliance Date
File No.: S7-23-95
Effective Date: Rule amendments published on May 16, 1997 (62 FR 26923) remains Jun. 16, 1997.
Other Release Nos.: IS-1193 |
| 34-41297 |
Apr. 16, 1999 |
Regulation of Alternative Trading Systems; Technical Amendment
File No.: S7-12-98
Effective Date: Apr. 21, 1999
Note: Additional material is available for this release:
Appendix: Schedule A |
| IC-23786 |
Apr. 15, 1999 |
Deregistration of Certain Registered Investment Companies.
File No.: S7-31-98
Effective Date: Jun. 1, 1999
Note: Additional material is available for this release in PDF format: Form N-8F |
| First Quarter |
| IA-1794 |
Mar. 29, 1999 |
Transition Rule for Ohio Investment Advisers
File No.: S7-2-99
Effective Date: May 3, 1999 |
| 3440760a |
Mar. 11, 1999 |
Regulation of Exchanges and Alternative Trading Systems. Correction;
File No.: S7-12-98
Effective Date: Apr. 21, 1999 |
| 34-41116 |
Mar. 1, 1999 |
Adoption of an Amendment to Rule 3a12-8
File No.: S7-15-98
Effective Date: Mar. 5, 1999
Other Release Nos.: International Series Release No. 118 |
| 33-7646 |
Feb. 26, 1999 |
Adoption of Amendments to Form S-8 related Rules Under the Securities Act, and Regulations S-K and S-B
File No.: S7-2-98
Effective Date: Apr. 7, 1999
Other Release Nos.: 34-41109 |
| 33-7645 |
Feb. 25, 1999 |
Rule 701 - Exempt Offerings Pursuant to Compensatory Arrangements
File No.: S7-5-98
Effective Date: Apr. 7, 1999 |
| 33-7644 |
Feb. 26, 1999 |
Adoption of Amendments to Rule 504 of Regulation D
Effective Date: Apr. 7, 1999
Other Release Nos.: S7-14-98 |
| IC-23670 |
Jan. 29, 1999 |
Extension of Compliance Date
File No.: S7-23-95
Effective Date: May 1, 1999
Other Release Nos.: IS-1179 |
| 34-40934 |
Jan. 12, 1999 |
Rulemaking for EDGAR System
File No.: S7-18-97
Effective Date: 30 days after publication in Federal Register
Note: Additional materials are available for this release in PDF format:
Form 13F and the 13F Table.
Other Release Nos.: IC-23640 |
| IA-1780 |
Jan. 11, 1999 |
Rules Implementing Amendments to the Investment Advisers Act of 1940; Correction to Technical Amendments Under the Investment Advisers Act of 1940
File No.: S7-31-96; S7-7-86
Effective Date: Jan. 15, 1999 |
| IA-1733A |
Jan. 7, 1999 |
Technical Changes to Schedule I to Form ADV
File No.: S7-28-97MIA-1733A
Effective Date: Jan. 7, 1999
Reference see also Release No. IA-1733 |
| 33-7620 |
Jan. 5, 1999 |
Segment Reporting
File No.: S7-17-98
Effective Date: Feb. 11, 1999 |
