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
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.----------------------------------------------------------------------------------------------------------------
Browse Previous |
Browse Next
