33-10751, 34-88094
Jan. 30, 2020
Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations Federal Register version (85 FR 10568)
33-10751, 34-88094
Jan. 30, 2020
Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations Federal Register version (85 FR 10568)
34-86721
Aug. 21, 2019
Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice Federal Register version (84 FR 47416)
IA-5248
June 5, 2019
S7-07-18
Commission Interpretation Regarding Standard of Conduct for Investment Advisers Federal Register version (84 FR 33669)
IA-5249
June 5, 2019
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser Federal Register version (84 FR 33681)
IA-5249
June 5, 2019
S7-07-18
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser Federal Register version (84 FR 33681)
IA-4889
April 18, 2018
S7-09-18
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation Comments Due: View Received Comments Federal Register version (83 FR 21203)
33-10459, 34-82746
Feb. 21, 2018
Commission Statement and Guidance on Public Company Cybersecurity Disclosures Federal Register version (83 FR 8166)
33-10459, 34-82746
Feb. 21, 2018
Commission Statement and Guidance on Public Company Cybersecurity Disclosures Federal Register version (83 FR 8166)
33-10415, 34-81673
Sept. 21, 2017
S7-07-13
Commission Guidance on Pay Ratio Disclosure Federal Register version (82 FR 44917)
33-10415, 34-81673
Sept. 21, 2017
S7-07-13
Commission Guidance on Pay Ratio Disclosure Federal Register version (82 FR 44917)
33-10415, 34-81673
Sept. 21, 2017
S7-07-13
Commission Guidance on Pay Ratio Disclosure Federal Register version (82 FR 44917)
33-10415, 34-81673
Sept. 21, 2017
S7-07-13
Commission Guidance on Pay Ratio Disclosure Federal Register version (82 FR 44917)
33-10402, 34-81428, IC-32784
Aug. 18, 2017
Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements Federal Register version (82 FR 41147)
33-10402, 34-81428, IC-32784
Aug. 18, 2017
Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements Federal Register version (82 FR 41147)
33-10402, 34-81428, IC-32784
Aug. 18, 2017
Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements Federal Register version (82 FR 41147)
33-10403, 34-81429, IC-32785
Aug. 18, 2017
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)
33-10403, 34-81429, IC-32785
Aug. 18, 2017
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)
33-10403, 34-81429, IC-32785
Aug. 18, 2017
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)
34-78102
June 17, 2016
S7-03-16
Commission Interpretation Regarding Automated Quotations Under Regulation NMS Comments Due: View Received Comments Interpretation Release No. 34-77407 Federal Register version (81 FR 40785)
33-10062
April 4, 2016
S7-05-16
Certain Natural Gas and Electric Power Contracts Federal Register version (81 FR 20583)
34-77407
March 18, 2016
S7-03-16
Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS Comments Due: View Received Comments Interpretation Release No. 34-78102 Federal Register version (81 FR 15660)
34-75592
Aug. 4, 2015
Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934 Federal Register version (80 FR 47829)
33-9850
June 19, 2015
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)
34-74936
May 12, 2015
S7-16-11
Forward Contracts With Embedded Volumetric Optionality View Received Comments Proposed Rule Release No. 33-9204 Federal Register version (80 FR 28239)
33-9681, 34-73584
Nov. 13, 2014
S7-16-11
Forward Contracts With Embedded Volumetric Optionality View Received Comments Proposed Rule Release No. 33-9204 Federal Register version (79 FR 69073)
33-9681, 34-73584
Nov. 13, 2014
S7-16-11
Forward Contracts With Embedded Volumetric Optionality View Received Comments Proposed Rule Release No. 33-9204 Federal Register version (79 FR 69073)
34-72472
June 25, 2014
S7-02-13
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication Proposed Rule Release No. 34-69490 Federal Register version (79 FR 48975)
34-67448
July 17, 2012
S7-06-12
Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security Comments Due: View Received Comments Federal Register version (77 FR 42980)
34-62991
Sept. 24, 2010
Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers 2010 Federal Register version Federal Register version (75 FR 60616)
33-9144, 34-62934, FR-83
Sept. 17, 2010
Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis 2010 Federal Register version Federal Register version (75 FR 59893)
33-9144, 34-62934, FR-83
Sept. 17, 2010
Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis 2010 Federal Register version Federal Register version (75 FR 59893)
33-9144, 34-62934, FR-83
Sept. 17, 2010
Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis 2010 Federal Register version Federal Register version (75 FR 59893)
33-9106, 34-61469, FR-82
Feb. 2, 2010
Commission Guidance Regarding Disclosure Related to Climate Change 2010 Federal Register version Federal Register version (75 FR 6289)
