SECURITIES AND EXCHANGE COMMISSION

DIVISION OF CORPORATION FINANCE--Prerule Stage
Sequence NumberTitleRegulation Identifier Number
4303 Abuses of Form S-8 by Companies Using Consultants to Raise Capital 3235-AG94

DIVISION OF CORPORATION FINANCE--Proposed Rule Stage
Sequence NumberTitleRegulation Identifier Number
4304 Asset-Backed Securities Disclosure 3235-AF74
4305 Company Registration and Regulation of Capital Formation 3235-AG83
4306 Regulation MA 3235-AG84
4307 Definitions for Purposes of the Private Litigation Reform Act of 1995 3235-AG89
4308 Rules Governing the Options Disclosure Document 3235-AG93
4309 Definition of ``Qualified Purchaser'' 3235-AH15
4310 Offshore Internet Offerings 3235-AG87
4311 Exemptions for International Tender and Exchange Offers 3235-AD97
4312 Plain Vanilla Treatment of Election Contest Proxies/Shareholder Communications 3235-AG91

DIVISION OF CORPORATION FINANCE--Final Rule Stage
Sequence NumberTitleRegulation Identifier Number
4313 Phase II Recommendations of Task Force on Disclosure Simplification 3235-AG80
4314 Offshore Press Conferences 3235-AG85
4315 Rulemaking for the EDGAR System 3235-AG96
4316 Streamlining Rule 144 3235-AH13
4317 Expansion of Short-Form Registration to Include Companies With Non-Voting Equity 3235-AG82
4318 Plain English 3235-AG88
4319 Definition of ``Prepared by or on behalf of the issuer'' for Purposes of Determining if an Offering Document is Subject to State Regulation 3235-AH14
4320 Regulation S 3235-AG34
4321 Delayed Offerings For S-1 and SB-2 Companies 3235-AG86
4322 Amendments to Beneficial Ownership Reporting Requirements 3235-AG81

DIVISION OF CORPORATION FINANCE--Completed Actions
Sequence NumberTitleRegulation Identifier Number
4323 Disclosure of Security Ratings 3235-AG20
4324 Safe Harbor for Disclosure of Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments 3235-AG77
4325 Electronic Road Shows 3235-AG92
4326 Disclosure of Legal Proceedings Involving Management, Promoters, Control Persons and Others 3235-AG32
4327 Streamlining and Consolidation of Executive and Director Compensation Disclosure 3235-AG50
4328 Solicitations of Interest Prior to an Initial Public Offering 3235-AG52
4329 Reduction of Holding Period Requirements in Rule 144 3235-AG53
4330 Proxy Communications with Beneficial Owners 3235-AG95

DIVISION OF INVESTMENT MANAGEMENT--Proposed Rule Stage
Sequence NumberTitleRegulation Identifier Number
4331 Investment Advisers: Registration and Annual Supplement Forms 3235-AD21
4332 Registration Fees for Certain Investment Companies 3235-AG73
4333 Electronic Filing of Institutional Investment Manager Reports on Form 13F 3235-AG97
4334 Temporary Exemption for Certain Investment Advisers 3235-AH02
4335 Unit Investment Trusts: Simplification of Registration Statements 3235-AA47
4336 Shareholder Report and Financial Statement Revisions 3235-AG64
4337 Exemption for Subsidiaries Organized to Finance Operations of Domestic or Foreign Companies 3235-AE95
4338 Mergers of Certain Affiliated Investment Companies 3235-AG31
4339 Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons 3235-AG57
4340 Bonding of Officers and Employees of Registered Management Investment Companies 3235-AG58
4341 Delivery of Prospectuses and Annual Reports to Multiple Shareholders at the Same Address 3235-AG98
4342 Amendments to Form N-SAR, Semiannual Report of Registered Investment Companies 3235-AF93
4343 Insurance Products: New Form N-6 for Registration of Separate Accounts Offering Variable Life Insurance Contracts 3235-AG37
4344 PUHCA: Exemption for Certain Acquisitions of Foreign Utility Companies 3235-AF78

