| Release No. |
Date |
Details |
| Fourth Quarter |
| 33-8879 |
Dec. 21, 2007 |
Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
Other Release No.: 34-57026; International Series Release No. 1306; File No. S7-13-07
File No.: S7-13-07
Effective Date: March 4, 2008
Federal Register version
See also: Proposed Rule Release No. 33-8818 and comments |
| 33-8878 |
Dec. 19, 2007 |
Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
File No.: S7-10-07
Effective Date: January 28, 2008
Federal Register version
See also: Proposed Rule Release No. 33-8812; comments; and Small Entity Compliance Guide |
| 33-8876 |
Dec. 19, 2007 |
Smaller Reporting Company Regulatory Relief and Simplification
Other Release No.: 34 56994, 39-2451
File No.: S7-15-07
Effective Date: February 4, 2008
Federal Register version
See also: Proposed Rule Release No. 33-8819; comments; and Small Entity Compliance Guide
|
| 34-56914 |
Dec. 6, 2007 |
Shareholder Proposals Relating to the Election of Directors
Other Release No.: IC-28075
File No.: S7-17-07
Effective Date: January 10, 2008
Federal Register version
See also: Proposed Rule Release No. 34-56161; comments; and Small Entity Compliance Guide
|
| 33-8869 |
Dec. 6, 2007 |
Revisions to Rules 144 and 145 (Conforming Version)
File No.: S7-11-07
Effective Date: February 15, 2008
Comment Due Date: January 16, 2008
Federal Register version
Submit comments on S7-11-07
See also: Proposed Rule Release No. 33-8813; comments; and Small Entity Compliance Guide
|
| 34-56887 |
Dec. 3, 2007 |
Exemption of Compensatory Employee Stock Options From Registration Under Section
12(g) of the Securities Exchange Act of 1934
Other Release No.: International Series Release No. 1305
File No.: S7-14-07
Effective Date: December 7, 2007
Federal Register version
See also: Proposed Rule Release No. 34-56010 and comments
|
| Third Quarter |
| IA-2653 |
Sep. 24, 2007 |
Temporary Rule Regarding Principal Trades with Certain Advisory Clients
File No.: S7-23-07
Effective Date: September 30, 2007, except 17 CFR 275.206(3)-3T will be effective from September 30, 2007 until December 31, 2009
Comments Due: November 30, 2007
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-23-07
See also: Small Entity Compliance Guide
|
| 34-56502 |
Sep. 24, 2007 |
Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
File No.: S7-23-06
Effective Date: November 2, 2007
Federal Register version
See also: Proposed Rule Release No. 34-54947; Order Release No. 34-54948; and comments
|
| 34-56501 |
Sep. 24, 2007 |
Definitions of Terms and Exemptions Relating to the "Broker" Exceptions For Banks (Conforming Version)
File No.: S7-22-06
Effective Date: see Federal Register version of release
Compliance Date: first day of first fiscal year that commences after September 30, 2008
Federal Register version
See also: Final Rule Release No. 34-56501A; Proposed Rule Release No. 34-54946; Order Release No. 34-54948; comments; Small Entity Compliance Guide
|
| 33-8834 |
Aug. 15, 2007 |
Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-56256, 39-2448, IC-27928
Effective Date: August 20, 2007
Federal Register version |
| 34-56212 |
Aug. 7, 2007 |
Amendments to Regulation SHO
File No.: S7-12-06
Effective Date: October 15, 2007
Federal Register version
See also: Proposed Rule Releases No. 34-55520 and 34-54154; comments; Spotlight on Short Sales; and Small Entity Compliance Guide
|
| 34-56206 |
Aug. 6, 2007 |
Short Selling in Connection with a Public Offering
File No.: S7-20-06
Effective Date: October 9, 2007
Federal Register version
See also: Small Entity Compliance Guide
|
| 33-8830 |
Aug. 6, 2007 |
Deletion Of References To IRS Identification Numbers
Other Release Nos.: 34-56205, IC-27923
Effective Date: August 10, 2007
Federal Register version
|
| IA-2628 |
Aug. 3, 2007 |
Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles
File No.: S7-25-06
Effective Date: September 10, 2007
Federal Register version
Concurring Opinion of Commissioner Paul S. Atkins
|
| 33-8829 |
Aug. 3, 2007 |
Definition of the Term Significant Deficiency
Other Release No.: 34-56203
File No.: S7-24-06
Effective Date: September 10, 2007
Federal Register version
See also: Small Entity Compliance Guide |
| 34-56135 |
Jul. 26, 2007 |
Shareholder Choice Regarding Proxy Materials
Other Release No.: IC-27911
File No.: S7-03-07
Effective Date: January 1, 2008, except §240.14a-16(d)(3) and §240.14a-16(j)(3) are effective October 1, 2007.
