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SEC Proposed Rules Archives: 2001
Archive of older proposed rules currently available on site. We encourage the public to submit comments on proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
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Release No. |
Date |
Details |
Fourth Quarter |
33-8041 |
Dec. 19, 2001 |
Defining the Term "Qualified Purchaser" under the Securities Act of 1933
File No.: S7-23-01
Comments Due: February 25, 2002.
Comments received are available for this proposal. |
IC-25266 |
Nov. 15, 2001 |
Custody of Investment Company Assets with a Securities Depository
File No.: S7-22-01
Comments Due: January 31, 2002.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. IC-25934
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IC-25259 |
Nov. 8, 2001 |
Investment Company Mergers
Release No.: IC-25259
File No.: S7-21-01
Comments Due: January 18, 2002.
Comments received are available for this proposal.
Summary of Comments on Investment Company Mergers
See also: Final Rule, Rel. No. IC-25666 |
34-44996 |
Oct. 29, 2001 |
Extension of Comment Period: Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
File No.: S7-16-01 and S7-17-01
Comments Due: December 5, 2001.
See also: Final Rules, Rel. Nos. 34-46473 and 34-46292;
Proposed Rules, Rel. Nos. 34-44854 and comments; 34-44853 and comments
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Third Quarter |
33-8016 |
Sep. 28, 2001 |
Mandated EDGAR Filing for Foreign Issuers
File No.: S7-18-01
Reference: International Series Release No. 1250;
Comments Due: December 3, 2001.
Comments received are available for this proposal.
Summary of Comments regarding Mandated EDGAR Filing for Foreign Issuers.
See also: Final Rule, Rel. No. 33-8099
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34-44854 |
Sep. 25, 2001 |
Joint Proposed Rule: Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
File No.: S7-17-01
Comments Due: November 5, 2001. See also Rel. No. 34-44996
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-46473
Proposed Rule, Rel. No. 34-44996
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34-44853 |
Sep. 25, 2001 |
Joint Proposed Rule: Customer Margin Rules Relating to Security Futures
File No.: S7-16-01
Comments Due: November 5, 2001. See also Rel. No. 34-44996
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-46292
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34-44743 |
Aug. 24, 2001 |
Joint Proposed Rule: Cash Settlement and Regulatory Halt Requirements for Security Futures Products
File No.: S7-15-01
Comments Due: October 1, 2001.
Comments received are available for this proposal.
See also: Final Rule, Rel. No. 34-45956
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Second Quarter |
34-44475 |
Jun. 26, 2001 |
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
File No.: S7-11-01
Comments Due: July 11, 2001.
See also: Final Rule, Rel. No. 34-44724
Proposed Rule, Rel. No. 34-44288 |
34-44455 |
Jun. 20, 2001 |
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
File No.: S7-13-01
Comments Due: July 26, 2001.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44730
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34-44288 | May 10, 2001 |
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
File No.: S7-11-01
Comments Due: 30 days after date of publication in the Federal Register.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44724
Proposed Rule, Rel. No. 34-44475
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34-44279 |
May 8, 2001 |
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations.
File No.: S7-10-01
Comments Due: 30 days after the date of publication in the Federal Register.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 34-44692
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First Quarter |
35-27357 |
Mar. 19, 2001 |
Electronic Recordkeeping by Public Utility Holding Companies
File No.: S7-07-01
Comments Due: 30 days after publication in the Federal Register.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. 35-27404
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IC-24890 |
Mar. 13, 2001 |
Electronic Recordkeeping by Investment Companies and Investment Advisers.
Reference: Rel. No. IC-24890; IA-1932; File No. S7-06-01;
File No.: S7-06-01
Comments Due: April 19, 2001.
Comments received electronically are available for this proposal.
See also: Final Rule, Rel. No. IC-24991
|
33-7955 |
Feb. 28, 2001 |
Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000.
Reference: Rel. Nos. 34-44014, 35-27350, IA-1929, IC-24879. |
35-27342 |
Feb. 1, 2001 |
Foreign Utility Companies.
Reference: Rel. No. International Series Release No. 1246;
File No.: S7-05-01
Comments Due: April 9, 2001.
Comments received electronically are available for this proposal. |
33-7944 |
Jan. 26, 2001 |
Disclosure of Equity Compensation Plan Information
Reference: Rel. No. 34-43892;
File No.: S7-04-01
Comments Due: 60 days after publication in the Federal Register.
Comments received electronically are available for this proposal.
Summary of Comments on Disclosure of Equity Compensation Plan Information
See also: Final Rule, Rel. No. 33-3048
|
34-43860 |
Jan. 19, 2001 |
Proposed Rule Changes of Self-Regulatory Organizations.
Rel. No.:S7-03-01
Comments Due: April 6, 2001.
Comments received electronically are available for this proposal. |
http://www.sec.gov/rules/proposed/proposedarchive/proposed2001.shtml
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