Securities and Exchange Commission

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2002-02-12SEC Division of Investment Management staff letter: Investment Company Institute
2002-02-07SEC Division of Investment Management staff letter: Seligman New Technologies Fund II, Inc.
2002-02-06SEC Division of Corporation Finance no-action letter: Cambridge Advantaged Properties II Limited Partnership
2002-02-06SEC Division of Investment Management staff letter: Federated Core Trust II, L.P.
2002-02-05Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act
2002-02-04SEC Division of Corporation Finance no-action letter: Republic of Italy
2002-02-04SEC Division of Corporation Finance no-action letter: SI International, Inc.
2002-02-01SEC Division of Trading and Markets no-action letter: BRUT ECN, LLC
2002-01-31SEC Division of Investment Management staff letter: Asia Tiger Fund, Inc., The
2002-01-29SEC Division of Corporation Finance no-action letter: Westfield America, Inc.
2002-01-25SEC Division of Investment Management staff letter: National Football League Players Association
2002-01-25Commission Statement About Management's Discussion and Analysis of Financial Condition and Results of Operations
2002-01-23Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees
2002-01-18SEC Division of Corporation Finance no-action letter: CanAccord Capital Corporation
2002-01-17SEC Division of Corporation Finance no-action letter: Arclight Systems, LLC
2002-01-16SEC Division of Trading and Markets no-action letter: OneShare.com
2002-01-14SEC Investment Management FAQ: Mutual Fund After-Tax Return Requirements
2002-01-04SEC Division of Corporation Finance no-action letter: Unisphere Networks, Inc.
2002-01-02Options Disclosure Document
2002-01-02Commission Guidance on the Scope of Section 28(e) of the Exchange Act
2002-01-02Disclosure of Equity Compensation Plan Information
2001-12-28SEC Division of Investment Management staff letter: Asia Tiger Fund, Inc., The
2001-12-27SEC Division of Investment Management staff letter: Stephens Inc.
2001-12-27Defining the Term Qualified Purchaser Under the Securities Act of 1933
2001-12-27SEC Division of Investment Management staff letter: Manufacturers Life Insurance Company, The
2001-12-21SEC Division of Investment Management staff letter: Aid Association for Lutherans/Lutheran Brotherhood
2001-12-11SEC Division of Investment Management staff letter: U.S. Bancorp Asset Management Inc., et al.
2001-12-04SEC Investment Management FAQ: Investment Company Names (Rule 35d-1)
2001-11-21Custody of Investment Company Assets With a Securities Depository
2001-11-15Actively Managed Exchange-Traded Funds
2001-11-15SEC Division of Investment Management staff letter: Mexico Equity and Income Fund, The
2001-11-15Investment Company Mergers
2001-11-06SEC Division of Investment Management staff letter: AIG Life Insurance Company - American International Life Assurance Company of New York
2001-11-02Customer 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
2001-11-02Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
2001-10-26Debt Collection—Amendments to Collection Rules and Adoption of Wage Garnishment Rules
2001-10-19SEC Division of Investment Management staff letter: Government Securities Clearing Corporation
2001-10-16SEC Staff Legal Bulletin: SLB 13A - Frequently Asked Questions About Rule 11Ac1-6
2001-10-04Customer Margin Rules Relating to Security Futures
2001-10-04Mandated EDGAR Filing for Foreign Issuers
2001-10-02Firm Quote and Trade-Through Disclosure Rules for Options
2001-10-02Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date
2001-10-01Adoption of Updated EDGAR Filer Manual
2001-10-01Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period
2001-09-28SEC Division of Investment Management staff letter: Lincoln National Convertible Securities Fund, Inc. - Walter S. Baer
2001-09-28SEC Division of Investment Management staff letter: Templeton Vietnam and Southeast Asia Fund
2001-09-27Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan
2001-09-24SEC Division of Investment Management staff letter: UAM Funds Inc.
2001-09-21SEC Division of Trading and Markets no-action letter: Nasdaq Stock Market, Inc.
