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SEC Interpretive Releases Archive 2001
The Commission occasionally provides guidance on topics of general interest to the business and investment communities by issuing "interpretive" releases, in which we publish our views and interpret the federal securities laws and SEC regulations. Below are brief descriptions of and links to recent "interpretive" releases.
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1996 | 1995 | Older
| Release No. |
Date |
Details |
| 34-45194 |
Dec. 27, 2001 |
Commission Guidance on the Scope of Section 28(e) of the Exchange Act
Effective Date of Interpretation: January 1, 2002 |
| 33-8005a |
Sep. 21, 2001 |
Calculation of Average Weekly Trading Volume under Rule 144 and Termination of a Rule 10b5-1 Trading Plan
Effective Date of Interpretation: September 20, 2001
Other Release Nos.: 34-44820; FR-58
|
| 33-8004 |
Sep. 14, 2001 |
Bookkeeping Services Provided by Auditors to Audit Clients in Emergency or Other Unusual Situations
Effective Date of Interpretation: September 14, 2001
Other Release Nos.: 34-44792; IC-25157; FR-57 |
| 33-7985 |
Jun. 14, 2001 |
Application of the Electronic Signatures in Global and National Commerce Act to Record Retention Requirements Pertaining to Issuers under the Securities Act of 1933, Securities Exchange Act of 1934 and Regulation S-T
Effective Date of Interpretation: when published in the Federal Register
Other Release Nos.: 34-44424, 35-27419, IC-25003 |
| 34-44238 |
May 1, 2001 |
Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic Signatures in Global and National Commerce Act of 2000 with Respect to Rule 17a-4(f)
Effective Date of Interpretation: Date of publication in the Federal Register. |
http://www.sec.gov/rules/interp/interparchive/interparch2001.shtml
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