17 C.F.R. PART 241—INTERPRETATIVE RELEASES RELATING TO THE SECURITIES EXCHANGE ACT OF 1934 AND GENERAL RULES AND REGULATIONS THEREUNDER


Title 17 - Commodity and Securities Exchanges


Title 17: Commodity and Securities Exchanges

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PART 241—INTERPRETATIVE RELEASES RELATING TO THE SECURITIES EXCHANGE ACT OF 1934 AND GENERAL RULES AND REGULATIONS THEREUNDER

Section Contents


 ----------------------------------------------------------------------------------------------------------------                                                      Release                      Subject                           No.         Date            Fed. Reg. Vol. and Page----------------------------------------------------------------------------------------------------------------Excerpt from letter relating to section 16(a)......        21    Oct. 1, 1934  11 FR 10968.Statement by Commission to correct the erroneous           68   July 22, 1934   Do. impression created by certain commercial institutions with respect to the necessity for filing reports with the Commission.Letter of General Counsel relating to section 16(a)       116    Mar. 9, 1935   Do.Opinion of General Counsel relating to section            175   Apr. 16, 1935   Do. 16(a).Excerpt from a general letter relating to section         227    May 14, 1935   Do. 16(a).Opinion of the Director of the Division of Forms         1131    Apr. 7, 1937   Do. and Regulations discussing the definition of ``parent'' as used in various forms under the Securities Act of 1933 and the Securities Exchange Act of 1934.Statement by Commission with respect to the purpose      1350   Aug. 13, 1937  11 FR 10969. of the disclosure requirements of section 14 and the rules adopted thereunder.Opinion of Director of the Trading and Exchange          1411    Oct. 7, 1937   Do. Division relating to Rules X-15C1-6 (17 CFR 240.15c1-6) and X-10B-2 (17 CFR 240.10b-2).Opinion of Director of the Trading and Exchange          1462   Nov. 15, 1937   Do. Division relating to Rule X-15C1-1(a) (17 CFR, 240.15c1-1a).Partial text of letter of February 2, 1938, from         1571    Feb. 5, 1938   Do. the Secretary of the New York Stock Exchange to its members, relating to Rules X-3B-3 (17 CFR 240.3b-3), X-10A-1 (17 CFR 240.10a-1), and X-10A-2 (17 CFR 240.10a-2), together with a letter from Director of Trading and Exchange Division, concurring in the opinions expressed by the Exchange.Opinion of General Counsel relating to section           1965   Dec. 21, 1938  11 FR 10970. 16(a).Letter of General Counsel concerning the services        2066     May 5, 1939  11 FR 10971. of former employees of the Commission in connection with matters with which such employees become familiar during their course of employment with the Commission.Statement of Commission and separate statement by        2446   Mar. 18, 1940   Do. Commissioner Healy on the problem of regulating the ``pegging, fixing and stabilizing'' of security prices under sections 9(a)(2), 9(a)(6) and 15(c)(1) of the Securities Exchange Act.Statement of Commission respecting distinctions          2687   Nov. 16, 1940  11 FR 10981. between the reporting requirements of section 16(a) of the Securities Exchange Act of 1934 and section 30(f) of the Investment Company Act of 1940.Statement of Commission issued in connection with        2690   Nov. 15, 1940  11 FR 10982. the adoption of Rules X-8C-1 (17 CFR, 240.8c-1) and X-15-C2-1 (17 CFR, 240.15c 2-1) under the Securities Exchange Act of 1934 relating to the hypothecation of customers' securities by members of national securities exchanges and other brokers and dealers.Opinion of General Counsel relating to paragraph         2822   Mar. 17, 1941  11 FR 10983. (b)(2)(ii) of Rules X-8C-1 (17 CFR, 240.8c-1) and X-15C2-1 (17 CFR, 240.15C 2-1) under the Securities Exchange Act.Partial text of letter sent by Director of the           3040   Oct. 13, 1941  11 FR 10984. Trading and Exchange Division to certain securities dealers who had failed to keep records of the times of their securities transactions, as required by Rules X-17A-3 (17 CFR, 240.17a-3) and X-17A-4 (17 CFR, 240.17a-4) under the Securities Exchange Act.Opinion of General Counsel relating to the anti-         3056   Oct. 27, 1941   Do. manipulation provisions of sections 9(a)(2), 10(b) and 15(c)(1) of the Securities Exchange Act of 1934, as well as section 17(a) of the Securities Act of 1933.Opinion of Chief Counsel to the Corporation Finance      3069    Jan. 4, 1945  11 FR 10985. Division relating to when-issued trading of securities the issuance of which has already been approved by a Federal district court under Chapter X of the Bankruptcy