Compliance Dates: See page 1 of the release.
Federal Register version
See also: Small Entity Compliance Guide |
| 33-8823 |
Jul. 11, 2007 |
Extension of Interactive Data Voluntary Reporting Program on the EDGAR System to Include Mutual Fund Risk/Return Summary Information
Other Release No.: IC-27884
File No.: S7-05-07
Effective Date: August 20, 2007
Federal Register version
See also: Proposed Rule Release No. 33-8781; comments; Comment Summary; and Small Entity Compliance Guide
|
| Second Quarter |
| 34-55970 |
Jun. 28, 2007 |
Regulation SHO and Rule 10a-1
File No.: S7-21-06
Effective Date: July 3, 2007
Compliance Date: July 6, 2007
Federal Register version
See also: Proposed Rule Release No. 34-54891; comments; Reg SHO Pilot Study; and Small Entity Compliance Guide
|
| 33-8809 |
Jun. 20, 2007 |
Amendments to Rules Regarding Management’s Report on Internal Control Over Financial Reporting (Corrected)
Other Release Nos.: 34-55928; FR-76
File No.: S7-24-06
Effective Date: August 27, 2007, except the amendment to §210.2-02T, is effective from August 27, 2007 until June 30, 2009.
Federal Register version
See also: Interpretive Release No. 33-8810; Request for Comment; Proposed Rule Release No. 33-8762, comments; comment summary; and Small Entity Compliance Guide
|
| 34-55857 |
Jun. 5, 2007 |
Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical
Rating Organizations
File No.: S7-04-07
Effective Date: June 18, 2007; see effective date section of the release for exceptions.
Federal Register version
See also: Small Entity Compliance Guide
|
| 34-55643 |
Apr. 19, 2007 |
Technical Amendments to Form BD and Form BDW
Effective Date: April 23, 2007
Federal Register version
|
| 33-8791 |
Apr. 18, 2007 |
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-18-06
Effective Date: May 24, 2007
Federal Register version
|
| First Quarter |
| 34-55540 |
Mar. 27, 2007 |
Termination Of A Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty to File Reports Under Section 13(a) Or 15(d) of the Securities Exchange Act of 1934
(Corrected, Mar. 28, 2007)
File No.: S7-12-05
Effective Date: June 4, 2007
Federal Register version
See also: Proposed Rule Release Nos. 34-53020; 34-55005; and comments
|
| 34-55502 |
Mar. 21, 2007 |
Technical Amendment to Regulation S-T (Corrected to Conform to the Federal Register Version)
Effective Date: April 27, 2007
Federal Register version
|
| 34-55160 |
Jan. 24, 2007 |
Regulation NMS Compliance Date Extension
File No.: S7-10-04
Effective Date: January 30, 2007
Compliance Date: See page 3 of the release.
Federal Register version
See also: Spotlight on Regulation NMS
|
| 34-55146 |
Jan. 22, 2007 |
Internet Availability of Proxy Materials
Other Release No.: IC-27671
File No.: S7-10-05
Effective Date: March 30, 2007
Compliance Date: See page 2 of the release.
Federal Register version
Comments Due: March 30, 2007
Submit comments on S7-10-05
See also: Proposed Rule Release Nos. 34-55147 and 34-52926
|
| 34-40761A |
Jan. 5, 2007 |
Correcting Amendment: Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
File No.: S7-13-98
Effective Date: February 20, 1999
Federal Register version
See also: Final Rule Release No. 34-40761 and Proposed Rule Release No. 34-39885
|
