Securities and Exchange Commission

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2000-03-30Staff Accounting Bulletin No. 101A
2000-03-27Selective Disclosure and Insider Trading: Extension of Comment Period
2000-03-24SEC Staff Accounting Bulletin No. 101A
2000-03-22Disclosure of Mutual Fund After-Tax Returns
2000-03-13Regulation of Exchanges and Alternative Trading Systems; Technical Amendments
2000-03-10Personal Investment Activities of Investment Company Personnel
2000-03-08Privacy of Consumer Financial Information (Regulation S-P)
2000-03-03Rulemaking for EDGAR System
2000-03-03SEC Division of Trading and Markets no-action letter: London International Financial Futures and Options Exchange (LIFFE)
2000-03-01SEC Division of Trading and Markets no-action letter: Dominion Resources, Inc.
2000-02-28Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. to Rescind Exchange Rule 390; Commission Request for Comment on Issues Relating to Market Fragmentation
2000-02-24SEC Division of Investment Management staff letter: Brown & Wood
2000-02-11SEC Division of Investment Management staff letter: R.O.C. Taiwan Fund
2000-02-02SEC Division of Investment Management staff letter: General Motors Investment Management
2000-01-27SEC Division of Investment Management staff letter: Pengrowth Energy Trust
2000-01-21List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2000-01-20Adoption of Updated EDGAR Filer Manual
2000-01-12SEC Division of Trading and Markets no-action letter: Regulation M — Sovereign Bond Exemption
1999-12-30Audit Committee Disclosure
1999-12-28Selective Disclosure and Insider Trading
1999-12-28SEC Division of Investment Management staff letter: Signature Financial Group, Inc.
1999-12-22SEC Office of the Chief Accountant staff letter: Letter From the SEC Chief Accountant re: Audit Risk
1999-12-21Registered Public-Utility Holding Companies and Internationalization
1999-12-17Regulation of Market Information Fees and Revenues
1999-12-15Proposed Rule Change to Rule 12f-2 Regarding Unlisted Trading Privileges in Listed IPOs
1999-12-09SEC Chief Accountant Letter on Independence and Quality Control Requirements for Audit Firms
1999-12-09Staff Accounting Bulletin No. 101
1999-12-09SEC Chief Accountant Letter to ASB re: Revenue Recognition and Loss Accruals Guidance
1999-12-09SEC Chief Accountant Letter re: Independence and Quality Control to the Public Oversight Board
1999-12-06SEC Division of Trading and Markets no-action letter: ParisBourse SA
1999-12-06Temporary Exemption for Certain Investment Advisers
1999-12-03Staff Accounting Bulletin No. 101: Revenue Recognition
1999-12-01Staff Accounting Bulletin No. 100
1999-11-24SEC Staff Accounting Bulletin No. 100: Accounting for Exit Activities and Business Combinations
1999-11-16Delivery of Disclosure Documents to Households
1999-11-16Delivery of Proxy and Information Statements to Households
1999-11-12Rule 701 Exempt Offerings Pursuant to Compensatory Arrangements; Correction
1999-11-10Regulation of Takeovers and Security Holder Communications
1999-11-10Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings
1999-11-10Certain Broker-Dealers Deemed Not To Be Investment Advisers
1999-11-03Role of Independent Directors of Investment Companies
1999-11-03Interpretive Matters Concerning Independent Directors of Investment Companies
1999-10-28Short Sales: Concept Release and Request for Comments
1999-10-20Adoption of Updated EDGAR Filer Manual
1999-10-14Audit Committee Disclosure
1999-10-05International Disclosure Standards
1999-09-29Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
1999-08-27Personal Investment Activities of Investment Company Personnel
1999-08-19Staff Accounting Bulletin No. 99
1999-08-13SEC Staff Accounting Bulletin No. 99: Materiality
1999-08-10Political Contributions by Certain Investment Advisers
1999-08-05Broker-Dealer Registration and Reporting
1999-08-03Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents
1999-07-29Exemption of the Securities of the Republic of Portugal Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
1999-07-27SEC Division of Trading and Markets no-action letter: Tokyo Stock Exchange
1999-07-23SEC Division of Trading and Markets no-action letter: Osaka Securities Exchange
1999-07-23CFR Correction to 17 CFR 240.17a-5
1999-07-12Broker-Dealer Registration and Reporting
1999-06-11Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities; Correction
1999-06-07SEC Staff Legal Bulletin: SLB 7A
1999-06-02Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
1999-06-02Recordkeeping Requirements for Transfer Agents
1999-05-21Rulemaking for EDGAR System
1999-05-21Adoption of Updated EDGAR Filer Manual
1999-05-10Broker-Dealer Registration and Reporting
1999-05-10Broker-Dealer Registration and Reporting
1999-05-06Custody of Investment Company Assets Outside the United States; Extension of Compliance Date
1999-05-06Custody of Investment Company Assets Outside the United States
1999-04-22Amendments to the Commission’s Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