Act.Statement of Commission policy with respect to the       3085    Dec. 6, 1941   Do. acceleration of the effective date of a registration statement.Letter of Director of the Corporation Finance            3380    Feb. 2, 1943   Do. Division relating to sections 14 and 18.Excerpts from letters of Director of the                 3385   Feb. 17, 1943   Do. Corporation Finance Division relating to section 14 and Schedule 14A under Regulation X-14 (17 CFR, 240.14a-9).Opinion of Director of the Trading and Exchange          3505   Nov. 16, 1943  11 FR 10986. Division relating to the anti-manipulation provisions of sections 9(a)(2), 10(b), and 15(c)(1) of the Securities Exchange Act of 1934, and 17(a) of the Securities Act of 1933.Opinion of Director of the Trading and Exchange          3506   Nov. 16, 1943  11 FR 10987. Division relating to the anti-manipulation provisions of sections 9(a)(2), 10(b), and 15(c)(1) of the Securities Exchange Act of 1934, and 17(a) of the Securities Act of 1933.Statement of the Commission relating to the anti-        3572    June 1, 1944   Do. fraud provisions of section 17(a) of the Securities Act of 1933, and sections 10(b) and 15(c)(1) of the Securities Exchange Act of 1934.Letter of Director of the Corporation Finance            3638    Jan. 3, 1945  11 FR 10988. Division relating to section 20 and to Rule X-14A- 7 (17 CFR, 240.14a-7) under the Securities Exchange Act of 1934.Statement by Commission relating to section 3(a)(1)      3639    Jan. 4, 1945   Do.Statement of the Commission in connection with the       3674    Apr. 9, 1945   Do. adoption of certain amendments to Form 3-M, one of the forms for registration of over-the-counter brokers or dealers under section 15(b) of the Securities Exchange Act of 1934, and to Rule X-15B- 2 (17 CFR, 240.15b-2), the rule governing the filing of supplemental statements to such applications.Statement by Commission relating to the adoption of      3803   Mar. 28, 1946   Do. Rule X-13A-6B (17 CFR, 240.13a-6b).Statement of the Commission in connection with           4163  Sept. 16, 1948  13 FR 4163. notice of opportunity to submit proposals for regulations or legislation regarding the stabilization of market prices by persons offering securities to the public.Statement of the Commission accompanying November        4185    Nov. 5, 1948  13 FR 6680. 5, 1948, revision of § 240.14 of this chapter (Regulation X-14).Opinion of the General Counsel, relating to the use      4593   Apr. 18, 1951  16 FR 3387. of ``hedge clauses'' by brokers, dealers, investment advisers, and others.Statement of the Commission regarding public             5633   Jan. 31, 1958  23 FR 841. offerings of investment contracts providing for the acquisition, sale or servicing of mortgages or deeds of trust.Statement of the Commission as to the applicability      6419   Nov. 18, 1960  25 FR 12178. of the Federal securities laws to real estate investment trusts.Statement of the Commission concerning standards of      6721    Feb. 2, 1962  27 FR 1251. conduct for registered broker-dealers in the distribution of unregistered securities.Opinion of Philip A. Loomis, Jr., Director of            6726    Feb. 8, 1962  27 FR 1415. Division of Trading and Exchanges of the Commission, on the application of section 11(d)(1), Securities Exchange Act of 1934, to broker-dealers engaged in ``equity funding'', ``secured funding'', and ``life funding''.Statement of the Commission cautioning broker-           6778   Apr. 16, 1962  27 FR 3991. dealers about violating the anti-fraud provisions of the Federal securities laws when making short sales in which they delay effecting the covering transaction to acquire the security.Statement of Commission showing circumstances in 7       6982   Dec. 28, 1962  28 FR 276. cases where profits in real estate transactions were not earned at time transactions were recorded but that the sales were designed to create the illusion of profits or value as a basis for the sale of securities.Answer of the Commission to four questions relating      7078    May 15, 1963  28 FR 5133. to the solicitation of proxies.Statement by the Commission on the maintenance of        7169   Nov. 13, 1963  28 FR 12617. rec-ords of transactions by brokers-dealers as underwriters of investment company shares according to Rule 17a-3 under section 17(a) of the Securities Exchange Act of 1934 (17 CFR 240.17a-3).Opinion of the General Counsel relating to               7208    Jan. 7, 1964  29 FR 341. participation by broker-dealer firms in proxy solicitations.Statement of the Commission re applicability of          7366    July 9, 1964  29 FR 9828. Securities Act of 1933 to offerings of securities outside the U.S. and re