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Petitions for Rulemaking
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| File No. | Date | Description |
| 4-565 | Aug. 1, 2008 | Request for joint CFTC and SEC rulemaking to amend CFTC Rule 41.45(b) and SEC Rule 403(b) relating to customer margin levels for security futures products
Submitted by: Donald L. Horowitz, OneChicago, LLC |
| 4-563 | Jul. 21, 2008 | Request for rulemaking for interpretive guidance for registrants pursuant to the Securities Exchange Act of 1934 on public statements concerning global warming and other environmental issues
Submitted by: Steven J. Milloy and Thomas Borelli, Free Enterprise Action Fund Comments received are available for this proposal. |
| 4-562 | Jul. 15, 2008 | Request for rulemaking under the Securities Exchange Act of 1934 to limit fees that options exchanges may charge non-members to obtain access to quotations to $.20 per contract
Submitted by: John C. Nagel, Citadel Comments received are available for this proposal. |
| 4-547 | Jun. 12, 2008 | Supplemental petition
Note: For attachments, see original petition Comments received are available for this proposal. |
| 4-558 | May 12, 2008 | Request for rulemaking requiring companies to disclose in the proxy statement the fees associated with all engagements for a single company and any ownership interest a consultant working for the compensation committee may have in the parent consulting firm
Submitted by: Multiple Petitioners Comments received are available for this proposal. |
| 4-557 | Apr. 3, 2008 | Request for rulemaking to adopt new Rule 15c3-4 to address the practice of market participants redefining securities in customer accounts past T+3
Submitted by: Thomas Vallarino, National Investor Protection Coalition Comments received are available for this proposal. |
| 4-556 | Feb. 27, 2008 | Request for Review and Repeal of FAS 123R, "Share-Based Payment"
Submitted by: B. Kipling Hagopian |
| 4-541 | Feb. 11, 2008 | Supplemental petition
Note: For attachments, see original petition Comments received are available for this proposal. |
| 4-555 | Jan. 25, 2008 | Request for rulemaking to amend SEC rules to require public companies to provide a plain English descriptive narrative for all departures or dismissals of their external auditors
Submitted by: Jeff Mahoney, General Counsel, Council of Institutional Investors |
| 4-554 | Jan. 16, 2008 | Request for rulemaking under the Investment Company Act of 1940
to adopt a rule requiring that money market funds make nonpublic
monthly electronic filings of their portfolios to enable the Commission
to monitor more closely the funds’ risk of loss of principal
Submitted by: Fund Fund Democracy, Consumer Federation of America, Consumer Action, AFL-CIO, Financial Planning Association and National Association of Personal Financial Advisors |
| 4-553 | Dec. 19, 2007 | Request for rulemaking under the Securities Exchange Act of 1934 to exempt issuers of certain types of fixed insurance contracts from the reporting requirements of Sections 13 and 15(d) of the Act
Submitted by: Stephen E. Roth, Esq., Sutherland Asbill & Brennan LLP on behalf of Jackson National Life Insurance Company |
| 4-549 | Oct. 22, 2007 | Request for interpretive guidance under the Securities Act of 1933 that would require registrants to disclose to shareholders the business risks of laws and regulations intended to address global warming concerns
Submitted by: Steven J. Milloy and Thomas J. Borelli, on behalf of Free Enterprise Action Fund |
| 4-550 | Oct. 19, 2007 | Joint request for rulemaking to adopt amendments to Regulation S-K that would provide for increased disclosure of certain financial and other relationships between underwriters and registrants
Submitted by: California Public Employees' Retirement System California State Teachers' Retirement System Los Angeles County Employees Retirement Association Illinois Universities Retirement System Tennessee Consolidated Retirement System Citigroup Global Markets Inc. J.P. Morgan Securities Inc. |
| 4-548 | Sep. 25, 2007 | Request for rulemaking under the Securities Act of 1933 to permit commodity pools to publish and distribute advertisements that disclose certain information about the commodity pool beyond that specified by the safe harbor of Rule 134