2001-09-21SEC Division of Trading and Markets no-action letter: NASD Small Firm Advisory Board
2001-09-20Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations
2001-09-05SEC Staff Legal Bulletin: Listing Standards for Trading Security Futures Products
2001-09-05SEC Division of Investment Management staff letter: Large Scale Distributed Generation II Statutory Trust
2001-09-04SEC Division of Investment Management staff letter: Calvert Social Index Fund
2001-08-30Cash Settlement and Regulatory Halt Requirements for Security Futures Products
2001-08-27Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
2001-08-23Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule
2001-08-20Delegation of Authority to the Director of the Division of Market Regulation
2001-08-20Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes
2001-08-17Exemptive Relief for Exchange Traded Index Funds
2001-08-16Adoption of Updated EDGAR Filer Manual
2001-08-16SEC Division of Investment Management staff letter: AIG Life Insurance Company
2001-07-27SEC Division of Investment Management staff letter: Arizona Electric Power Cooperative, Inc.
2001-07-24SEC Division of Investment Management staff letter: The Chase Manhattan Bank
2001-07-24Request for Comment on the Effects of Decimal Trading in Subpennies
2001-07-24SEC Office of the Chief Accountant staff letter: Letter from SEC Chief Accountant to Joint Working Group of Standard Setters (c/o Tim Lucas, FASB) re: Draft Standard Recommendations on Accounting for Financial Instruments and Similar Items
2001-07-24Extension of Comment Period on Interim Final Rules on Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
2001-07-23SEC Chief Accountant Letter to AICPA Regarding CPA Exam Changes
2001-07-23Commission Policy Statement on the Establishment and Improvement of Standards Related to Auditor Independence
2001-07-23SEC Division of Investment Management staff letter: Windamere Capital Ventures, L.P., Windamere Capital Ventures Company, LLC
2001-07-20SEC Chief Accountant Letter to IASB Chairman re: IASB Agenda
2001-07-19SEC Staff Letter on Revenue Recognition and EITF Issue 00-21
2001-07-19SEC Chief Accountant Letter to IASB re: Revenue Recognition and EITF Issue 00-21
2001-07-18SEC Chief Accountant Letter to POB Chairman re: Business Week Article on Accounting Credibility
2001-07-18SEC Chief Accountant letter to FASB Chairman re: O'Malley Panel recommendations
2001-07-16SEC Office of the Chief Accountant staff letter: Letter from Chief Accountant to EITF on Accounting for Convertible Securities with Beneficial Conversion Features
2001-07-13CFR Correction: Removal of § 249.1a
2001-07-12Staff Accounting Bulletin No. 102
2001-07-11Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
2001-07-11SEC Division of Trading and Markets no-action letter: Acqua Wellington North America Equities Fund, Ltd.
2001-07-09Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers
2001-07-06SEC Staff Accounting Bulletin: SAB 102
2001-07-02Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
2001-06-26Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
2001-06-22SEC Division of Trading and Markets no-action letter: New York Stock Exchange, Inc.
2001-06-22SEC Division of Trading and Markets no-action letter: First Union Securities, Inc.
2001-06-22SEC Division of Trading and Markets no-action letter: Market Systems, Inc.
2001-06-22SEC Staff Legal Bulletin: SLB 13
2001-06-22SEC Staff Legal Bulletin: SLB 12R
2001-06-22SEC Division of Trading and Markets no-action letter: Nasdaq Stock Market, Inc.
2001-06-22SEC Division of Trading and Markets no-action letter: NASD Small Firms Advisory Board
2001-06-21Application 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
2001-06-19SEC Division of Investment Management staff letter: National Association for Variable Annuities; Insurance Marketplace Standards Assn; American Council of Life Insurers
2001-06-15International Disclosure Standards; Correction
2001-06-13Delegation of Authority to the Director of the Division of Market Regulation
2001-06-11SEC Division of Investment Management staff letter: Legg Mason Wood Walker, Inc.