applicability of section 15(a) of the Securities Exchange Act of 1934 to foreign underwriters as part of program of Presidential Task Force to reduce U.S. balance of payments deficit and protect U.S. gold reserves.Summary and interpretation by the Commission of          7425  Sept. 14, 1964  29 FR 13455. amendments to the Securities Act of 1933 and Securities Exchange Act of 1934 as contained in the Securities Acts Amendments of 1964.Opinion and statement of the Commission in regard        7763    Dec. 7, 1965  30 FR 15420. to proper reporting of deferred income taxes arising from installment sales.Statement of the Commission to clarify the meaning       7793   Jan. 19, 1966  31 FR 1005. of ``beneficial ownership of securities'' as relates to beneficial ownership of securities held by family members.Program by the Commission which it requests that         7805   Jan. 26, 1966  31 FR 2475. issuing companies follow in order to expedite the processing of proxy material.Statement of the Commission setting the date of May      7824   Feb. 14, 1966  31 FR 3175. 1, 1966 after which filings must reflect beneficial ownership of securities held by family members.Policy statement by the Director of the Division of      7920   July 19, 1966  31 FR 10076. Trading and Markets re consummation of securities transactions by brokers-dealers when trading is suspended.Opinions of the Commission on the acceleration of        8336   June 18, 1968  33 FR 10086. the effective date of a registration statement under the Securities Act of 1933 and on the clearance of proxy material such as convertible preferred shares considered residual securities in determining earnings per share applicable to common stock.Statement of the Commission to alert prospective         8351    July 5, 1968  33 FR 10134. borrowers obtaining loans for real estate development about recent fraudulent schemes.Statement of the Commission warning broker-dealers       8363   July 29, 1968  33 FR 11150. to be prompt in the consummation of securities transactions and about the penalty for not so doing.Statement of the Commission re broker-dealer             8389   Aug. 29, 1968  33 FR 13005. registration of insurance companies acting as agents for distribution of ``variable annuities'' and application of regulations for such under the Securities Exchange Act of 1934.Statement of the Commission reminding broker-dealer      8404  Sept. 11, 1968  33 FR 14286. managements to establish and maintain an effective supervisory system and failure to do so will result in disciplinary action against the firm and responsible individuals.Statement of the Commission clarifying that              8409  Sept. 16, 1968  33 FR 14545. industrial revenue bonds sold according to Rule 131 (17 CFR 230.131) and Rule 3b-5 (17 CFR 240.3b- 5) are not affected if acquired and paid for by the underwriters on or before December 31, 1968.Statement of the Commission cautioning brokers and       8638    July 2, 1969  34 FR 11581. dealers with respect to effecting transactions of ``spin offs'' and ``shell corporations''.Commission's statement about publicity concerning        8728   Oct. 20, 1969  34 FR 17433. the petroleum discoveries on the North Slope of Alaska.Commission's warning statement re sale and               8733    Nov. 4, 1969  34 FR 18160. distribution of whisky warehouse receipts.Letter by Philip A. Loomis, Jr., General Counsel         8746   Nov. 10, 1969  34 FR 18543. for the Commission, explaining obligations of mutual fund managements and brokers with respect to commissions on portfolio brokerage of mutual funds.Publication of the Commission's guidelines re            8907   June 23, 1970  35 FR 12103. applicability of Federal securities laws to offer and sale outside the U.S. of shares of registered open-end investment companies.Statement of the Commission reminding reporting          8995   Oct. 15, 1970  35 FR 16733. companies of obligation re Commission's rules to file reports on a timely basis.Commission's statement re exemption of certain           9016    Nov. 6, 1970  35 FR 17990. industrial revenue bonds from registration, etc. requirements in view of amendment of Securities Act of 1933 and of Securities Exchange Act of 1934 by ``section 401'' (Pub. L. 91-1037).Commission's views relating to important questions       9049   Dec. 23, 1970  35 FR 19986. re the accounting by registered investment companies for investment securities in their financial statements and in the periodic computations of net asset value for the purpose of pricing their shares.Publication of the Commission's procedure to be          9065   Jan. 25, 1971  36 FR 2600. followed if requests are to be met for no action or interpretative letters