DIVISION OF INVESTMENT MANAGEMENT--Final Rule Stage
Sequence NumberTitleRegulation Identifier Number
4345 Rules Implementing Amendments to the Investment Advisers Act of 1940 3235-AH07
4346 Suspension of Form ADV-S 3235-AH08
4347 Registration Form Used by Open-End Management Investment Companies 3235-AE46
4348 Money Market Fund Prospectuses 3235-AG55
4349 Small Entities for Purposes of the Regulatory Flexibility Act as Applied to the Investment Company Act 3235-AG62
4350 Performance Advertising by Unit Investment Trusts 3235-AG63
4351 Investment Company Names 3235-AH11
4352 Technical Revisions to the Rules and Forms Regulating Money Market Funds 3235-AH12
4353 Custody of Investment Company Assets Outside the United States 3235-AE98
4354 Requirements Relating to Codes of Ethics With Respect to Registered Investment Companies; Records To Be Maintained by Investment Advisers 3235-AG27
4355 Exemption of Acquisition of Securities During the Existence of Underwriting Syndicates 3235-AG61
4356 Multiple Class Companies 3235-AG72
4357 Proposed New Disclosure Option for Open-End Management Investment Companies 3235-AH03
4358 Private Investment Companies 3235-AH09
4359 Status of Investment Advisory Programs Under the Investment Company Act of 1940 3235-AG07
4360 Status of Subsidiary Companies Formed To Hold Interests in Foreign Utility Companies 3235-AF79
4361 Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies 3235-AG45

DIVISION OF INVESTMENT MANAGEMENT--Long-Term Actions
Sequence NumberTitleRegulation Identifier Number
4362 Deposits of Securities in Securities Depositories 3235-AG71
4363 Deregistration Form Amendments 3235-AG29

DIVISION OF INVESTMENT MANAGEMENT--Completed Actions
Sequence NumberTitleRegulation Identifier Number
4364 Custody of Investments by a Registered Management Investment Company 3235-AF70
4365 Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations 3235-AF97
4366 Improving Descriptions of Risk by Mutual Funds and Other Investment Companies 3235-AG43
4367 Insurance Products: Rule To Permit Mixed and Shared Funding 3235-AG39
4368 PUHCA: Subsidiaries Performing Services or Construction or Selling Goods 3235-AF87
4369 PUHCA: Exemption for Transactions With Foreign Associates 3235-AG19
4370 Exemption of Acquisition by Registered Public Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy Related and Gas Related Activities 3235-AG46

DIVISION OF MARKET REGULATION--Proposed Rule Stage
Sequence NumberTitleRegulation Identifier Number
4371 Use of Statistical Models for Regulatory Capital Purposes; Market Risk Haircuts for Instruments Subject to Interest Rate Risk 3235-AG18
4372 Net Capital Rule: Customer Protection Rule 3235-AH05
4373 Risk Assessment Recordkeeping and Reporting Requirement 3235-AH06
4374 Limited Purpose Broker-Dealers 3235-AH16
4375 Exemption of Certain Foreign Brokers and Dealers 3235-AH17
4376 Nationally Recognized Statistical Rating Organizations 3235-AG41
4377 Proposed Changes to Definitions of ``Small Business'' or ``Small Organization'' Under the Securities Exchange Act of 1934 3235-AH01

DIVISION OF MARKET REGULATION--Final Rule Stage
Sequence NumberTitleRegulation Identifier Number
4378 Customer Protection Reserves and Custody of Securities 3235-AD60
4379 Net Capital Requirements for Brokers or Dealers 3235-AD79
4380 Definitions Principally Relating to International Transactions 3235-AE15
4381 Amendment to Form BDW and Amendment to Exchange Act Rule 15b6-1 and Amendments to Rules 15b1-1, 15b3-1, 15Ba2-2, 15Ca1-1, and 15Ca2-1 3235-AG69
4382 Amendment to Rule 11Ac1-1 3235-AH00
4383 Amendments to Rules 17a-3 and 17a-4 Under the Securities Exchange Act of 1934 3235-AH04
4384 Proposed Amendments to Transfer Agent Rules 3235-AG24
4385 Lost Securityholders 3235-AG99

DIVISION OF MARKET REGULATION--Long-Term Actions
Sequence NumberTitleRegulation Identifier Number
4386 Large Trader Reporting System 3235-AE42

DIVISION OF MARKET REGULATION--Completed Actions
Sequence NumberTitleRegulation Identifier Number
4387 Stabilizing and Other Activities in Connection With an Offering of Securities 3235-AE11
4388 Regulation M 3235-AF54
4389 Disclosure of Mark-ups: New Rule 15c2-13 3235-AG12
4390 Theoretical Pricing To Determine Haircuts on Options 3235-AG14
4391 Odd-Lot Tender Offers by Issuers 3235-AG78
4392 Securities Transactions Exempt From Transaction Fees 3235-AH10

OFFICES AND OTHER PROGRAMS--Completed Actions
Sequence NumberTitleRegulation Identifier Number
4393 Disclosure of Accounting Policies for Derivative Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk in Certain Instruments 3235-AG42
4394 Rule To Implement Section 10A of the Securities Exchange Act of 1934 3235-AG70