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SEC Policy Statements

From time to time, the Commission issues a "policy statement" to clarify its position on a particular matter. Below are brief descriptions of and links to recent "policy statements."

Release No. Date Details
34-55043 Jan. 5, 2007 Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities
File No.: S7-08-06
Effective Date: January 11, 2007
34-53773 May 9, 2006 Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities
See also: Federal Register Posting (May 16, 2006)
File No.: S7-08-06
Comments Due: June 15, 2006
Comments received are available for this proposal.
* Click to submit comments on S7-08-06
34-53638 Apr. 12, 2006 Policy Statement Concerning Subpoenas to Members of the News Media
Effective Date: April 12, 2006
34-49873 Jun. 16, 2004 Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities; Extension of Comment Period
File No.: S7-22-04
Comments Due: July 19, 2004
Comments received are available for this proposal.
* Click to submit comments on S7-22-04
34-49695 May 13, 2004 Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities
File No.: S7-22-04
Comments Due: See release 34-49873
Comments received are available for this proposal.
* Click to submit comments on S7-22-04
34-48545 Sep. 25, 2003 Business Continuity Planning for Trading Markets
File No.: S7-17-03
Effective Date: October 1, 2003
Comments Due: October 31, 2003
Comments received electronically are available for this proposal.
33-8221 Apr. 25, 2003 Commission Statement of Policy Reaffirming the Status of the FASB as a Designated Private-Sector Standard Setter
Release No.:  34-47743
33-7993 Jul. 17, 2001 Commission Policy Statement on the Establishment and Improvement of Standards Related to Auditor Independence
33-7568 Aug. 27, 1998 Commission Statement of Policy on Regulatory Moratorium to Facilitate the Year 2000 Conversion
34-40306 Aug. 5, 1998 Final Statement of Policy: Alternative Dispute Resolution Policy
Effective Date: date of publication in Federal Register
33-7507 Feb. 18, 1998 Commission Statement of Policy on the Establishment and Improvement of Standards Related to Auditor Independence
Effective Date: 30 days after publication in Federal Register
33-7382 Jan. 22, 1997 Policy Statement: Designation of Small Business Compliance Guides
Effective Date: date published in Federal Register
34-29185 May 9, 1991 Policy Statement: Automated Systems of Self-Regulatory Organizations (II)
Effective Date: May 9, 1991
34-27445 Nov. 16, 1989 Policy Statement: Automated Systems of Self-Regulatory Organizations
Effective Date: November 16, 1989

http://www.sec.gov/rules/policy.shtml


Modified: 01/25/2007