|
Release Number:34-46921
|
SEC Issue Date:
|
File Number:
|
Details: Financial Information (Order Extending Exemption)
|
|
Release Number:35-27574
|
SEC Issue Date:
|
File Number:
|
Details: Enron Corp. (Order Scheduling Hearing Under Section 19 of the Public Utility Holding Company Act of 1935)
See Also -
additional materials listed on the Enron Spotlight page
|
|
Release Number:IC-25729
|
SEC Issue Date:
|
File Number:
|
Details: The Mexico Fund, Inc. (Notice of Application and Commission Statement)
|
|
Release Number:4-464, AAER-1620
|
SEC Issue Date:
|
File Number:
|
Details: Sworn Statements (Order Requiring Filing Under Section 21(a)(1) of the Securities Exchange Act of 1934)
See Also -
Release No. 34-46429
|
|
Release Number:4-464, AAER-1620
|
SEC Issue Date:
|
File Number:
|
Details: Sworn Statements (Order Requiring Filing Under Section 21(a)(1) of the Securities Exchange Act of 1934)
See Also -
Release No. 34-46429
|
|
Release Number:34-46428
|
SEC Issue Date:
|
File Number:
|
Details: Exchange-Traded Funds (Order Granting De Minimis Exemption Under Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder)
|
|
Release Number:34-46313
|
SEC Issue Date:
|
File Number:S7-31-02
|
Details: Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Comments Due: August 15, 2002
View Received Comments
See Also -
2002. Rel. No. 33-8090, and comments
Federal Register version (67 FR 51900)
|
|
Release Number:PA-32
|
SEC Issue Date:
|
File Number:S7-27-02
|
Details: Privacy Act of 1974; Amended System of Records for Enforcement Files
Comments Due: 30 days after publication in the Federal Register
Federal Register version (67 FR 48497)
|
|
Release Number:File No. 4-460
|
SEC Issue Date:
|
File Number:4-460
|
Details: Sworn Statements (Order Requiring Filing under Section 21(a)(1) of the Securities Exchange Act of 1934)
See Also -
Sworn Statement, List of Companies, Frequently Asked Questions
|
|
Release Number:34-46090
|
SEC Issue Date:
|
File Number:
|
Details: Joint Order Granting the Modification of Listing Standards Requirements Under Section 6(h) of the Securities Exchange Act of 1934 and the Criteria Under Section 2(a)(1) of the Commodity Exchange Act
Federal Register version (67 FR 42760)
|
|
Release Number:35-27539
|
SEC Issue Date:
|
File Number:International
|
Details: E.ON AG, et al. (Order Authorizing the Acquisition of Foreign Registered Holding Company and Related Transactions; Approving Other Related Requests; Declaring Company Not to Be a Subsidiary; Discussing Individual Comments on the Acquisition; Approving Financings and Intrasystem Service Transactions; and Reserving Jurisdiction)
|
|
Release Number:34-46069
|
SEC Issue Date:
|
File Number:S7-12-01
|
Details: Notice of Application of Evangelical Christian Credit Union for Exemptive Relief Under Sections 15 and 36 of the Exchange Act and Request for Comment
Comments Due: July 18, 2002
See Also -
Application, Application
Federal Register version (67 FR 41545)
|
|
Release Number:34-46015
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Temporary Exemption of Broker-Dealers that are Futures Commission Merchants from the Disclosure Requirements of Rule 10b-10 Promulgated under the Securities Exchange Act of 1934 and the Disclosure Requirements of Section 11(d)(2) of the Securities Exchange Act of 1934 in Connection with Security Futures Transactions Effected in Futures Accounts
Federal Register version (67 FR 39752)
|
|
Release Number:34-46009
|
SEC Issue Date:
|
File Number:
|
Details: Joint Order Excluding From the Definition of Narrow-Based Security Index Those Security Indexes That Qualified for the Exclusion From That Definition Under Section 1a(25)(B)(v) of the Commodity Exchange Act and Section 3(a)(55)(C)(v) of the Securities Exchange Act of 1934
Federal Register version (67 FR 38941)
|
|
Release Number:34-45855
|
SEC Issue Date:
|
File Number:
|
Details: List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (67 FR 30733)
|
|
Release Number:34-45654
|
SEC Issue Date:
|
File Number:S7-17-00
|
Details: Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule
See Also -
Rel. No. 34-43085, and comments
Federal Register version (67 FR 18059)
|
|
Release Number:33-8072
|
SEC Issue Date:
|
File Number:S7-04-02
|
Details: Securities Uniformity; Annual Conference on Uniformity of Securities Laws
View Received Comments
Federal Register version (67 FR 14746)
|
|
Release Number:34-45489
|
SEC Issue Date:
|
File Number:
|
Details: Order Making Fiscal 2002 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
Federal Register version (67 FR 10239)
|
|
Release Number:33-8056
|
SEC Issue Date:
|
File Number:
|
Details: Commission Statement About Management's Discussion and Analysis of Financial Condition and Results of Operations
Federal Register version (67 FR 3746)
|
|
Release Number:33-8040
|
SEC Issue Date:
|
File Number:
|
Details: Accounting Policies; Cautionary Advice Regarding Disclosure
See Also -
Release also available
Federal Register version (66 FR 65013)
|
|
Release Number:33-8039
|
SEC Issue Date:
|
File Number:
|
Details: Cautionary Advice Regarding the Use of "Pro Forma" Financial Information in Earnings Releases
Federal Register version (66 FR 63731)
|
|
Release Number:33-8027
|
SEC Issue Date:
|
File Number:
|
Details: American Life Insurance Company of New York (Order Declaring Registration Effective Pursuant to Section 8(a) of the Securities Act of 1933)
|
|
Release Number:33-8028
|
SEC Issue Date:
|
File Number:
|
Details: American Life Insurance Company of New York (Statements Concerning the Order Declaring Registration Statement Effective)
|
|
Release Number:34-44916
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Government Securities Reconciliations
|
|
Release Number:34-44871
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Government Securities Reconciliations
|
|
Release Number:34-44874
|
SEC Issue Date:
|
File Number:
|
Details: Exemptive Order Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 Issuing Exemptive Relief to Respond to Market Developments
|
|
Release Number:34-44846
|
SEC Issue Date:
|
File Number:4-430
|
Details: Order Extending the Deadline for the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., the Pacific Exchange, Inc., and the Philadelphia Stock Exchange, Inc. to Submit Rule Filings Concerning the Implementation of Decimal Pricing in Equity Securities and Options Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934
Federal Register version (66 FR 49983)
|
|
Release Number:34-44839
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Government Securities Reconciliations
|
|
Release Number:IC-25165
|
SEC Issue Date:
|
File Number:
|
Details: Order Extending Prior Order Under Sections 6(c), 17(b) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Certain Provisions of the Act and Certain Rules Thereunder
|
|
Release Number:34-44827
|
SEC Issue Date:
|
File Number:
|
Details: Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments
|
|
Release Number:34-44828
|
SEC Issue Date:
|
File Number:
|
Details: American Stock Exchange LLC (Order Extending Emergency Order Under Section 12(k)(2) of the Securities Exchange Act of 1934)
|
|
Release Number:34-44797
|
SEC Issue Date:
|
File Number:
|
Details: American Stock Exchange LLC (Emergency Order Under Section 12(k)(2) of the Securities Exchange Act of 1934)
|
|
Release Number:IC-25156
|
SEC Issue Date:
|
File Number:
|
Details: Exemptions (Order Granting Exemptions Under Sections 6(c), 17(d) and 38(a) of the Investment Company Act of 1940)
|
|
Release Number:34-44791
|
SEC Issue Date:
|
File Number:
|
Details: Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond To Market Developments
|
|
Release Number:4-442, AAER-1386
|
SEC Issue Date:
|
File Number:4-442
|
Details: Investment Company Institute (Letter in response to Petition for Rulemaking)
|
|
Release Number:4-442, AAER-1386
|
SEC Issue Date:
|
File Number:4-442
|
Details: Investment Company Institute (Letter in response to Petition for Rulemaking)
|
|
Release Number:34-44729
|
SEC Issue Date:
|
File Number:
|
Details: Persons Engaging in Security Futures Product Transactions (Order Granting Temporary Exemption)
|
|
Release Number:34-44731
|
SEC Issue Date:
|
File Number:
|
Details: Futures Commission Merchants and Introducing Brokers (Order Granting Temporary Exemption from the Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934)
See Also -
34-44731
Note: Also Available in PDF Format: 34-44731
|
|
Release Number:34-44725
|
SEC Issue Date:
|
File Number:
|
Details: Listing Standards Requirements (Joint Order Granting Modifications under Section 6(h) of the Securities Exchange Act of 1934 and Criteria under Section 2(a)(1) of the Commodity Exchange Act)
|
|
Release Number:34-44625
|
SEC Issue Date:
|
File Number:10-131
|
Details: The Nasdaq Stock Market, Inc; Extension of Comment Period for The Nasdaq Stock Market, Inc.'s Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 From July 30, 2001 to August 29, 2001
Federal Register version (66 FR 41056)
|
|
Release Number:34-44569
|
SEC Issue Date:
|
File Number:S7-12-01
|
Details: Extension 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
Comments Due: On or before September 4, 2001
See Also -
Comments received electronically are available, Notice of Intent to Amend Rules, 34-46751, also Order Extending Temporary Exemption and Notice of Intent to Amend Rules, Order Extending Temporary Exemption and Notice of Intent to Amend Rules
Federal Register version (66 FR 38370)
|
|
Release Number:34-44396
|
SEC Issue Date:
|
File Number:10-131
|
Details: The Nasdaq Stock Market, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: 45 days after publication in the Federal Register
View Received Comments
See Also -
Comments received electronically are available
Federal Register version (66 FR 31952) Note: Comments received electronically are available
|
|
Release Number:34-44177
|
SEC Issue Date:
|
File Number:4-208
|
Details: Order Approving Plan Establishing Procedures Under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange
Federal Register version (66 FR 19814)
|
|
Release Number:33-7964
|
SEC Issue Date:
|
File Number:S7-08-01
|
Details: Securities Uniformity; Annual Conference on Uniformity of Securities Laws
Comments Due: April 25, 2001
View Received Comments
Federal Register version (66 FR 17207) Note: Comments received are available
|
|
Release Number:34-43992
|
SEC Issue Date:
|
File Number:4-208
|
Details: Notice of Filing of Proposed Plan Establishing Procedures Under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange
Federal Register version (66 FR 12571)
|
|
Release Number:No release number 4
|
SEC Issue Date:
|
File Number:
|
Details: Chairman Arthur Levitt (Letter to industry regarding T+1)
|
|
Release Number:34-43909
|
SEC Issue Date:
|
File Number:
|
Details: Berkshire Hathaway, Inc. (Order Declining Review)
|
|
Release Number:PA-31
|
SEC Issue Date:
|
File Number:S7-02-01
|
Details: Privacy Act of 1974: Notice of Modifications to a System of Records and Establishment of a New System of Records
View Received Comments
Federal Register version (66 FR 7820) Note: Comments received are available
|
|
Release Number:34-43142
|
SEC Issue Date:
|
File Number:
|
Details: Berkshire Hathaway, Inc. (Order Declining Review)
|
|
Release Number:PA-29
|
SEC Issue Date:
|
File Number:S7-15-00
|
Details: Privacy Act of 1974: Establishment of a New System of Records: Child Care Subsidy Program (SEC-41)
Federal Register version (65 FR 49037)
|
|
Release Number:IA-1888
|
SEC Issue Date:
|
File Number:
|
Details: Designation of NASD Regulation, Inc. To Establish and Maintain the Investment Adviser Registration Depository; Approval of IARD Fees
Federal Register version (65 FR 47807)
|
|
Release Number:No release number 3
|
SEC Issue Date:
|
File Number:
|
Details: Decimals Implementation Plan for the Equities and Options Markets, Exchange Committee on Decimals Submitted July 24, 2000
|
|
Release Number:35-27816
|
SEC Issue Date:
|
File Number:S7-16-04
|
Details: Rulemaking for EDGAR System
Federal Register version (69 FR 13689)
|
|
Release Number:34-42914
|
SEC Issue Date:
|
File Number:
|
Details: Order Directing the Exchanges and the National Association of Securities Dealers, Inc. to Submit a Phase-in Plan to Implement Decimal Pricing in Equity Securities and Options; Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934
Federal Register version (65 FR 38010)
|
|
Release Number:34-42906
|
SEC Issue Date:
|
File Number:
|
Details: In the Matter of the Investment Dealers Association of Canada; Order Granting Exemption
Federal Register version (65 FR 37678)
|
|
Release Number:IA-1869
|
SEC Issue Date:
|
File Number:4-433
|
Details: Roundtable on Investment Adviser Regulatory Issues
View Received Comments
Federal Register version (65 FR 25776)
|
|
Release Number:34-42685
|
SEC Issue Date:
|
File Number:4-430
|
Details: Order Staying the Deadlines for Decimal Implementation and Notice of Request for Comment on Revised Decimal Implementation Schedules
View Received Comments
See Also -
4-430 Comments received electronically are available
Federal Register version (65 FR 21046) Note: Comments received electronically are available
|
|
Release Number:35-27154
|
SEC Issue Date:
|
File Number:
|
Details: National Grid Group plc (Order Approving Acquisition) International Series
|
|
Release Number:33-7808
|
SEC Issue Date:
|
File Number:S7-08-00
|
Details: Securities Uniformity; Annual Conference on Uniformity of Securities Laws
Federal Register version (65 FR 14325)
|
|
Release Number:34-42516
|
SEC Issue Date:
|
File Number:4-430
|
Details: Supplemental Standards of Ethical Conduct for Employees of the Department of Agriculture
Federal Register version (65 FR 21239)
|
|
Release Number:34-42455
|
SEC Issue Date:
|
File Number:10-127
|
Details: In the Matter of the Application of The International Securities Exchange LLC for Registration as a National Securities Exchange; Findings and Opinion of the Commission
Federal Register version (65 FR 11387)
|
|
Release Number:34-42450
|
SEC Issue Date:
|
File Number:SR-NYSE-99-48
|
Details: Notice 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
Comments Due: on the NYSE's proposed rescission of Rule 390 should be submitted by March 20, 2000
View Received Comments
See Also -
SR-NYSE-99-48 Comments received electronically are available
Federal Register version (65 FR 10577)
|
|
Release Number:34-42360
|
SEC Issue Date:
|
File Number:4-430
|
Details: Order Directing the Exchanges and the National Association of Securities Dealers, Inc. To Submit a Decimalization Implementation Plan Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934
View Received Comments
See Also -
4-430 Comments received electronically are available
Federal Register version (65 FR 5003)
|
|
Release Number:34-42331
|
SEC Issue Date:
|
File Number:S7-02-00
|
Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: February 15, 2000
Federal Register version (65 FR 3399)
|
|
Release Number:PA-28
|
SEC Issue Date:
|
File Number:S7-27-99
|
Details: Privacy Act of 1974: Notice of Modifications to a System of Records and the Establishment of a New System of Records
Federal Register version (64 FR 69051)
|
|
Release Number:34-42042
|
SEC Issue Date:
|
File Number:10-127
|
Details: International Securities Exchange LLC; Notice of Filing of Amendment No. 1 to the Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: 21 days after date of publication in the Federal Register
Federal Register version (64 FR 57668)
|
|
Release Number:34-41439
|
SEC Issue Date:
|
File Number:10-127
|
Details: International Securities Exchange LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: 45 days after date of publication in the Federal Register
View Received Comments
See Also -
45 days after date of publication in the Federal Register Comments received electronically are available
Federal Register version (64 FR 29367)
|
|
Release Number:34-41384
|
SEC Issue Date:
|
File Number:
|
Details: List of Foreign Issuers Which Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (64 FR 26795)
|
|
Release Number:PA-26
|
SEC Issue Date:
|
File Number:S7-13-99
|
Details: Privacy Act of 1974: Establishment of Two Systems of Records: Disgorgement and Penalties Tracking System (SEC-47) and Fitness Center Membership, Payment, and Fitness Records (SEC-48)
Federal Register version (64 FR 19840)
|
|
Release Number:34-41288, FOIA-190, PA-27
|
SEC Issue Date:
|
File Number:S7-14-99
|
Details: Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
Federal Register version (64 FR 19732)
|
|
Release Number:34-41288, FOIA-190, PA-27
|
SEC Issue Date:
|
File Number:S7-14-99
|
Details: Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
Federal Register version (64 FR 19732)
|
|
Release Number:34-41288, FOIA-190, PA-27
|
SEC Issue Date:
|
File Number:S7-14-99
|
Details: Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
Federal Register version (64 FR 19732)
|
|
Release Number:33-7664
|
SEC Issue Date:
|
File Number:S7-12-99
|
Details: Securities Uniformity; Annual Conference on Uniformity of Securities Laws
Federal Register version (64 FR 17042)
|
|
Release Number:34-41199
|
SEC Issue Date:
|
File Number:10-126
|
Details: Tradepoint Financial Networks plc; Order Granting Limited Volume Exemption From Registration as an Exchange Under Section 5 of the Securities Exchange Act
Federal Register version (64 FR 14953)
|
|
Release Number:33-7618
|
SEC Issue Date:
|
File Number:S7-32-98
|
Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: February 15, 1999
Federal Register version (63 FR 72217)
|
|
Release Number:34-40161
|
SEC Issue Date:
|
File Number:10-101
|
Details: Tradepoint Financial Networks plc; Notice of Application for Limited Volume Exemption From Registration as an Exchange Under Section 5 of the Securities Exchange Act
Comments Due: 30 days after publication in Federal Register
View Received Comments
See Also -
Comments received electronically are available
Federal Register version (63 FR 37146) Note: Comments received electronically are available
|
|
Release Number:PA-25
|
SEC Issue Date:
|
File Number:S7-21-98
|
Details: Privacy Act of 1974: Establishment of Three New Systems of Records: Ridesharing System (SEC-44); Public Transportation Subsidy Program (SEC-45); and Identification Cards, Press Passes, and Proximity Access Control Cards (SEC-46)
Comments Due: 30 days after publication in Federal Register
Federal Register version (63 FR 37423)
|
|
Release Number:33-7524
|
SEC Issue Date:
|
File Number:S7-11-98
|
Details: Securities Uniformity; Annual Conference on Uniformity of Securities Laws
Comments Due: Conference to be held May 4, 1998; written comments must be received on or before April 29, 1998 to be considered by the conference participants
Federal Register version (63 FR 18470)
|
|
Release Number:IA-1705
|
SEC Issue Date:
|
File Number:
|
Details: Notice of Intention to Cancel Registrations of Certain Investment Advisers
Federal Register version (63 FR 12526)
|
|
Release Number:PA-23
|
SEC Issue Date:
|
File Number:
|
Details: Privacy Act of 1974: Modification of a Privacy Act System of Records
Federal Register version (63 FR 11938)
|
|
Release Number:PA-24
|
SEC Issue Date:
|
File Number:S7-6-98
|
Details: Notice of Bureau of Land Management Implementation of Recreation Resource Advisory Committee Provisions of the Federal Lands Recreation Enhancement Act
Federal Register version (77 FR 5048)
|
|
Release Number:34-39681
|
SEC Issue Date:
|
File Number:
|
Details: List of Foreign Issuers Which Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (63 FR 9879)
|
|
Release Number:No release number 2
|
SEC Issue Date:
|
File Number:
|
Details: Charitable Giving by Public Companies (Invitation for Comments)
Comments Due: November 12, 1997
|
|
Release Number:34-39016
|
SEC Issue Date:
|
File Number:S7-23-97
|
Details: Privacy Act of 1974: Major Alterations to the Agency Correspondence Tracking System (ACTS) (SEC-29) and the Office of Personnel Training Files (SEC-40)
Comments Due: 30 days after publication in Federal Register
Federal Register version (62 FR 47887)
|
|
Release Number:PA-20
|
SEC Issue Date:
|
File Number:
|
Details: Privacy Act of 1974: Deletion, Modification, and Redesignation of Privacy Act Systems of Records
Federal Register version (62 FR 47884)
|
|
Release Number:34-39017
|
SEC Issue Date:
|
File Number:S7-24-97
|
Details: Privacy Act of 1974: Establishment of a New System of Records: Confidential Treatment Request Imaging System (SEC-26)
Comments Due: 30 days after publication in Federal Register
Federal Register version (62 FR 47889)
|
|
Release Number:No release number 1
|
SEC Issue Date:
|
File Number:S7-20-97
|
Details: Securities Uniformity (Invitation to Participate in NSMIA Uniformity Study Survey)
|
|
Release Number:34-38810
|
SEC Issue Date:
|
File Number:600-30
|
Details: Emerging Markets Clearing Corporation; Notice of Filing of Application for Registration as a Clearing Agency
Federal Register version (62 FR 37093)
|
|
Release Number:33-7413
|
SEC Issue Date:
|
File Number:S7-15-97
|
Details: Securities Uniformity; Annual Conference on Uniformity of Securities Laws
Comments Due: April 23, 1997
View Received Comments
See Also -
Comments received electronically are available
Federal Register version (62 FR 17653) Note: Comments received electronically are available
|
|
Release Number:34-38235
|
SEC Issue Date:
|
File Number:
|
Details: List of Foreign Issuers Which Have Submitted Information Required by the Exemption Relating to Certain Foreign Securities
Federal Register version (62 FR 6018)
|
|
Release Number:34-38156
|
SEC Issue Date:
|
File Number:SR-NASD-96-43
|
Details: National Association of Securities Dealers, Inc.; Order Granting Partial Approval and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change Relating to Implementation of the Commission's Order Handling Rules
Federal Register version (62 FR 2415)
|
|
Release Number:34-37302
|
SEC Issue Date:
|
File Number:SR-NASD-95-42
|
Details: Notice of Filing of Amendment No. 2 to Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to the NAqcess System and Accompanying Rules of Fair Practice
View Received Comments
See Also -
3437302.shtml, Comments received electronically are available
Federal Register version (61 FR 31574)
|
|
Release Number:33-7277
|
SEC Issue Date:
|
File Number:S7-9-96
|
Details: Securities Uniformity; Annual Conference on Uniformity of Securities Law
Comments Due: April 25, 1996
View Received Comments
See Also -
Comments received electronically are available
Federal Register version (61 FR 15847) Note: Comments received electronically are available
|
|
Release Number:34-37009
|
SEC Issue Date:
|
File Number:S7-8-96
|
Details: Study and Report on Protections for Senior Citizens and Qualified Retirement Plans
Comments Due: April 30, 1996
View Received Comments
See Also -
Comments received electronically are available
Federal Register version (61 FR 13906) Note: Comments received electronically are available
|
|
Release Number:33-7231
|
SEC Issue Date:
|
File Number:
|
Details: Electronic Filing of Forms 3, 4, 5, and 144
Federal Register version (60 FR 53474)
|