33-9106, 34-61469, FR-82
Feb. 2, 2010
Commission Guidance Regarding Disclosure Related to Climate Change 2010 Federal Register version Federal Register version (75 FR 6289)
33-9106, 34-61469, FR-82
Feb. 2, 2010
Commission Guidance Regarding Disclosure Related to Climate Change 2010 Federal Register version Federal Register version (75 FR 6289)
IA-2969, FR-81
Dec. 30, 2009
S7-09-09
Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940 Proposed Rule Release No. IA-2876 , ia-2968.pdf , Federal Register version Federal Register version (75 FR 1492)
IA-2969, FR-81
Dec. 30, 2009
S7-09-09
Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940 Proposed Rule Release No. IA-2876 , ia-2968.pdf , Federal Register version Federal Register version (75 FR 1492)
33-9062A, 34-60519A, FR-80A
Aug. 18, 2009
Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification 2009 Federal Register version Federal Register version (74 FR 42772)
33-9062A, 34-60519A, FR-80A
Aug. 18, 2009
Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification 2009 Federal Register version Federal Register version (74 FR 42772)
33-9062A, 34-60519A, FR-80A
Aug. 18, 2009
Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification 2009 Federal Register version Federal Register version (74 FR 42772)
33-8995, 34-59192, FR-78
Dec. 31, 2008
S7-15-08
Modernization of Oil and Gas Reporting View Received Comments Federal Register version , Proposed Rule Release No. 33-8935 , Small Entity Compliance Guide Federal Register version (74 FR 2157)
33-8995, 34-59192, FR-78
Dec. 31, 2008
S7-15-08
Modernization of Oil and Gas Reporting View Received Comments Federal Register version , Proposed Rule Release No. 33-8935 , Small Entity Compliance Guide Federal Register version (74 FR 2157)
33-8995, 34-59192, FR-78
Dec. 31, 2008
S7-15-08
Modernization of Oil and Gas Reporting View Received Comments Federal Register version , Proposed Rule Release No. 33-8935 , Small Entity Compliance Guide Federal Register version (74 FR 2157)
34-58288, IC-28351
Aug. 1, 2008
S7-23-08
Commission Guidance on the Use of Company Web Sites Comments Due: View Received Comments 2008 Federal Register version Federal Register version (73 FR 45862)
34-58288, IC-28351
Aug. 1, 2008
S7-23-08
Commission Guidance on the Use of Company Web Sites Comments Due: View Received Comments 2008 Federal Register version Federal Register version (73 FR 45862)
33-8810, 34-55929, FR-77
June 20, 2007
S7-24-06
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 2007 Federal Register version , 33-8809.pdf , Request for Comment , and Small Entity Compliance Guide Federal Register version (72 FR 35323)
33-8810, 34-55929, FR-77
June 20, 2007
S7-24-06
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 2007 Federal Register version , 33-8809.pdf , Request for Comment , and Small Entity Compliance Guide Federal Register version (72 FR 35323)
33-8810, 34-55929, FR-77
June 20, 2007
S7-24-06
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 2007 Federal Register version , 33-8809.pdf , Request for Comment , and Small Entity Compliance Guide Federal Register version (72 FR 35323)
34-54165
July 18, 2006
S7-13-06
Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 Comments Due: View Received Comments 2006 Federal Register version Federal Register version (71 FR 41977)
33-8642, 34-52885, IC-27178
Dec. 5, 2005
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)
33-8642, 34-52885, IC-27178
Dec. 5, 2005
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)
33-8642, 34-52885, IC-27178
Dec. 5, 2005
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)
34-52635
Oct. 19, 2005
S7-09-05
Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 Comments Due: View Received Comments Federal Register version (70 FR 61699)
33-8565, 34-51500, IC-26828
April 7, 2005
S7-03-05
Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations Comments Due: Federal Register version (70 FR 19671)
33-8565, 34-51500, IC-26828
April 7, 2005
S7-03-05
Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations Comments Due: Federal Register version (70 FR 19671)
33-8565, 34-51500, IC-26828
April 7, 2005
S7-03-05
Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations Comments Due: Federal Register version (70 FR 19671)
33-8422, FR-73
May 14, 2004
Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1 Federal Register version (69 FR 29064)
33-8422, FR-73
May 14, 2004
Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1 Federal Register version (69 FR 29064)
33-8422, FR-73
May 14, 2004
Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1 Federal Register version (69 FR 29064)
33-8422, FR-73
May 14, 2004
Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1 Federal Register version (69 FR 29064)
33-8350, 34-48960, FR-72
Dec. 19, 2003
Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations Federal Register version (68 FR 75055)
33-8350, 34-48960, FR-72
Dec. 19, 2003
Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations Federal Register version (68 FR 75055)
33-8350, 34-48960, FR-72
Dec. 19, 2003
Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations Federal Register version (68 FR 75055)
34-48795
Nov. 17, 2003
Commission Guidance on Rule 3b-3 and Married Put Transactions Federal Register version (68 FR 65819)
34-47910
May 22, 2003
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 Federal Register version (68 FR 32307)
34-47806
May 7, 2003
Electronic Storage of Broker-Dealer Records Federal Register version (68 FR 25281)
33-8107, 34-46101
June 21, 2002
S7-23-02
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)
33-8107, 34-46101
June 21, 2002
S7-23-02
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)
34-45194
Dec. 27, 2001
Commission Guidance on the Scope of Section 28(e) of the Exchange Act Federal Register version (67 FR 6)
33-8005a, 34-44820, FR-58
Sept. 21, 2001
Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan Federal Register version (66 FR 49273)
33-8005a, 34-44820, FR-58
Sept. 21, 2001
Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan Federal Register version (66 FR 49273)
33-8005a, 34-44820, FR-58
Sept. 21, 2001
Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan Federal Register version (66 FR 49273)
33-8004, 34-44792, IC-25157, FR-57
Sept. 14, 2001
Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations Federal Register version (66 FR 48335)
33-8004, 34-44792, IC-25157, FR-57
Sept. 14, 2001
Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations Federal Register version (66 FR 48335)
33-8004, 34-44792, IC-25157, FR-57
Sept. 14, 2001
Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations Federal Register version (66 FR 48335)
33-8004, 34-44792, IC-25157, FR-57
Sept. 14, 2001
Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations Federal Register version (66 FR 48335)
33-7985, 34-44424, 35-27419, IC-25003
June 14, 2001
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)
33-7985, 34-44424, 35-27419, IC-25003
June 14, 2001
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)
33-7985, 34-44424, 35-27419, IC-25003
June 14, 2001
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)
33-7985, 34-44424, 35-27419, IC-25003
June 14, 2001
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)
34-44238
May 1, 2001
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)
34-43069, IC-24564>
July 24, 2000
Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers Federal Register version (65 FR 46581)
34-43069, IC-24564>
July 24, 2000
Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers Federal Register version (65 FR 46581)
34-42728
April 28, 2000
S7-11-00
Use of Electronic Media Comments Due: View Received Comments S7-11-00 Comments received electronically are available Federal Register version (65 FR 25843)
IC-24083
Oct. 14, 1999
Interpretive Matters Concerning Independent Directors of Investment Companies Federal Register version (64 FR 59877)
33-7609
Nov. 9, 1998
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)
33-7558
July 29, 1998
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)
IA-1732
July 17, 1998
Interpretation of Section 206(3) of the Investment Advisers Act of 1940 Federal Register version (63 FR 39505)
34-39829
April 6, 1998
S7-10-98
Confirmation and Affirmation of Securities Trades; Matching Comments Due: Federal Register version (63 FR 17943)
33-7516
March 23, 1998
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)
33-7288
May 9, 1996
S7-13-96
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: View Received Comments S7-13-96 Comments received electronically are available Federal Register version (61 FR 24644)
33-7233, 34-36345, IC-21399
Oct. 6, 1995
S7-31-95
Use of Electronic Media for Delivery Purposes Federal Register version (60 FR 53458)
33-7233, 34-36345, IC-21399
Oct. 6, 1995
S7-31-95
Use of Electronic Media for Delivery Purposes Federal Register version (60 FR 53458)
33-7233, 34-36345, IC-21399
Oct. 6, 1995
S7-31-95
Use of Electronic Media for Delivery Purposes Federal Register version (60 FR 53458)
33-7233, 34-36345, IC-21399
Oct. 6, 1995
S7-31-95
Use of Electronic Media for Delivery Purposes Federal Register version (60 FR 53458)
33-7233, 34-36345, IC-21399
Oct. 6, 1995
S7-31-95
Use of Electronic Media for Delivery Purposes Federal Register version (60 FR 53458)
33-7233, 34-36345, IC-21399
Oct. 6, 1995
S7-31-95
Use of Electronic Media for Delivery Purposes Federal Register version (60 FR 53458)
33-7190
June 27, 1995
S7-20-95
Problematic Practices Under Regulation S Federal Register version (60 FR 35663)
33-7049, 34-33741, FR-42
March 9, 1994
S7-04-94
Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others Federal Register version
