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Completed Initiatives of Interest to
Small Business
- Advisory Committee on Smaller Public Companies (2004–2006)
- Electronic Filing and Revision of Form D (Conforming Version)
Effective Dates: September 15, 2008; see effective date section of the release for exceptions.
[Release No. 33-8891 (Feb. 6, 2008);
Federal Register version (Feb. 27, 2008)]
See also: Proposed Rule Release No. 33-8814 (Jun. 29, 2007) and comments.
- Revisions to Rules 144 and 145 (Conforming Version)
Effective Date: February 15, 2008
[Release No. 33-8869 (Dec. 6, 2007);
Federal Register version (Dec. 17, 2007)]
See also: Proposed Rule Release No. 33-8813 (Jun. 22, 2007) and comments.
- Smaller Reporting Company Regulatory Relief and Simplification
Effective Date: February 4, 2008
[Release No. 33-8876 (Dec. 19, 2007);
Federal Register version (Jan. 4, 2008)]
See also: Proposed Rule Release No. 33-8819 (Jul. 5, 2007) and comments.
- Revisions to Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
Effective Date: January 28, 2008
[Release No. 33-8878 (Dec. 19, 2007);
Federal Register version (Dec. 27, 2007)]
See also: Proposed Rule Release No. 33-8812 (Jun. 20, 2007) and comments.
- Exemption of Compensatory Employee Stock Options From Registration Under Section 12(g) of the Securities Exchange Act of 1934
Effective Date: December 7, 2007
[Release No. 34-56887 (Dec. 3, 2007);
Federal Register version (Dec. 7, 2007)]
See also: Proposed Rule Release No. 34-56010 (Jul. 5, 2007) and comments.
- Commission Guidance Regarding Management’s Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934
Effective Date: June 27, 2007
[Release No. 33-8810 (Jun. 20, 2007);
Federal Register version (Jun. 27, 2007)]
See also: Proposed Rule Release No. 33-8762 (Dec. 20, 2006) and comments.
- Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
Effective Date: February 20, 2007 (except temporary items as explained in release)
[Release No. 33-8760 (Dec. 15, 2006);
Federal Register version (Dec. 21, 2006)]
See also: Press Release 2006-210 (Dec. 15, 2006); Proposed Rule Release No. 33-8731 (Aug. 9, 2006) and comments
- Amendments to Rule 504 of Regulation D
Effective Date: April 7, 1999
[Release No. 33-7644 (Feb. 25, 1999)]
See also: Proposed Rule Release No. 33-7541 (May 21, 1998) and comments
- Rule 701 - Exempt Offerings Pursuant to Compensatory Arrangements
Effective Date: April 7, 1999
[Release No. 33-7645 (Feb. 25, 1999)]
See also: Proposed Rule Release No. 33-7511 (Feb. 27, 1998) and comments
- Offshore Offers and Sales (Regulation S)
Effective Date: April 27, 1998 except ยงยง 249.308, 249.308a, 249.308b, 249.310 and 249.310b (the amendments to Forms 8-K, 10-Q, 10-QSB, 10-K and 10-KSB) will become effective on January 1, 1999
[Release No. 33-7505 - Part 1; 33-7505 - Part 2 (Feb. 17, 1998)]
See also: Proposed Rule Release No. 33-7392 (Feb. 20, 1997) and comments
- Penalty-Reduction Policy for Small Entities
Effective Date: March 29, 1997
[Release No. 33-7408 (Mar. 27, 1997)]
- Revision of Holding Period Requirements in Rules 144 and 145
Effective Date: April 29, 1997
[Release No. 33-7390 (Feb. 20, 1997)]
- Informal Guidance Program for Small Entities
Effective Date: March 29, 1997
[Release No. 33-7407 (Mar. 27, 1997)]
- Policy Statement: Designation of Small Business Compliance Guides
Effective Date: date published in Federal Register
[Release No. 33-7382 (Jan. 22, 1997)]
- Exemption for Certain California Limited Issues
Effective Date: June 10, 1996
[Release No. 33-7285 (May 1, 1996)]
- Relief from Reporting by Small Issuers
Effective Date: May 9, 1996
[Release No. 34-37157 (May 1, 1996)]
- Additional Small Business Initiatives, including revisions to rules and forms to facilitate financings by small business issuers
Effective Date: June 3, 1993
[Release No. 33-6996 (Apr. 28, 1993)]
- Small Business Initiatives, including revisions to Regulation A and Rule 504 as well as simplified registration and reporting requirements for small business issuers
Effective Date: August 13, 1992
[Release No. 33-6949 (Jul. 30, 1992)]
http://www.sec.gov/info/smallbus/sbrules.shtml
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