and responses thereto to be made available for public use.Interpretations of the Commission in regard to           9083   Feb. 18, 1971  36 FR 4483. requirements for registration statements and reports concerning information requested re description of business, summary of operations, and financial statements.Statement of the Commission warning the public           9148   Apr. 12, 1971  36 FR 8239. about novel unsecured debt securities which appear to invite unwarranted comparisons with bank savings accounts, savings and loan association accounts, and bank time deposit certificates.Statement of the Commission prohibiting the              9210   June 16, 1971  36 FR 11918. reduction of fixed charges by amounts representing interest or investment income or gains on retirement of debt in registration statements or reports filed with the Commission.Statement of the Commission calling attention to         9252   July 19, 1971  36 FR 13988. requirements in its forms and rules under the Securities Act of 1933 and the Securities and Exchange Act of 1934 for disclosure of legal proceedings and descriptions of registrant's business as these requirements relate to material matters involving the environment and civil rights.Commission's policy requiring the inclusion in           9279   Aug. 10, 1971  36 FR 15527. financial statements of the ratio of earnings to fixed charges for the total enterprise in equivalent prominence with the ratio for the registrant or registrant and consolidated subsidiaries.Policy of Commission's Division of Corporation           9345  Sept. 27, 1971  36 FR 19362. Finance to defer processing registration statements and amendments filed under the Securities Act of 1933 by issuers whose reports are delinquent until such reports are brought up to date.Commission's statement concerning applicability of       9387   Nov. 30, 1971  36 FR 23289. securities laws to multilevel distributorships and other business opportunities offered through pyramid sales plans.Statement by the Commission regarding payment of         9395   Nov. 24, 1971  36 FR 23359. solicitation fees in tender offers.Commission's statement concerning offering and sale      9444   Jan. 14, 1972  37 FR 600. of securities in non-public offerings and applicability of antifraud provisions of securities acts.Statement of the Commission's views on the present   ........   Mar. 14, 1972  37 FR 5286 status of the securities markets and the direction in which the public interest requires that they evolve in the future.Commission endorses the establishment by all             9548    Apr. 5, 1972  37 FR 6850. publicly held companies of audit committees composed of outside directors.Applicability of Commission's policy statement on        9598    May 18, 1972  37 FR 9988. the future structure of securities markets to selection of brokers and payment of commissions by institutional managers.Commission's statement and policy on misleading pro      9618    June 9, 1972  37 FR 11559. rata stock distributions to shareholders.Commission's guidelines on independence of               9662   June 19, 1972  37 FR 14294. certifying accountants; example cases and Commission's conclusions.Commission's decisions on recommendations of             9796    Mar. 1, 1973  38 FR 5457. advisory committee regarding commencement of enforcement proceedings and termination of staff investigations.Commission's interpretation of risk-sharing test in      9798    Oct. 5, 1972  37 FR 20937. pooling-of-interest accounting.Commission's statement that short-selling                9824   Oct. 25, 1972  37 FR 22796. securities prior to offering date is a possible violation of antifraud and antimanipulative laws.Commission reaffirms proper accounting treatment to      9867   Dec. 13, 1972  37 FR 26516. be followed by a lessee when the lessor is created as a conduit for debt financing.Commission's interpretations of a rule (15c3-3)          9922   Jan. 18, 1973  38 FR 1737. dealing with customer protection by securities brokers and dealers.Amendment of previous interpretation (AS-130) of         9927   Jan. 18, 1973  38 FR 1734. risk-sharing test in pooling of interest accounting.Commission clarifies effective dates of Rule 15c3-3      9946    Feb. 5, 1973  38 FR 3313.Commission's designation of control locations for        9969    Feb. 5, 1973   Do. foreign securities.Commission's findings on disclosure of projections       9984   Mar. 19, 1973  38 FR 7220. of future economic performance by issuers of publicly traded securities.Commission's views on reporting cash flow and other     10041   Apr. 11, 1973  38 FR 9158. related data.Commission's statement on obligations of                10181    June 1, 1973  38 FR 