2001-06-08SEC Division of Investment Management staff letter: Asia Pacific Fund, Inc (The) - Thomas A. Kornfeld
2001-06-06Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction
2001-05-31Electronic Recordkeeping by Public Utility Holding Companies
2001-05-30Electronic Recordkeeping by Investment Companies and Investment Advisers
2001-05-18Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
2001-05-18SEC Division of Investment Management staff letter: H.E.B. Investment and Retirement Plan (H.E. Butt Grocery Company)
2001-05-17Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
2001-05-15Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes
2001-05-14SEC Division of Investment Management staff letter: Current Income Shares, Inc.
2001-05-11SEC Chief Accountant Letter to FASB and AcSEC Regarding Fair Value Accounting for the Securities Industry
2001-05-10SEC Staff Letter Requesting AcSEC Take on Project on Mining Industry
2001-05-07SEC Division of Trading and Markets no-action letter: 1st Global, Inc.
2001-05-07Commission 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)
2001-05-01Recordkeeping Requirements for Transfer Agents
2001-04-24SEC Division of Investment Management staff letter: Investec Ernst & Company
2001-04-19SEC Division of Investment Management staff letter: Prudential Investment Management Services LLC
2001-04-17SEC Division of Investment Management staff letter: Pioneer Interest Shares
2001-04-12SEC Division of Trading and Markets no-action letter: Securities Industry Association
2001-04-11SEC Staff Letter on Blockage Factors in Fair Value Estimation
2001-04-09SEC Chief Accountant Letter on Quality Controls to Public Oversight Board
2001-04-06SEC Division of Investment Management staff letter: France Growth Fund, Inc.; Advantage Partners LP
2001-04-06SEC Division of Investment Management staff letter: France Growth Fund, Inc
2001-04-06SEC Division of Investment Management staff letter: France Growth Fund, Inc.; Strome Hedgecap Fund
2001-03-30SEC Division of Investment Management staff letter: Longleaf Partners Funds Trust
2001-03-23Electronic Recordkeeping by Public Utility Holding Companies
2001-03-21Delegation of Authority to the Director of the Division of Market Regulation
2001-03-21Exemption from Rules 13e-4(f)(8)(i) and (ii) for Issuer Exchange Offers Conducted for Compensatory Purposes
2001-03-19Electronic Recordkeeping by Investment Companies and Investment Advisers
2001-03-16SEC Division of Investment Management staff letter: Nationwide Life Insurance Company
2001-03-15Disclosure of Order Execution and Routing Practices
2001-03-14Investment Company Names; Correction
2001-03-12SEC Division of Trading and Markets no-action letter: Nasdaq Stock Market, Inc.
2001-03-12SEC Division of Trading and Markets no-action letter: Securities Industry Association
2001-03-09Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities
2001-03-08SEC Division of Investment Management staff letter: AHA Investment Funds, Inc
2001-03-07SEC Division of Investment Management staff letter: Fidelity Advisor Korea Fund, Inc.
2001-03-06SEC Division of Investment Management staff letter: Swiss Helvetia Fund, Inc.
2001-03-05Public 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
2001-02-26Delegation of Authority to the Director of the Division of Market Regulation
2001-02-23SEC Division of Investment Management staff letter: Western Farmers Electric Cooperative
2001-02-09SEC Division of Investment Management staff letter: ING Mutual Funds Management Co. LLC, ING Funds Distributor Inc. and Reich & Tang Distributors, Inc
2001-02-09SEC Chief Accountant Letter re: Public Oversight Board
2001-02-07Foreign Utility Companies: Proposed Rules 55, 56, and Amendment to Rule 87
2001-02-07SEC Division of Investment Management staff letter: Prudential Securities Inc.
