| DIVISION OF INVESTMENT MANAGEMENT--Proposed Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4379
| Form ADV Uniform Application for Investment Adviser Registration
| 3235-AD21 |
|
| 4380
| Books and Records To Be Maintained by Investment Advisers
| 3235-AH24 |
|
| 4381
| Custody or Possession of Funds or Securities of Clients
| 3235-AH26 |
|
| 4382
| Form ADV-W Notice of Withdrawal From Registration as Investment Adviser
| 3235-AH27 |
|
| 4383
| Principal Transactions With Investment Advisory Clients
| 3235-AH34 |
|
| 4384
| Shareholder Report and Financial Statement Revisions
| 3235-AG64 |
|
| 4385
| Proposed Amendments in Investment Company Advertising Rules
| 3235-AH19 |
|
| 4386
| Exemption for Subsidiaries Organized To Finance Operations of Domestic or Foreign Companies; Certain Prima Facie Investment Companies
| 3235-AE95 |
|
| 4387
| Deposits of Securities in Securities Depositories
| 3235-AG71 |
|
| 4388
| Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate
| 3235-AH57 |
|
| 4389
| Mutual Fund After-Tax Returns
| 3235-AH77 |
|
| 4390
| Affiliate Transaction Rule Amendments
| 3235-AH80 |
|
| 4391
| Mergers of Certain Affiliated Investment Companies
| 3235-AH81 |
|
| 4392
| Amendments To Form N-SAR, Semiannual Report of Registered Investment Companies
| 3235-AF93 |
|
| 4393
| Amendments to the Cash Solicitation Rule
| 3235-AH33 |
|
| 4394
| PUHCA: Exemption for Certain Acquisitions of Foreign Utility Companies; Subsidiaries Authorized to Perform Services or Construction or to Sell Goods
| 3235-AF78 |
|
| 4395
| Status of Subsidiary Companies Formed To Hold Interests in Foreign Utility Companies
| 3235-AF79 |
| DIVISION OF INVESTMENT MANAGEMENT--Final Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4396
| Political Contributions by Certain Investment Advisers
| 3235-AH72 |
|
| 4397
| Role of Independent Directors of Investment Companies
| 3235-AH75 |
|
| 4398
| Certain Broker-Dealers Not Deemed To Be Investment Advisers
| 3235-AH78 |
|
| 4399
| Investment Company Names
| 3235-AH11 |
|
| 4400
| Transactions in Certain Canadian Retirement Savings Accounts
| 3235-AH32 |
|
| 4401
| Custody of Investment Company Assets Outside the United States; Custody of Investment Company Assets With a Foreign Securities Depository
| 3235-AH55 |
|
| 4402
| Acquisition by Investment Company of Interest in Repurchase Agreement or Refunded Security To Be Treated as Acquisition of Underlying Securities
| 3235-AH56 |
|
| 4403
| Insurance Products: New Form N-6 for Registration of Separate Accounts Offering Variable Life Insurance Contracts
| 3235-AG37 |
|
| 4404
| Regulation P: Privacy of Consumer Financial Information
| 3235-AH90 |
| DIVISION OF MARKET REGULATION--Proposed Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4408
| Net Capital Rule: Customer Protection Rule
| 3235-AH05 |
|
| 4409
| Risk Assessment Recordkeeping and Reporting Requirement
| 3235-AH06 |
|
| 4410
| Exemption of Certain Foreign Brokers and Dealers
| 3235-AH17 |
|
| 4411
| Untimely Announcement of Record Dates
| 3235-AH38 |
|
| 4412
| Automated Submission of Trading Data by Certain Exchange Members, Brokers, and Dealers Under the Securities Exchange Act of 1934
| 3235-AH69 |
|
| 4413
| Purchases of Certain Equity Securities by the Issuers and Others
| 3235-AH37 |
|
| 4414
| Exemption From Exchange Act Section 11(d)(1) for Securities of Foreign Issuers Sold on an Installment Basis
| 3235-AH58 |
|
| 4415
| Net Capital Rule Concept Release
| 3235-AH29 |
|
| 4416
| Concept Release: Short Sales
| 3235-AH84 |
| DIVISION OF MARKET REGULATION--Final Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4417
| Net Capital Requirements for Brokers or Dealers
| 3235-AD79 |
|
| 4418
| Market Risk Haircuts for Instruments Subject to Interest Rate Risk
| 3235-AG18 |
|
| 4419
| Amendments to Rules 17a-3 and 17a-4 Under the Securities Exchange Act of 1934
| 3235-AH04 |
|
| 4420
| Proposed Amendments to Transfer Agent Rules
| 3235-AG24 |
|
| 4421
| Revised Transfer Agent Form and Related Rule
| 3235-AH44 |
|
| 4422
| Exemption of the Securities of the Republic of Portugal Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
| 3235-AH76 |
|
| 4423
| Extending Unlisted Trading Privileges to a Security That Is the Subject of an Initial Public Offer
| 3235-AH85 |
|
| 4424
| Tender and Reorganization Agents
| 3235-AH53 |
|
| 4425
| Net Capital Requirements for Brokers or Dealers -- Definition of the Term Nationally Recognized Statistical Rating Organization
| 3235-AH28 |
|
| 4426
| Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document
| 3235-AH30 |
|
| 4427
| Initiation or Resumption of Quotations Without Specified Information
| 3235-AH40 |
|
| 4428
| Recordkeeping Requirements for Transfer Agents
| 3235-AH74 |