Submitted by: James B. Biery, Sidley Austin LLP on behalf of Superfund Capital Management, Inc. |
| 4-547 | Sep. 18, 2007 | Request for interpretive guidance on Climate Risk Disclosure
See Also: Supplemental petition dated June 12, 2008 Submitted by: Multiple petitioners Comments received are available for this proposal. |
| 4-543 | Jul. 9, 2007 | Request to amend Rule 35d-1 under the Investment Company Act to amend the definition of fundamental investment policy
Submitted by: George W. Karpus, Karpus Investment Management |
| 4-541 | Jun. 18, 2007 | Request for rulemaking under the Securities Exchange Act of 1934 to prohibit broker-dealers from requiring investors to accept mandatory arbitration clauses
Submitted by: Daniel R. Solin Comments received are available for this proposal. |
| 4-542 | Jun. 13, 2007 | Request for rulemaking under the Investment Company Act of 1940 to amend Rule 19a-1 which governs how a fund calculates and discloses the sources of its distributions
Submitted by: Mary S. Podesta, Esq., Investment Company Institute |
| 4-540 | May 24, 2007 | Request to Amend “Pattern Day Trader” Rule
Submitted by: Michael Wilson |
| 4-535 | Mar. 28, 2007 | Request for written interpretative guidance relating to the implementation of FASB Interpretation No. 48, Accounting for Uncertainty in Income Taxes ("FIN 48") by investment companies registered under the Investment Company Act of 1940
Submitted by: Stephen D. Fisher, Senior Vice President & Deputy General Counsel, Fidelity Management & Research Company; Eric Roiter, Senior Vice President & General Counsel, Fidelity Management & Research Company; Maria Dwyer, Chief Regulatory Officer, Massachusetts Financial Services Company; Scott Huebl, Vice President, Tax, Oppenheimerfunds, Inc. |
| 4-531 | Feb. 10, 2007 | Request for rulemaking on disclosure and transparency in client commission arrangements
Submitted by: William T. George, Blue Sky Research Services |
| 4-530 | Jan. 8, 2007 | Request for an extension of the implementation date of SEC Regulation NMS Trading Phase, targeted for February 5, 2007
Submitted by: Mary Yeager, Assistant Secretary, New York Stock Exchange LLC |
| 4-528 | Dec. 28, 2006 | Request for rulemaking under the Investment Company Act of 1940 to limit the application of the new disclosure requirements to registered investment company investments in "investment companies" and "private funds" as defined in former Rule 203(b)(3)-1(d) under the Investment Advisers of 1940
Submitted by: Stephen Fisher, Senior Vice President and General Counsel and Eric Roiter, Senior Vice President and Deputy General Counsel, Fidelity Management & Research Company |
| 4-525 | Aug. 30, 2006 | Request for rulemaking under the Securities Exchange Act of 1934 to provide owners of American Depository Receipts of certain foreign issuers with the ability to exercise certain traditional shareowner rights, including the ability to vote in the election of directors, and to submit and vote on shareowner proposals
Submitted by: Steven J. Milloy and Thomas J. Borelli, Action Fund Management, LLC |
| 4-521 | Jun. 8, 2006 | Request for rulemaking under the Securities Exchange Act of 1934 to require prompt disclosure of a Wells Notice when it is received by registrants
Submitted by: Scott H. Schulke |
| 4-519 | Apr. 24, 2006 | Request for rulemaking under the Securities Act of 1933 to expose and prevent unlawful and deceptive activities by securities promoters and their sponsors
Submitted by: R. Cromwell Coulson, Pink Sheets LLC Comments received are available for this proposal. |
| 4-510 | Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers
Comments received are available for this proposal. |
|
| Jan. 20, 2006 | Submitted by: Dale E. Brown, Financial Services Institute, Inc. | |
| Jan. 13, 2006 | Submitted by: Carl B. Wilkerson, Esq., American Council of Life Insurers | |
| Jan. 10, 2006 | Submitted by: Ira D. Hammerman, Esq., Securities Industry Association | |
| 4-505 | Jun. 28, 2005 | Request for rulemaking to amend Rule 3a12-8 under the Securities Exchange Act of 1934 to include within its exemption the soverign debt of the Republic of Korea