2001-02-05Disclosure of Mutual Fund After-Tax Returns
2001-02-05Proposed Rule Changes of Self-Regulatory Organizations
2001-02-05Integration of Abandoned Offerings
2001-02-02Adjustments to Civil Monetary Penalty Amounts
2001-02-02Adoption of Updated EDGAR Filer Manual
2001-02-01Disclosure of Equity Compensation Plan Information
2001-02-01Investment Company Names
2001-01-16Role of Independent Directors of Investment Companies
2000-12-27Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
2000-12-07Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness
2000-12-06Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
2000-12-05Revision of the Commission's Auditor Independence Requirements
2000-12-01Firm Quote and Trade-Through Disclosure Rules for Options
2000-12-01Disclosure of Order Execution and Routing Practices
2000-11-30SEC Chief Accountant letter to AcSEC on blockage factors project
2000-11-22SEC Office of the Chief Accountant staff letter: Requesting AICPA to Assume Leadership Role in Identifying Key Performance Indicators
2000-11-17SEC Office of the Chief Accountant staff letter: Requesting the AICPA To Provide Industry Guidance on Models and Methodologies for Valuation
2000-11-02Delivery of Proxy Statements and Information Statements to Households
2000-10-26Amendments to Rule 9b-1 Under the Securities Exchange Act of 1934 Relating to the Options Disclosure Document
2000-10-16SEC Chief Accountant Letter to IFAC re: IFAC Oversight Organization
2000-10-13SEC Office of the Chief Accountant staff letter: 2000 Audit Risk Alert to the American Institute of Certified Public Accountants
2000-10-06Letter from SEC Chief Accountant to Michael Conway re: Implementing the O'Malley Panel's recommendations
2000-10-06SEC Chief Accountant Letter to ASB and SEC Practice Section on Interim Financial Statement Reviews
2000-10-06Processing Requirements for Cancelled Security Certificates
2000-09-22Electronic Filing by Investment Advisers; Amendments To Form ADV
2000-09-19SEC Staff Legal Bulletin: SLB 11
2000-09-19SEC Chief Accountant Letter to ASB Chair Re: Implementing O'Malley Panel Recommendations
2000-09-13Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83
2000-09-13SEC Chief Accountant Letter to POB re: Independence Look-Back Testing Program
2000-09-07Extension of Time Period for Public Hearing on Revision of Auditor Independence Requirements
2000-09-05Unlisted Trading Privileges
2000-08-30CFR Correction: 17 CFR Part 250, General Rules and Regulations, Public Utility Holding Company Act of 1935
2000-08-25SEC Staff Legal Bulletin: SLB 10 - Prohibited Solicitations and Tie-in Agreements for Aftermarket Purchases
2000-08-24Financial Statements and Periodic Reports for Related Issuers and Guarantors
2000-08-24Selective Disclosure and Insider Trading
2000-08-16Revision of the Commission's Auditor Independence Requirements: Notice of Additional Hearings
2000-08-08Disclosure of Order Routing and Execution Practices
2000-08-08SEC Division of Investment Management staff letter: Mackenzie Investment Management et al.
2000-08-04Firm Quote and Trade-Through Disclosure Rules for Options
2000-08-02Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies
2000-07-31Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers
2000-07-28SEC Division of Investment Management staff letter: Massachusetts Mutual Life
2000-07-12Revision of the Commission's Auditor Independence Requirements
2000-07-06SEC Division of Investment Management staff letter: Jennison Associates LLC
2000-07-06SEC Division of Investment Management staff letter: Select Sector SPDR Fund and Diamonds Trust
2000-07-03Staff Accounting Bulletin No. 101B
2000-06-29Privacy of Consumer Financial Information (Regulation S-P)
2000-06-26SEC Staff Accounting Bulletin No. 101B
2000-06-23Adoption of Updated EDGAR Filer Manual
2000-06-15Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
2000-06-09Revised Transfer Agent Form and Related Rule
2000-06-07SEC Division of Investment Management staff letter: Massachusetts Mutual Life
2000-05-26Adoption of Updated EDGAR Filer Manual
2000-05-08Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers
2000-05-04Use of Electronic Media
2000-05-03Custody of Investment Company Assets Outside the United States
2000-05-01SEC Office of the Chief Accountant Letter: Issues Related to Independence/Quality Control to SEC Practice Section (III)
2000-04-27Rulemaking for EDGAR System
2000-04-17Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV
2000-04-10Regulation of Alternative Trading Systems; Temporary Stay of Effectiveness