17201. underwriters with respect to discretionary accounts.Commission's opinion on net capital treatment of        10209    June 8, 1973  38 FR 16774. securities position, obligation and transactions in suspended securities.Commission expresses concern with failure of            10214   July 10, 1973  38 FR 18366. issuers to timely and properly file periodic and current report.Commission's statement and policy on application of     10304    Aug. 3, 1973  38 FR 20820. minimum net capital requirement.Commission's conclusions as to certain problem          10363  Sept. 10, 1973  38 FR 24635. relating to the effect of treasury stock transactions on accounting for business combinations.Commission's interpretation of market                   10388  Sept. 20, 1973  38 FR 26358. identification requirement of rule for reporting of market information on transactions in listed securities.Commission's response to the New York Stock             10391  Sept. 25, 1973  38 FR 26716. Exchange's proposed interpretation of ``affiliated person''.Commission request for comments on Accounting           10422   Oct. 17, 1973  38 FR 28819. Series Release No. 46.Commission's guidelines for control locations for       10429   Oct. 23, 1973  38 FR 29217. foreign securities.Commission's views and comments relating to             10547    Jan. 7, 1974  39 FR 1261. quarterly reporting on Form 10-Q and Form 10-QSB.Statement by the Commission on disclosure of the        10569   Jan. 10, 1974  39 FR 1511. impact of possible fuel shortages on the operations of issuers.Commission's statement on disclosure of inventory       10580   Jan. 17, 1974  39 FR 2085. profits reflected in income in periods of rising prices.Commission decision on trading in securities issued     10610   Jan. 31, 1974  39 FR 3932. or guaranteed by the governments of Bulgaria, Hungary, and Romania.Commission views on disclosure of illegal campaign      10673   Mar. 11, 1974  39 FR 10237. contributions.Commission's statement of policy and                   10363A   Apr. 12, 1974  39 FR 14588. interpretations.Commission's statement regarding maintenance of         10756     May 9, 1974  39 FR 16440. current books and records by brokers and dealers.Commission's practices on reporting of natural gas      10857   June 14, 1974  39 FR 27556. reserve estimates.Commission's views on business combinations             10898    July 3, 1974  39 FR 26719. involving open-end investment companies.Commission's guidelines for filings related to          10899    July 3, 1974  39 FR 26720. extractive reserves and natural gas supplies.Commission's guidelines for registration and            10961   Aug. 14, 1974  39 FR 31894. reporting.Commission's requirements for financial statements;     11029  Sept. 27, 1974  39 FR 36578. limited partnerships in annual reports.Commission's examples of unusual risks and              11150   Dec. 23, 1994  40 FR 2678. uncertainties.Letters of the Division of Corporation Finance with     11156   Dec. 26, 1994  40 FR 1695. respect to certain proposed arrangements for the sale of gold bullion.Commission's statement on disclosure problems           11198   Jan. 23, 1975  40 FR 6483. relating to LIFO accounting.Commission's guidelines on Accounting Series            11470   June 13, 1975  40 FR 27441. Release No. 148.Brokers and dealers effecting transactions in           11854   Nov. 20, 1975  40 FR 57786. municipal securities.Financial responsibility requirements of brokers        11969     Jan 2, 1976  41 FR 5277. and dealers.Brokers and dealers effecting transactions in           12021  ..............  41 FR 3469. municipal securities.Interpretation of certain terms in item 10 of Form      12078   Feb. 17, 1976  41 FR 7089. BD.Brokers and dealers effecting transactions in           12288   Apr. 15, 1976  41 FR 15842. municipal securities.Standards for disclosure; oil and gas reserve......     12435    May 12, 1976  41 FR 21764.Brokers and dealers effecting transactions in           12496   June 11, 1976  41 FR 23668. municipal securities.Statement of informal proposals for the rendering       12599   July 20, 1976  41 FR 29989. of staff advice with respect to shareholder proposals.Guides for statistical disclosure by bank holding       12748   Aug. 31, 1976  41 FR 39007. companies.Uniform net capital rule...........................     12766  Sept. 14, 1976  41 FR 39014.Uniform net capital rule...........................     12927   Oct. 27, 1976  41 FR 48335.Brokers and dealers effecting transactions in           12932   Oct. 27, 1976  41 FR 48336. municipal securities.Brokers and dealers effecting transactions in           13108    Jan. 4, 1977  42 FR 759. municipal securities.Brokers and dealers effecting transactions in           13362   Mar. 21, 1977  42 FR 15310. municipal securities.Rescission of certain accounting series releases...     13630   June 15, 1977  42 FR 33282.Guideline regarding the preparation of integrated       13639   June 17, 1977  42 FR 31780. reports to shareholders.Industry segment determination.....................     14523    Mar. 3, 1978  43 FR 9599.Securities transactions by members of national          14563   Mar. 14, 1978  43 FR 11542. securities exchanges.Application of registration requirements to certain     14699   Apr. 24, 1978  43 FR 18163. tender offers and the application of tender offer provisions to certain cash-option mergers.Reporting by certain institutional investors of         14830   June 13, 1978  43 FR 25420. beneficial ownership of certain equity securities which as of the end of any month exceeds ten percent of the class.Division of investment management's interpretative      15292    Nov. 2, 1978  43 FR 52697. positions relating to Rule 13f-1 and related Form 13F.Guides for disclosure of projections of future          15305    Nov. 7, 1978  43 FR 53246. economic performance.Commission's statement regarding disclosure of          15371   Nov. 29, 1978  43 FR 57596. impact of Wage and Price Standards for 1979 on the operations of issuers.Statement of the views of the Commission's Division     15572   Feb. 15, 1979  44 FR 11541. of Corporation Finance with respect to disclosure in proxy statements containing certain sale of assets transactions.Short sales; interpretation of rule................     16150   Aug. 30, 1979  44 FR 53159.Shareholder communications, shareholder                 16163   Sept. 6, 1979  44 FR 53426. participation in the corporate electoral process and corporate governance generally.Environmental disclosure requirements..............     16224  Sept. 27, 1979  44 FR 56924.Pooled income funds................................     16478   Jan. 10, 1980  45 FR 3258.Tender offer rules.................................     16623    Mar. 5, 1980  45 FR 15521.Proxy rules........................................     16833    May 23, 1980  45 FR 36374.Clearing agencies..................................     16900   June 17, 1980  45 FR 41920.Guides for statistical disclosure by bank holding       16961    July 8, 1980  45 FR 47142. companies.Transfer agents....................................     17111   Sept. 2, 1980  45 FR 59840.Amendments to guides...............................     17114   Sept. 2, 1980  45 FR 63647.Extension date of clearing agencies for form filing     17231   Oct. 20, 1980  45 FR 70857.Beneficial ownership rules.........................     17354    Dec. 4, 1980  45 FR 81559.Distribution of proxy materials to beneficial           17424    Jan. 7, 1981  46 FR 3204. shareowners.Foreign Corrupt Practices Act of 1977..............     17500   Jan. 29, 1981  46 FR 11544.Analysis of results of 1980 proxy statement             17518    Feb. 5, 1981  46 FR 11954. disclosure monitoring program.Option and option-related transactions during           17609    Mar. 6, 1981  46 FR 16670. underwritten offerings.Going private transactions under rule 13e-3........     17719   Apr. 13, 1981  46 FR 22571.Insider reporting and trading......................     18114  Sept. 23, 1981  46 FR 48147.Retail repurchase agreements by banks and savings       18122  Sept. 25, 1981  46 FR 48637. and loan associations.Analysis of results of 1981 proxy statement             18532    Mar. 3, 1982  47 FR 10794. disclosure monitoring program.Rescission of guides and redesignation of industry      18525    Mar. 3, 1982  47 FR 11481. guides (effective May 24, 1982).Amendments to guides...............................     19337   Dec. 15, 1982  47 FR 57911.Revision of financial statement requirements and        19570    Mar. 7, 1983  48 FR 11104. industry guide disclosure for bank holding companies..Commission's views on Colema Realty Corp. v. R. D.      19756    May 11, 1983  48 FR 23173. Bibow, et al.Revision of industry guide disclosures for bank         20068   Aug. 11, 1983  48 FR 37609. holding companies.Public statements by corporate representatives.....     20560   Jan. 13, 1984  49 FR 2468.Research reports...................................     21332  Sept. 19, 1984  49 FR 37574.Commission views on computer brokerage systems.....     21383    Oct. 9, 1984  49 FR 40159.Guide for disclosures concerning reserves for           21521   Nov. 27, 1984  49 FR 47601. unpaid claims and claim adjustment expenses of property-casualty underwriters.Brokerage and research services concerning scope of     23170   Apr. 23, 1986  51 FR 16012. section 28(e) of Securities Exchange Act of 1934.Application of Rule 10b_6 under the Securities          23611  Sept. 11, 1986  51 FR 33248. Exchange Act of 1934 to persons participating in shelf distributions.Industry guides for statistical disclosure by bank      23846   Nov. 25, 1986  51 FR 43599. holding companies.Tender offers rules................................     24296    Apr. 3, 1987  52 FR 11458.Statement of the Commission Regarding Disclosure        25951    Aug. 1, 1988  53 FR 29228. Obligations of Companies Affected by the Government's Defense Contract Procurement Inquiry and Related Issues.Statement of the Commission Regarding Disclosure by     26508    Feb. 1, 1989  54 FR 5603. Issuers of interests in Publicly Offered Commodity Pools.Management's discussion and analysis of financial       26831    May 18, 1989  54 FR 22427. condition and results of operations; certain investment company disclosures.Modifying and confirming the interpretation of          26985   June 28, 1989  54 FR 28814. municipal underwriter securities responsibilities.Liquidation of Index Arbitrage Positions...........     27938   Apr. 30, 1990  55 FR 17949.Ownership reports on trading by officers, directors     29131   Apr. 26, 1991  56 FR 19928. and principal security holders.Limited partnership reorganizations and public          29314   June 17, 1991  56 FR 28986. offerings of limited partnership interests.Registration of Successors to Broker-Dealers and        31661    Jan. 4, 1993  58 FR 11. Investment Advisors.Statement of the Commission regarding disclosure        33741    Mar. 9, 1994  59 FR 12758. obligations of municipal securities issuers and others.Amendment of interpretation regarding substantive       34061    May 12, 1994  59 FR 26109. repossession of collateral.Use of electronic media for delivery purposes......     36345    Oct. 6, 1995  60 FR 53467.Use of electronic media for delivery purposes......     37182     May 9, 1996  61 FR 24651.Statement of the Commission Regarding Use of            39779   Mar. 23, 1998  63 FR 14813 Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore.Confirmation and Affirmation of Securities Trades;      39829    Apr. 6, 1998  63 FR 17947 Matching.Statement of the Commission Regarding Disclosure of     40277   July 29, 1998  63 FR 41404. Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers.Use of electronic media............................     42728   Apr. 28, 2000  65 FR 25856.Commission Guidance on Mini-Tender Offers and           43069   July 24, 2000  65 FR 46588. Limited Partnership Tender Offers.Commission Guidance to Broker-Dealers on the Use of     44238     May 7, 2001  66 FR 22921. Electronic Storage Media Under the Electronic Signatures in Global and National Commerce Act of 2000 With Respect to Rule 17a-4(f).Application of the Electronic Signatures in Global      44424   June 21, 2001  66 FR 33176. and National Commerce Act to Record Retention Requirements Pertaining to Issuers.Calculation of Average Weekly Trading Volume.......    44820A  Sept. 27, 2001  66 FR 49274Commission Guidance on the Scope of Section 28(e)       45194   Dec. 27, 2001  67 FR 8 of the Exchange Act.Commission Guidance on Trading in Security Futures      46101   June 21, 2002  67 FR 43246 Products.Electronic Storage of Broker-Dealer Records........     47806     May 7, 2003  68 FR 25283Books and Records Requirements for Brokers and          47910    May 22, 2003  68 FR 32311 Dealers Under the Securities Exchange Act of 1934.Commission Guidance on Rule 3b-3 and Married Put        48795    November 17,  68 FR 65822 Transactions.                                                           2003Commission Guidance Regarding Management's              48960    December 19,  68 FR 75065 Discussion and Analysis of Financial Condition and                      2003 Results of Operations.Commission Guidance Regarding the Public Company        49708    May 14, 2004  69 FR 29066 Accounting Oversight Board's Auditing and Related Profesional Practice Standard No. 1.Short Sales........................................     50103   July 28, 2004  69 FR 48029Prohibited Conduct in Connection with IPO               51500   April 7, 2005  70 FR 19672 Allocations.Commission Guidance Regarding Accounting for Sales      52885     December 5,  70 FR 73345 of Vaccines and Bioterror Countermeasures to the                        2005 Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile.Commission Guidance Regarding Client Commission         54165   July 24, 2006  71 FR 41978 Practices Under Section 28(e) of the Securities and Exchange Act of 1934.----------------------------------------------------------------------------------------------------------------

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