Submitted by: Philip McBride Johnson, Skadden, Arps, Slate, Meagher & Flom LLP |
| 4-504 | May 13, 2005 | Request for rulemaking concerning corporate communication regarding company share buybacks
Submitted by: James Schainuck, Jewel Investments |
| 4-503 | May 11, 2005 | Request for rulemaking under the Investment Advisers Act of 1940 regarding retention and production of e-mail by investment advisers
Submitted by: Committee on Investment Management Regulation, The Association of the Bar of the City of New York Comments received are available for this proposal. |
| 4-501 | May 6, 2005 | Request for rulemaking under the Securities Exchange Act of 1934 that would prevent the National Association of Securities Dealers, Inc. and the New York Stock Exchange from placing by contract any restriction on the use of either the paper copies or their database of arbitration awards and also preventing these organizations from requiring third party vendors to limit access to these awards, in their original form
Submitted by: Daniel R. Solin, Esq. Comments received are available for this proposal. |
| 4-500 | Jan. 3, 2005 | Request for rulemaking under the Securities Exchange Act of 1934 to amend Rule 3360 of the Rules of Fair Practice of the National Association of Securities Dealers, Inc., regarding member records of "short" positions and reporting and public dissemination of aggregate positions by security
Submitted by: R. Cromwell Coulson, Pink Sheets LLC Comments received are available for this proposal. |
| 4-499 | Apr. 8, 2005 | Request for rulemaking under the Securities Exchange Act of 1934 regarding the definitions of "non-professional" and "professional" used by self-regulatory organizations and national market system plans
Submitted by: Andrew C. Wels, Securities Industry Association |
| 4-498 | Feb. 11, 2005 | Request for rulemaking concerning auditor independence
Submitted by: Jeffry R. Haber, Iona College |
| 4-496 | Jan. 22, 2005 | Request for rulemaking under Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 to amend the Options Intermarket Linkage Plan to limit trade-through protection only to automated quotes
Submitted by: Adam Cooper, Senior Managing Director and General Counsel, Citadel Investment Group, L.L.C. |
| 4-495 | Nov. 30, 2004 | Request for rulemaking seeking repeal of rule 206(3)-1 (Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services) and that the Commission not adopt proposed rule 202(a)(11)-1 (Certain thrift institutions deemed not to be investment advisers) under the Investment Advisers Act
Submitted by: Ron A. Rhoades, Joseph Capital Management, LLC |
| 4-494 | Jul. 29, 2004 | Request for rulemaking requiring that a rating that is an assessment of the quality of a company's reported earnings be a listing requirement for any publicly traded company
Submitted by: Richard S. Furlin, President, Furlin Financial |
| 4-493 | Apr. 12, 2004 | Request for Rulemaking Concerning Shareholder Communications
Submitted by: Steve Odland, Chairman-Corporate Governance Task Force, Business Roundtable Comments received are available for this proposal. |
| 4-492 | Dec. 16, 2003 | Request for Rulemaking Concerning Soft Dollars and Directed Brokerage
Submitted by: Matthew Fink, President, Investment Company Institute Comments received are available for this proposal. |
| 4-490 | Feb. 4, 2004 | Request for Rulemaking to Amend Rule 1-02(w) under Regulation S-X to require complete disclosure of all subsidiaries for filers of Form 10-K, regardless of the size of the subsidiary
Submitted by: Scott Schulke Comments received are available for this proposal. |
| 4-489 | Oct. 3, 2003 | Request for the Commission to Amend Rule 206(4)-1(a)(1) under the Investment Advisers Act of 1940 Concerning the Use of Testimonials by Investment Advisers Who Are Also Planners
Submitted by: Chris Grande, Walnut Hill Advisors |
| 4-486 | Oct. 23, 2001 | Request for rulemaking to exempt the government securities of the Republic of Singapore from Rule 3a12-8 under the Securities Exchange Act of 1934 for the purpose of trading the Singapore Government Bond futures contracts
Submitted by: Mr. Jimmy Ang, Singapore Exchange Derivatives Trading Limited |
| 4-484 | July 29, 2003 | Request for Rulemaking to Require that Amended Registrant Filings Include an Explicit Summary of Specific Changes in Language or Figures