1999-04-21Deregistration of Certain Registered Investment Companies
1999-04-21Regulation of Alternative Trading Systems; Technical Amendment
1999-04-14Publication or Submission of Quotations Without Specified Information: Extension of Comment Period
1999-04-01Transition Rule for Ohio Investment Advisers
1999-03-31Revised Transfer Agent Form and Related Rule
1999-03-30The Regulation of Securities Offerings: Extension of Comment Period
1999-03-26Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
1999-03-17Regulation of Exchanges and Alternative Trading Systems; Correction
1999-03-16Rulemaking for EDGAR System
1999-03-11Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance
1999-03-08Revision of Rule 504 of Regulation D, the Seed Capital Exemption
1999-03-08Publication or Submission of Quotations Without Specified Information
1999-03-08Rule 701 Exempt Offerings Pursuant to Compensatory Arrangements
1999-03-08Registration of Securities on Form S-8
1999-03-08Registration of Securities on Form S-8
1999-03-05Financial Statements and Periodic Reports for Related Issuers and Guarantors
1999-03-05Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
1999-03-01Exemption of the Securities of the Kingdom of Sweden under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
1999-02-09International Disclosure Standards
1999-02-05Transition Rule for Ohio Investment Advisers
1999-02-03Custody of Investment Company Assets Outside the United States
1999-01-19Rulemaking for EDGAR System
1999-01-15Technical Amendments Under the Investment Advisers Act of 1940
1999-01-13Technical Changes to Schedule I to Form ADV
1999-01-12Segment Reporting
1998-12-22Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
1998-12-22Regulation of Exchanges and Alternative Trading Systems
1998-12-16Deregistration of Certain Registered Investment Companies
1998-12-15Cross-Border Tender Offers, Business Combinations and Rights Offerings
1998-12-10SEC Division of Investment Management staff letter: Franklin Management, Inc.
1998-12-04The Regulation of Securities Offerings
1998-12-04Proposed Rules on Regulation of Takeovers and Security Holder Communications
1998-12-01SEC Division of Trading and Markets no-action letter: NASD Regulation, Inc.
1998-11-30SEC Chief Accountant Letter on Independence and Quality Control for SEC Practice Section
1998-11-17SEC Division of Investment Management staff letter: American Express Financial Corporation
1998-11-13Rules of Practice
1998-11-12Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
1998-11-10Update of Registration Form To Reflect Fee Rate Change for Registration of Certain Investment Company Securities
1998-11-06Purchases of Certain Equity Securities by the Issuer and Others
1998-11-03Reports To Be Made by Certain Brokers and Dealers
1998-11-02Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents
1998-10-30SEC Division of Investment Management staff letter: Investment Company Institute
1998-10-26SEC Division of Trading and Markets no-action letter: MONEP SA
1998-10-26Amendment to Rule 102(e) of the Commission's Rules of Practice
1998-10-09SEC Office of the Chief Accountant staff letter: Commission Information: Letters re 1998/99 Audit Risk Alerts
1998-10-09Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
1998-09-09SEC Staff Legal Bulletin: SLB 8
1998-09-04Processing of Reorganization Events, Tender Offers, and Exchange Offers
1998-09-04SEC Staff Legal Bulletin: SLB 7
1998-09-03Amendments to Rules on Shareholder Proposals; Corrections
1998-09-02Rules of Practice
1998-09-01SEC Division of Trading and Markets no-action letter: Mercato Italiano dei Derivati - IDEM Equity and Index Options
1998-08-31SEC Division of Investment Management staff letter: Zurich Insurance Company; Scudder Kemper Investments, Inc.
1998-08-07Year 2000 Readiness Reports To Be Made by Certain Transfer Agents Correction
1998-08-04Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers
1998-07-28Temporary Exemption for Certain Investment Advisers
1998-07-23Interpretation of Section 206(3) of the Investment Advisers Act of 1940
1998-07-22SEC Staff Legal Bulletin: SLB 6
1998-07-21Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
1998-07-21Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice: Extension of Comment Period
1998-07-13Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
1998-07-13Reports To Be Made by Certain Brokers and Dealers
1998-07-13Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
1998-07-01Proposed Rule to Amend Securities Act Rule 135b Regarding Options Disclosure Documents
1998-07-01Proposed Rules: Segment Reporting
1998-06-25Definitions of Small Business or Small Organization Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
1998-06-23SEC Division of Trading and Markets no-action letter: Attkisson, Carter, & Akers
1998-06-18Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
1998-06-15Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
1998-05-29Custody of Investment Company Assets Outside the United States
1998-05-29SEC Division of Investment Management staff letter: Lamp Technologies, Inc.
