|
Release Number:33-10751, 34-88094
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
Federal Register version (85 FR 10568)
|
|
Release Number:33-10751, 34-88094
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
Federal Register version (85 FR 10568)
|
|
Release Number:34-86721
|
SEC Issue Date:
|
File Number:
|
Details: Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Federal Register version (84 FR 47416)
|
|
Release Number:IA-5248
|
SEC Issue Date:
|
File Number:S7-07-18
|
Details: Commission Interpretation Regarding Standard of Conduct for Investment Advisers
Federal Register version (84 FR 33669)
|
|
Release Number:IA-5249
|
SEC Issue Date:
|
File Number:S7-07-18
|
Details: Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
Federal Register version (84 FR 33681)
|
|
Release Number:IA-5249
|
SEC Issue Date:
|
File Number:
|
Details: Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
Federal Register version (84 FR 33681)
|
|
Release Number:IA-4889
|
SEC Issue Date:
|
File Number:S7-09-18
|
Details: Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Comments Due: 90 days after publication in the Federal Register
View Received Comments
Federal Register version (83 FR 21203)
|
|
Release Number:33-10459, 34-82746
|
SEC Issue Date:
|
File Number:
|
Details: Commission Statement and Guidance on Public Company Cybersecurity Disclosures
Federal Register version (83 FR 8166)
|
|
Release Number:33-10459, 34-82746
|
SEC Issue Date:
|
File Number:
|
Details: Commission Statement and Guidance on Public Company Cybersecurity Disclosures
Federal Register version (83 FR 8166)
|
|
Release Number:33-10415, 34-81673
|
SEC Issue Date:
|
File Number:S7-07-13
|
Details: Commission Guidance on Pay Ratio Disclosure
Federal Register version (82 FR 44917)
|
|
Release Number:33-10415, 34-81673
|
SEC Issue Date:
|
File Number:S7-07-13
|
Details: Commission Guidance on Pay Ratio Disclosure
Federal Register version (82 FR 44917)
|
|
Release Number:33-10415, 34-81673
|
SEC Issue Date:
|
File Number:S7-07-13
|
Details: Commission Guidance on Pay Ratio Disclosure
Federal Register version (82 FR 44917)
|
|
Release Number:33-10415, 34-81673
|
SEC Issue Date:
|
File Number:S7-07-13
|
Details: Commission Guidance on Pay Ratio Disclosure
Federal Register version (82 FR 44917)
|
|
Release Number:33-10402, 34-81428, IC-32784
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements
Federal Register version (82 FR 41147)
|
|
Release Number:33-10402, 34-81428, IC-32784
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements
Federal Register version (82 FR 41147)
|
|
Release Number:33-10402, 34-81428, IC-32784
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements
Federal Register version (82 FR 41147)
|
|
Release Number:33-10403, 34-81429, IC-32785
|
SEC Issue Date:
|
File Number:
|
Details: Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
Federal Register version (82 FR 41149)
|
|
Release Number:33-10403, 34-81429, IC-32785
|
SEC Issue Date:
|
File Number:
|
Details: Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
Federal Register version (82 FR 41149)
|
|
Release Number:33-10403, 34-81429, IC-32785
|
SEC Issue Date:
|
File Number:
|
Details: Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
Federal Register version (82 FR 41149)
|
|
Release Number:34-78102
|
SEC Issue Date:
|
File Number:S7-03-16
|
Details: Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Comments Due: April 14, 2016
View Received Comments
See Also -
Interpretation Release No. 34-77407
Federal Register version (81 FR 40785)
|
|
Release Number:33-10062
|
SEC Issue Date:
|
File Number:S7-05-16
|
Details: Certain Natural Gas and Electric Power Contracts
Federal Register version (81 FR 20583)
|
|
Release Number:34-77407
|
SEC Issue Date:
|
File Number:S7-03-16
|
Details: Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Comments Due: April 14, 2016
View Received Comments
See Also -
Interpretation Release No. 34-78102
Federal Register version (81 FR 15660)
|
|
Release Number:34-75592
|
SEC Issue Date:
|
File Number:
|
Details: Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934
Federal Register version (80 FR 47829)
|
|
Release Number:33-9850
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor
Federal Register version (80 FR 37536)
|
|
Release Number:34-74936
|
SEC Issue Date:
|
File Number:S7-16-11
|
Details: Forward Contracts With Embedded Volumetric Optionality
View Received Comments
See Also -
Proposed Rule Release No. 33-9204
Federal Register version (80 FR 28239)
|
|
Release Number:33-9681, 34-73584
|
SEC Issue Date:
|
File Number:S7-16-11
|
Details: Forward Contracts With Embedded Volumetric Optionality
View Received Comments
See Also -
Proposed Rule Release No. 33-9204
Federal Register version (79 FR 69073)
|
|
Release Number:33-9681, 34-73584
|
SEC Issue Date:
|
File Number:S7-16-11
|
Details: Forward Contracts With Embedded Volumetric Optionality
View Received Comments
See Also -
Proposed Rule Release No. 33-9204
Federal Register version (79 FR 69073)
|
|
Release Number:34-72472
