| DIVISION OF CORPORATION FINANCE--Proposed Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4488
|
Asset-Backed Securities Disclosure | 3235-AF74 |
|
| 4489
|
Company Registration and Regulation of Capital Formation | 3235-AG83 |
|
| 4490
|
Amendments to the Shareholder Proposal Rule | 3235-AH20 |
|
| 4491
|
Regulation of Extraordinary Corporate Transactions | 3235-AG84 |
|
| 4492
|
Definitions for Purposes of the Private Litigation Reform Act of 1995 | 3235-AG89 |
|
| 4493
|
Addressing Abuses of Form S-8 by Companies Using Consultants to Raise Capital | 3235-AG94 |
|
| 4494
|
Definition of ``Qualified Purchaser'' | 3235-AH15 |
|
| 4495
|
Increase in Dollar Amounts in Rule 701, the Exemption for Offers and Sales by Certain Compensatory Benefit Plans | 3235-AH21 |
|
| 4496
|
Exemptions for International Tender and Exchange Offers | 3235-AD97 |
|
| 4497
|
Plain Vanilla Treatment of Election Contest Proxies/Shareholder Communications | 3235-AG91 |
| DIVISION OF INVESTMENT MANAGEMENT--Proposed Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4510
|
Investment Advisers: Registration and Annual Supplement Forms | 3235-AD21 |
|
| 4511
|
Temporary Exemption for Certain Investment Advisers | 3235-AH02 |
|
| 4512
|
Multi-State Investment Advisers Exemption; Accommodation Clients | 3235-AH22 |
|
| 4513
|
Exemption from the Compensation Prohibition of Section 205(a)(1) for Investment Advisers | 3235-AH25 |
|
| 4514
|
Custody or Possession of Funds or Securities of Clients | 3235-AH26 |
|
| 4515
|
Form ADV-W Notice of Withdrawal From Registration as Investment Adviser | 3235-AH27 |
|
| 4516
|
Unit Investment Trusts: Simplification of Registration Statements | 3235-AA47 |
|
| 4517
|
Shareholder Report and Financial Statement Revisions | 3235-AG64 |
|
| 4518
|
Exemption for Subsidiaries Organized To Finance Operations of Domestic or Foreign Companies | 3235-AE95 |
|
| 4519
|
Mergers of Certain Affiliated Investment Companies | 3235-AG31 |
|
| 4520
|
Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons | 3235-AG57 |
|
| 4521
|
Bonding of Officers and Employees of Registered Management Investment Companies | 3235-AG58 |
|
| 4522
|
Delivery of Prospectuses and Annual Reports to Multiple Shareholders at the Same Address | 3235-AG98 |
|
| 4523
|
Proposed Amendments in Investment Company Advertising Rules | 3235-AH19 |
|
| 4524
|
Amendments to Form N-SAR, Semiannual Report of Registered Investment Companies | 3235-AF93 |
|
| 4525
|
Insurance Products: New Form N-6 for Registration of Separate Accounts Offering Variable Life Insurance Contracts | 3235-AG37 |
|
| 4526
|
PUHCA: Exemption for Certain Acquisitions of Foreign Utility Companies | 3235-AF78 |
| DIVISION OF INVESTMENT MANAGEMENT--Final Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4527
|
Electronic Filing of Institutional Investment Manager Reports on Form 13F | 3235-AG97 |
|
| 4528
|
Registration Form Used by Open-End Management Investment Companies | 3235-AE46 |
|
| 4529
|
Small Entities for Purposes of the Regulatory Flexibility Act as Applied to the Investment Company Act | 3235-AG62 |
|
| 4530
|
Performance Advertising by Unit Investment Trusts | 3235-AG63 |
|
| 4531
|
Investment Company Names | 3235-AH11 |
|
| 4532
|
Technical Revisions to the Rules and Forms Regulating Money Market Funds | 3235-AH12 |
|
| 4533
|
Requirements Relating to Codes of Ethics With Respect to Registered Investment Companies; Records To Be Maintained by Investment Advisers | 3235-AG27 |
|
| 4534
|
Proposed New Disclosure Option for Open-End Management Investment Companies | 3235-AH03 |
|
| 4535
|
Status of Subsidiary Companies Formed To Hold Interests in Foreign Utility Companies | 3235-AF79 |
|
| 4536
|
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--Completed Actions
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4541
|
Registration Fees for Certain Investment Companies | 3235-AG73 |
|
| 4542
|
Rules Implementing Amendments to the Investment Advisers Act of 1940 | 3235-AH07 |
|
| 4543
|
Elimination of Form ADV-S | 3235-AH08 |
|
| 4544
|
Money Market Fund Prospectus | 3235-AG55 |
|
| 4545
|
Custody of Investment Company Assets Outside the United States | 3235-AE98 |
|
| 4546
|
Exemption of Acquisition of Securities During the Existence of Underwriting Syndicates | 3235-AG61 |
|
| 4547
|
Multiple Class Companies | 3235-AG72 |
|
| 4548
|
Privately Offered Investment Companies | 3235-AH09 |
|
| 4549
|
Status of Investment Advisory Programs Under the Investment Company Act of 1940 | 3235-AG07 |
| DIVISION OF MARKET REGULATION--Final Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4556
|
Net Capital Requirements for Brokers or Dealers | 3235-AD79 |
|
| 4557
|
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 |
|
| 4558
|
Amendment to Rule 11Ac1-1 | 3235-AH00 |
|
| 4559
|
Amendments to Rules 17a-3 and 17a-4 Under the Securities Exchange Act of 1934 | 3235-AH04 |
|
| 4560
|
Proposed Amendments to Transfer Agent Rules | 3235-AG24 |
|
| 4561
|
Proposed Changes to Definitions of ``Small Business'' or ``Small Organization'' Under the Securities Exchange Act of 1934 | 3235-AH01 |