1998-05-28Revision of Rule 504 of Regulation D, the Seed Capital Exemption
1998-05-28Amendments To Rules On Shareholder Proposals
1998-05-28Adoption of Updated EDGAR Filer Manual
1998-04-29Proposed Amendment to Rule 19b-4 Deeming Listing of New Derivative Securities Products by Self-Regulatory Organizations Not Be Proposed Rule Changes
1998-04-29Regulation of Exchanges and Alternative Trading Systems
1998-04-21Reports to be Made by Certain Brokers and Dealers: Extension of Comment Period
1998-04-20Year 2000 Readiness Reports To Be Made by Transfer Agents
1998-04-13Confirmation and Affirmation of Securities Trades; Matching
1998-04-03SEC Division of Investment Management staff letter: Daughters of Charity National Health System, Inc.
1998-03-31SEC Division of Investment Management staff letter: Wells Fargo Bank, N.A.
1998-03-31Amendments to Beneficial Ownership Reporting Requirements; Correction
1998-03-27Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore
1998-03-24SEC Division of Investment Management staff letter: DALBAR, Inc.
1998-03-23New Disclosure Option for Open-End Management Investment Companies
1998-03-23Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies
1998-03-23Registration Form Used by Open-End Management Investment Companies
1998-03-23Registration Form Used by Open-End Management Investment Companies; Correction
1998-03-12Reports To Be Made by Certain Brokers and Dealers
1998-03-12Year 2000 Readiness Reports To Be Made by Transfer Agents
1998-03-06OTC Derivatives Dealers, Net Capital Rule
1998-03-05Rule 701 Exempt Offerings Pursuant to Compensatory Arrangements
1998-02-27SEC Division of Investment Management staff letter: Neuberger & Berman Income Funds
1998-02-26Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
1998-02-25Publication or Submission of Quotations Without Specified Information
1998-02-25Registration of Securities on Form S-8
1998-02-25Offshore Offers and Sales
1998-02-25Commission Requirements for Registration Under Section 15 of the Exchange Act
1998-02-24Commission Statement of Policy on the Establishment and Improvement of Standards Related to Auditor Independence
1998-02-18Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act
1998-02-18Delegation of Authority to the Director of the Division of Market Regulation
1998-02-09Staff Accounting Bulletin No. 98
1998-02-06Plain English Disclosure
1998-01-23Adoption of Updated EDGAR Filer Manual
1998-01-21Covered Securities Pursuant to Section 18 of the Securities Act of 1933
1998-01-16Amendments to Beneficial Ownership Reporting Requirements
1998-01-12SEC Staff Legal Bulletin: SLB 5
1998-01-06List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
1997-12-30Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
1997-12-30Net Capital Rule: Concept Release on Statistical Models for Broker-Dealer Capital Requirements
1997-12-30Net Capital Rule
1997-12-23SEC Division of Investment Management staff letter: American Century Companies, Inc. / J.P. Morgan & Co.
1997-12-19SEC Division of Investment Management staff letter: Depository Clearing Company
1997-12-10CFR Correction: Securities Act of 1933 Authority Citation
1997-12-09Technical Revisions to the Rules and Forms Regulating Money Market Funds
1997-12-09Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
1997-11-25Amendments to Rules on Shareholder Proposals: Extension of Comment Period
1997-11-21Equity Index Insurance Products
1997-11-20Delivery of Disclosure Documents to Households
1997-11-19Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
1997-11-19Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940
1997-11-07SEC Division of Investment Management staff letter: Chief Financial Officer
1997-10-30Rule to Provide That the Commission Will Not Accept Paper Filings That are Required To Be Filed Electronically
1997-10-17Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore
1997-10-07Lost Securityholders
1997-10-03SEC Division of Investment Management staff letter: Investment Company Institute
1997-10-03Rule Amendments Relating to Multiple Class and Series Investment Companies
1997-09-26SEC Division of Investment Management staff letter: Five Arrows Short-Term Investment Trust
1997-09-26Amendments to Rules on Shareholder Proposals
1997-09-12Registration Under the Securities Act of 1933 of Certain Investment Company Securities
1997-09-09Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance