SEC Proposed Rules Archives: 1999

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:

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Release No.	Date	Details
Fourth Quarter
34-42259	Dec. 20, 1999	Selective Disclosure and Insider Trading Reference:   Rel. Nos. 33-7787, IC-24209 File No.:   S7-31-99 Comments Due:   March 29, 2000 Comments received electronically are available for this proposal. See also: Final Rule, Rel. No. 33-7881 Proposed Rule, Rel. No. 33-7815
34-42209	Dec. 9, 1999	Unlisted Trading Privileges File No.:   S7-29-99 Comments Due:   January 31, 2000 Comments received electronically are available for this proposal.
33-7767	Nov. 5, 1999	Delivery of Proxy and Information Statements to Households Reference:   Rel. Nos. 34-42102, IC-24124 File No.:   S7-26-99 Comments Due:   January 18, 2000 Comments received electronically are available for this proposal.
34-42099	Nov. 4, 1999	Certain Broker-Dealers Deemed Not To Be Investment Advisers Reference:   Rel. No. IA-1845 File No.:   S7-25-99 Comments Due:   January 14, 2000 Comments received electronically are available for this proposal. See also: Release No. 34-50213 (reopening of comment period)
34-42007	Oct. 15, 1999	Role of Independent Directors of Investment Companies Reference:   Rel. No. IC-24082 File No.:   S7-23-99 Comments Due:   January 28, 2000 Comments received electronically are available for this proposal. Additional Materials are available for this release:    Summary of Comments received
34-41987	Oct. 8, 1999	Audit Committee Disclosure File No.:   S7-22-99 Comments Due:   45 days after date of publication in the Federal Register Comments received electronically are available for this proposal.
Third Quarter
IC-24050	Sep. 23, 1999	Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities File No.:   S7-21-99 Comments Due:   November 23, 1999
IA-1812	Aug. 4, 1999	Political Contributions by Certain Investment Advisers File No.:   S7-19-99 Comments Due:   November 1, 1999 Comments received electronically are available for this proposal.
34-41644	Jul. 23, 1999	Exemption of the Securities of the Republic of Portugal under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities File No.:   S7-18-99 Comments Due:   thirty days after publication in the Federal Register
Second Quarter
34-41442	May 25, 1999	Recordkeeping Requirements for Transfer Agents File No.:   S7-17-99 Comments Due:   July 2, 1999 Comments received electronically are available for this proposal.
34-41204	May 11, 1999	Revised Transfer Agent Form and Related Rule File No.:   S7-11-99 Comments Due:   45 days after date of publication in the Federal Register Comments received electronically are available for this proposal.
IC-23815	Apr. 30, 1999	Custody of Investment Company Assets Outside the United States Reference:   Rel. No. IS-1194 File No.:   S7-15-99 Comments Due:   July 15, 1999 Comments received electronically are available for this proposal.
34-41351	Apr. 30, 1999	Broker-Dealer Registration and Reporting (Appendix; File name: 3441351a.txt) File No.:   S7-16-99 Comments Due:   May 30, 1999 Comments received electronically are available for this proposal. Additional material is available for this release:    Proposed Form BD in Adobe Acrobat format
34-41288	Apr. 14, 1999	Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules Reference:   Rel. No. FOIA-190, PA- 27 File No.:   S7-14-99 Comments Due:   60 days after publication in the Federal Register Comments received electronically are available for this proposal.
34-41261	Apr. 8, 1999	Extension of Comment Period: Reproposed Rule: Publication or Submission of Quotations Without Specified Information Reference:   Rel. No. 34-41110 File No.:   S7-5-99 Comments Due:   May 8, 1999
First Quarter
33-7659	Mar. 24, 1999	Extension of Comment Period: The Regulation of Securities Offerings File No.:   S7-30-98 Comments Due:   June 30, 1999
33-7656	Mar. 19, 1999	Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts File No.:   S7-10-99 Comments Due:   May 28, 1999 Comments received electronically are available for this proposal.
33-7653	Mar. 10, 1999	Rulemaking for EDGAR System (changes for EDGAR modernization) Reference:   Rel. Nos. 34-41150, IC-23735 File No.:   S7-9-99 Comments Due:   April 15, 1999 Comments received electronically are available for this proposal.
34-41142	Mar. 8, 1999	Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance File No.:   S7-8-99 Comments Due:   30 days after publication in Federal Register Comments received electronically are available for this proposal.
34-41110	Mar. 2, 1999	Publication or Submission of Quotations Without Specified Information File No.:   S7-5-99 Comments Due:   30 days after publication in Federal Register Comments received electronically are available for this proposal.
33-7649	Mar. 1, 1999	Financial Statements and Periodic Reports for Related Issuers and Guarantors Reference:   Rel. Nos. 34-41118, International Series No. 1187 File No.:   S7-7-99 Comments Due:   May 4, 1999 Comments received electronically are available for this proposal.
33-7647	Feb. 26, 1999	Proposed Rule; Extension of Comment Period and Further Request for Comment, on Registration of Securities on Form S-8 File No.:   S7-2-98 Comments Due:   May 7, 1999
33-7637	Feb. 2, 1999	International Disclosure Standards Reference:   Rel. Nos. 34-41014, International Series Release No. 1182 File No.:   S7-3-99 Comments Due:   April 12, 1999 Comments received electronically are available for this proposal. Correction available for this proposal.
IA-1787	Feb. 2, 1999	Transition Rule for Ohio Investment Advisers File No.:   S7-2-99 Comments Due:   March 8, 1999 Comments received electronically are available for this proposal.