|
SEC Issue Date:
|
File Number:S7-02-13
|
Details: Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
See Also -
Proposed Rule Release No. 34-69490
Federal Register version (79 FR 48975)
|
|
Release Number:34-67448
|
SEC Issue Date:
|
File Number:S7-06-12
|
Details: Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
Comments Due: August 22, 2012
View Received Comments
Federal Register version (77 FR 42980)
|
|
Release Number:34-62991
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers
See Also -
2010 Federal Register version
Federal Register version (75 FR 60616)
|
|
Release Number:33-9144, 34-62934, FR-83
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis
See Also -
2010 Federal Register version
Federal Register version (75 FR 59893)
|
|
Release Number:33-9144, 34-62934, FR-83
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis
See Also -
2010 Federal Register version
Federal Register version (75 FR 59893)
|
|
Release Number:33-9144, 34-62934, FR-83
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis
See Also -
2010 Federal Register version
Federal Register version (75 FR 59893)
|
|
Release Number:33-9106, 34-61469, FR-82
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Disclosure Related to Climate Change
See Also -
2010 Federal Register version
Federal Register version (75 FR 6289)
|
|
Release Number:33-9106, 34-61469, FR-82
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Disclosure Related to Climate Change
See Also -
2010 Federal Register version
Federal Register version (75 FR 6289)
|
|
Release Number:33-9106, 34-61469, FR-82
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Disclosure Related to Climate Change
See Also -
2010 Federal Register version
Federal Register version (75 FR 6289)
|
|
Release Number:IA-2969, FR-81
|
SEC Issue Date:
|
File Number:S7-09-09
|
Details: Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940
See Also -
Proposed Rule Release No. IA-2876, ia-2968.pdf, Federal Register version
Federal Register version (75 FR 1492)
|
|
Release Number:IA-2969, FR-81
|
SEC Issue Date:
|
File Number:S7-09-09
|
Details: Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940
See Also -
Proposed Rule Release No. IA-2876, ia-2968.pdf, Federal Register version
Federal Register version (75 FR 1492)
|
|
Release Number:33-9062A, 34-60519A, FR-80A
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification
See Also -
2009 Federal Register version
Federal Register version (74 FR 42772)
|
|
Release Number:33-9062A, 34-60519A, FR-80A
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification
See Also -
2009 Federal Register version
Federal Register version (74 FR 42772)
|
|
Release Number:33-9062A, 34-60519A, FR-80A
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification
See Also -
2009 Federal Register version
Federal Register version (74 FR 42772)
|
|
Release Number:33-8995, 34-59192, FR-78
|
SEC Issue Date:
|
File Number:S7-15-08
|
Details: Modernization of Oil and Gas Reporting
View Received Comments
See Also -
Federal Register version, Proposed Rule Release No. 33-8935, Small Entity Compliance Guide
Federal Register version (74 FR 2157)
|
|
Release Number:33-8995, 34-59192, FR-78
|
SEC Issue Date:
|
File Number:S7-15-08
|
Details: Modernization of Oil and Gas Reporting
View Received Comments
See Also -
Federal Register version, Proposed Rule Release No. 33-8935, Small Entity Compliance Guide
Federal Register version (74 FR 2157)
|
|
Release Number:33-8995, 34-59192, FR-78
|
SEC Issue Date:
|
File Number:S7-15-08
|
Details: Modernization of Oil and Gas Reporting
View Received Comments
See Also -
Federal Register version, Proposed Rule Release No. 33-8935, Small Entity Compliance Guide
Federal Register version (74 FR 2157)
|
|
Release Number:34-58288, IC-28351
|
SEC Issue Date:
|
File Number:S7-23-08
|
Details: Commission Guidance on the Use of Company Web Sites
Comments Due: November 5, 2008
View Received Comments
See Also -
2008 Federal Register version
Federal Register version (73 FR 45862)
|
|
Release Number:34-58288, IC-28351
|
SEC Issue Date:
|
File Number:S7-23-08
|
Details: Commission Guidance on the Use of Company Web Sites
Comments Due: November 5, 2008
View Received Comments
See Also -
2008 Federal Register version
Federal Register version (73 FR 45862)
|
|
Release Number:33-8810, 34-55929, FR-77
|
SEC Issue Date:
|
File Number:S7-24-06
|
Details: 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
See Also -
2007 Federal Register version, 33-8809.pdf, Request for Comment, and Small Entity Compliance Guide
Federal Register version (72 FR 35323)
|
|
Release Number:33-8810, 34-55929, FR-77
|
SEC Issue Date:
|
File Number:S7-24-06
|
Details: 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
See Also -
2007 Federal Register version, 33-8809.pdf, Request for Comment, and Small Entity Compliance Guide
Federal Register version (72 FR 35323)
|
|
Release Number:33-8810, 34-55929, FR-77
|
SEC Issue Date:
|
File Number:S7-24-06
|
Details: 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