Submitted by: Scott H. Schulke |
| 4-483 | July 3, 2003 | Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name"
Submitted by: Stephen Nelson, The Nelson Law Firm, on behalf of Nine Institutional Investors Comments received are available for this proposal. |
| 4-491 | May 15, 2003 | Request for Rulemaking to Permit Shareholder-Nominated Director Candidates to Appear in Corporate Proxy Statements and Proxy Cards
Submitted by: Richard L. Trumka, AFL-CIO |
| 4-480 | Apr. 14, 2003 | Request for Rulemaking under the Securities Exchange Act of 1934 to Adopt New Rule 11Ac1-8 to Address the Practices of Trading-Through and Locking or Crossing OTC Quotes Across Separate Market Centers
Submitted by: John M. Schaible, President, NexTrade Holdings, Inc. Comments received are available for this proposal. |
| 4-479 | Apr. 11, 2003 | Request for Rulemaking under the Securities Exchange Act of 1934 Concerning Trading of Nasdaq-Listed Securities
Submitted by: Edward Knight, Executive Vice President, The Nasdaq Stock Market, Inc. |
| 4-478 | Apr. 3, 2003 | Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collateral Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies
Submitted by: Paul Schott Stevens, Jack W. Murphy and Ethan D. Corey of Dechert LLP on behalf of Federated Investors, Inc. Comments received are available for this proposal. |
| Apr. 4, 2005 | Amended | |
| 4-477 | Mar. 24, 2003 | Request for Rulemaking Requiring Pre-Notification and Disclosure of Certain Communications by Trial Lawyers
Submitted by: Daniel J. Popeo, Chairman and General Counsel and Paul D. Kamenar, Senior Executive Counsel, Washington Legal Foundation |
| 4-475 | Sept. 4 2002 | Request for Rulemaking Concerning Changes to Fundamental Investment Policies of Closed-End Funds (Section 12 - Majority of a Quorum to Approve a Change in Investment Policy)
Submitted by: George W. Karpus, Karpus Investment Management |
| 4-469 | Nov. 1, 2002 | Request for Rulemaking to Amend Rule 19c-5 Regarding Certain Options Exchange Licensing Arrangements
Submitted by: David Krell, President and Chief Executive Officer, International Securities Exchange Comments received are available for this proposal. |
| 4-465 | Sept. 24, 2002 | Request for Rulemaking Concerning Corporate Elections
Submitted by: Deborah Pastor, Portfolio Manager, eRaider.com Inc. Comments received are available for this proposal. |
| 4-463 | Sept. 20, 2002 | Request for Rulemaking
for Clarification of Material Disclosures with Respect to Financially Significant Environmental Liabilities and Compliance with Existing Material Financial Disclosures
Submitted by: Jill Ratner, President, Rose Foundation for Communities and the Environment Comments received are available for this proposal. |
| 4-461 | Aug. 1, 2002 | Request for Rulemaking to Amend Rule 14a-8(i) to Allow Shareholder Proposals To Elect Directors Submitted by: The Committee of Concerned Shareholders and James McRitchie Comments received are available for this proposal. |
| 4-457 | May 23, 2002 | Request for Rulemaking Concerning Definition of Investment Company
Submitted by: Matthew A. Chambers and John C. Nagel, Wilmer, Cutler & Pickering, on behalf of the Biotechnology Industry Organization |
| 4-450 | Dec. 31, 2001 | Request for Interpretive Release Concerning MD&A Under Regulation S-K, Item 303
Submitted by: Arthur Andersen LLP, Deloitte and Touche LLP, Ernst & Young LLP, KPMG LLP, PricewaterhouseCoopers LLP, and the American Institute of Certified Public Accountants Comments received are available for this proposal. |
| 4-449 | Dec. 12, 2001 | Request for Rulemaking to Amend Regulation S-K, Items 401 and 404, Concerning Director Conflicts of Interest
Submitted by: Richard Trumka, Secretary-Treasurer, American Federation of Labor and Congress of Industrial Organizations |
| 4-448 | Dec. 11, 2001 | Request for Rulemaking Concerning Definition of Independent Auditor and Limiting Services Accounting Firms May Provide to Audit Clients Submitted by: Richard Trumka, Secretary-Treasurer, American Federation of Labor and Congress of Industrial Organizations |
http://www.sec.gov/rules/petitions.shtml
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