See Also -
2007 Federal Register version, 33-8809.pdf, Request for Comment, and Small Entity Compliance Guide
Federal Register version (72 FR 35323)
|
|
Release Number:34-54165
|
SEC Issue Date:
|
File Number:S7-13-06
|
Details: Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934
Comments Due: September 7, 2006
View Received Comments
See Also -
2006 Federal Register version
Federal Register version (71 FR 41977)
|
|
Release Number:33-8642, 34-52885, IC-27178
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
Federal Register version (70 FR 73343)
|
|
Release Number:33-8642, 34-52885, IC-27178
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
Federal Register version (70 FR 73343)
|
|
Release Number:33-8642, 34-52885, IC-27178
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
Federal Register version (70 FR 73343)
|
|
Release Number:34-52635
|
SEC Issue Date:
|
File Number:S7-09-05
|
Details: Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934
Comments Due: November 25, 2005
View Received Comments
Federal Register version (70 FR 61699)
|
|
Release Number:33-8565, 34-51500, IC-26828
|
SEC Issue Date:
|
File Number:S7-03-05
|
Details: Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations
Comments Due: June 7, 2005
Federal Register version (70 FR 19671)
|
|
Release Number:33-8565, 34-51500, IC-26828
|
SEC Issue Date:
|
File Number:S7-03-05
|
Details: Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations
Comments Due: June 7, 2005
Federal Register version (70 FR 19671)
|
|
Release Number:33-8565, 34-51500, IC-26828
|
SEC Issue Date:
|
File Number:S7-03-05
|
Details: Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations
Comments Due: June 7, 2005
Federal Register version (70 FR 19671)
|
|
Release Number:33-8422, FR-73
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1
Federal Register version (69 FR 29064)
|
|
Release Number:33-8422, FR-73
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1
Federal Register version (69 FR 29064)
|
|
Release Number:33-8422, FR-73
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1
Federal Register version (69 FR 29064)
|
|
Release Number:33-8422, FR-73
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1
Federal Register version (69 FR 29064)
|
|
Release Number:33-8350, 34-48960, FR-72
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations
Federal Register version (68 FR 75055)
|
|
Release Number:33-8350, 34-48960, FR-72
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations
Federal Register version (68 FR 75055)
|
|
Release Number:33-8350, 34-48960, FR-72
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations
Federal Register version (68 FR 75055)
|
|
Release Number:34-48795
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance on Rule 3b-3 and Married Put Transactions
Federal Register version (68 FR 65819)
|
|
Release Number:34-47910
|
SEC Issue Date:
|
File Number:
|
Details: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
Federal Register version (68 FR 32307)
|
|
Release Number:34-47806
|
SEC Issue Date:
|
File Number:
|
Details: Electronic Storage of Broker-Dealer Records
Federal Register version (68 FR 25281)
|
|
Release Number:33-8107, 34-46101
|
SEC Issue Date:
|
File Number:S7-23-02
|
Details: Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products
View Received Comments
Federal Register version (67 FR 43234)
|
|
Release Number:33-8107, 34-46101
|
SEC Issue Date:
|
File Number:S7-23-02
|
Details: Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products
View Received Comments
Federal Register version (67 FR 43234)
|
|
Release Number:34-45194
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance on the Scope of Section 28(e) of the Exchange Act
Federal Register version (67 FR 6)
|
|
Release Number:33-8005a, 34-44820, FR-58
|
SEC Issue Date:
|
File Number:
|
Details: Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan
Federal Register version (66 FR 49273)
|
|
Release Number:33-8005a, 34-44820, FR-58
|
SEC Issue Date:
|
File Number:
|
Details: Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan
Federal Register version (66 FR 49273)
|
|
Release Number:33-8005a, 34-44820, FR-58
|
SEC Issue Date:
|
File Number:
|
Details: Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan
Federal Register version (66 FR 49273)
|
|
Release Number:33-8004, 34-44792, IC-25157, FR-57
|
SEC Issue Date:
|
File Number:
|
Details: Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations
Federal Register version (66 FR 48335)
|
|
Release Number:33-8004, 34-44792, IC-25157, FR-57
|
SEC Issue Date:
|
File Number:
|
Details: Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations
Federal Register version (66 FR 48335)
|
|
Release Number:33-8004, 34-44792, IC-25157, FR-57
|
SEC Issue Date:
|
File Number:
|
Details: Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations
Federal Register version (66 FR 48335)
|
|
Release Number:33-8004, 34-44792, IC-25157, FR-57
|
SEC Issue Date:
|
File Number:
|
Details: Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations
Federal Register version (66 FR 48335)
|
|
Release Number:33-7985, 34-44424, 35-27419, IC-25003
|
SEC Issue Date:
|
File Number:
|
Details: 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
Federal Register version (66 FR 33175)
|
|
Release Number:33-7985, 34-44424, 35-27419, IC-25003
|
SEC Issue Date:
|
File Number:
|
Details: 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
Federal Register version (66 FR 33175)
|
|
Release Number:33-7985, 34-44424, 35-27419, IC-25003
|
SEC Issue Date:
|
File Number:
|
Details: 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
Federal Register version (66 FR 33175)
|
|
Release Number:33-7985, 34-44424, 35-27419, IC-25003
|
SEC Issue Date:
|
File Number:
|
Details: 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
Federal Register version (66 FR 33175)
|
|
Release Number:34-44238
|
SEC Issue Date:
|
File Number:
|
Details: 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)
Federal Register version (66 FR 22916)
|
|
Release Number:34-43069, IC-24564>
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers
Federal Register version (65 FR 46581)
|
|
Release Number:34-43069, IC-24564>
|
SEC Issue Date:
|
File Number:
|
Details: Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers
Federal Register version (65 FR 46581)
|
|
Release Number:34-42728
|
SEC Issue Date:
|
File Number:S7-11-00
|
Details: Use of Electronic Media
Comments Due: June 19, 2000
View Received Comments
See Also -
S7-11-00 Comments received electronically are available
Federal Register version (65 FR 25843)
|
|
Release Number:IC-24083
|
SEC Issue Date:
|
File Number:
|
Details: Interpretive Matters Concerning Independent Directors of Investment Companies
Federal Register version (64 FR 59877)
|
|
Release Number:33-7609
|
SEC Issue Date:
|
File Number:
|
Details: Frequently Asked Questions About the Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies
Federal Register version (63 FR 63758)
|
|
Release Number:33-7558
|
SEC Issue Date:
|
File Number:
|
Details: Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers
Federal Register version (63 FR 41394)
|
|
Release Number:IA-1732
|
SEC Issue Date:
|
File Number:
|
Details: Interpretation of Section 206(3) of the Investment Advisers Act of 1940
Federal Register version (63 FR 39505)
|
|
Release Number:34-39829
|
SEC Issue Date:
|
File Number:S7-10-98
|
Details: Confirmation and Affirmation of Securities Trades; Matching
Comments Due: 60 days after publication in the Federal Register File
Federal Register version (63 FR 17943)
|
|
Release Number:33-7516
|
SEC Issue Date:
|
File Number:
|
Details: Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore
Federal Register version (63 FR 14806)
|
|
Release Number:33-7288
|
SEC Issue Date:
|
File Number:S7-13-96
|
Details: Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information; Additional Examples Under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940
Comments Due: 45 days after publication in the Federal Register
View Received Comments
See Also -
S7-13-96 Comments received electronically are available
Federal Register version (61 FR 24644)
|
|
Release Number:33-7233, 34-36345, IC-21399
|
SEC Issue Date:
|
File Number:S7-31-95
|
Details: Use of Electronic Media for Delivery Purposes
Federal Register version (60 FR 53458)
|
|
Release Number:33-7233, 34-36345, IC-21399
|
SEC Issue Date:
|
File Number:S7-31-95
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Details: Use of Electronic Media for Delivery Purposes
Federal Register version (60 FR 53458)
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Release Number:33-7233, 34-36345, IC-21399
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SEC Issue Date:
|
File Number:S7-31-95
|
Details: Use of Electronic Media for Delivery Purposes
Federal Register version (60 FR 53458)
|
|
Release Number:33-7233, 34-36345, IC-21399
|
SEC Issue Date:
|
File Number:S7-31-95
|
Details: Use of Electronic Media for Delivery Purposes
Federal Register version (60 FR 53458)
|
|
Release Number:33-7233, 34-36345, IC-21399
|
SEC Issue Date:
|
File Number:S7-31-95
|
Details: Use of Electronic Media for Delivery Purposes
Federal Register version (60 FR 53458)
|
|
Release Number:33-7233, 34-36345, IC-21399
|
SEC Issue Date:
|
File Number:S7-31-95
|
Details: Use of Electronic Media for Delivery Purposes
Federal Register version (60 FR 53458)
|
|
Release Number:33-7190
|
SEC Issue Date:
|
File Number:S7-20-95
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Details: Problematic Practices Under Regulation S
Federal Register version (60 FR 35663)
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|
Release Number:33-7049, 34-33741, FR-42
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SEC Issue Date:
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File Number:S7-04-94
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Details: Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others
Federal Register version
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