| DIVISION OF INVESTMENT MANAGEMENT--Proposed Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4633
| Form ADV Uniform Application for Investment Adviser Registration
| 3235-AD21 |
|
| 4634
| Books and Records To Be Maintained by Investment Advisers
| 3235-AH24 |
|
| 4635
| Custody or Possession of Funds or Securities of Clients
| 3235-AH26 |
|
| 4636
| Form ADV-W Notice of Withdrawal From Registration as Investment Adviser
| 3235-AH27 |
|
| 4637
| Principal Transactions With Investment Advisory Clients
| 3235-AH34 |
|
| 4638
| Political Contributions by Certain Investment Advisers
| 3235-AH72 |
|
| 4639
| Role of Independent Directors of Investment Companies
| 3235-AH75 |
|
| 4640
| Certain Broker-Dealers Not Deemed To Be Investment Advisers
| 3235-AH78 |
|
| 4641
| Shareholder Report and Financial Statement Revisions
| 3235-AG64 |
|
| 4642
| Proposed Amendments in Investment Company Advertising Rules
| 3235-AH19 |
|
| 4643
| Exemption for Subsidiaries Organized To Finance Operations of Domestic or Foreign Companies; Certain Prima Facie Investment Companies
| 3235-AE95 |
|
| 4644
| Deposits of Securities in Securities Depositories
| 3235-AG71 |
|
| 4645
| Acquisition by Investment Company of Interest in Repurchase Agreement or Refunded Security To Be Treated as Acquisition of Underlying Securities
| 3235-AH56 |
|
| 4646
| Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate
| 3235-AH57 |
|
| 4647
| Mutual Fund After-Tax Returns
| 3235-AH77 |
|
| 4648
| Affiliate Transaction Rule Amendments
| 3235-AH80 |
|
| 4649
| Mergers of Certain Affiliated Investment Companies
| 3235-AH81 |
|
| 4650
| Amendments To Form N-SAR, Semiannual Report of Registered Investment Companies
| 3235-AF93 |
|
| 4651
| Amendments to the Cash Solicitation Rule
| 3235-AH33 |
|
| 4652
| Further EDGAR System Modernization
| 3235-AH79 |
|
| 4653
| PUHCA: Exemption for Certain Acquisitions of Foreign Utility Companies
| 3235-AF78 |
|
| 4654
| Status of Subsidiary Companies Formed To Hold Interests in Foreign Utility Companies
| 3235-AF79 |
| DIVISION OF MARKET REGULATION--Proposed Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4668
| Net Capital Rule: Customer Protection Rule
| 3235-AH05 |
|
| 4669
| Risk Assessment Recordkeeping and Reporting Requirement
| 3235-AH06 |
|
| 4670
| Exemption of Certain Foreign Brokers and Dealers
| 3235-AH17 |
|
| 4671
| Untimely Announcement of Record Dates
| 3235-AH38 |
|
| 4672
| Automated Submission of Trading Data by Certain Exchange Members, Brokers, and Dealers Under the Securities Exchange Act of 1934
| 3235-AH69 |
|
| 4673
| Purchases of Certain Equity Securities by the Issuers and Others
| 3235-AH37 |
|
| 4674
| Exemption From Exchange Act Section 11(d)(1) for Securities of Foreign Issuers Sold on an Installment Basis
| 3235-AH58 |
|
| 4675
| Net Capital Rule Concept Release
| 3235-AH29 |
| DIVISION OF MARKET REGULATION--Final Rule Stage
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4676
| Net Capital Requirements for Brokers or Dealers
| 3235-AD79 |
|
| 4677
| Market Risk Haircuts for Instruments Subject to Interest Rate Risk
| 3235-AG18 |
|
| 4678
| Amendments to Rules 17a-3 and 17a-4 Under the Securities Exchange Act of 1934
| 3235-AH04 |
|
| 4679
| Proposed Amendments to Transfer Agent Rules
| 3235-AG24 |
|
| 4680
| Revised Transfer Agent Form and Related Rule
| 3235-AH44 |
|
| 4681
| Proposed Amendments to the Intermarket Trading System (ITS) Plan To Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities and Eliminate the Unanimous Vote
| 3235-AH49 |
|
| 4682
| 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 |
|
| 4683
| Tender and Reorganization Agents
| 3235-AH53 |
|
| 4684
| Net Capital Requirements for Brokers or Dealers -- Definition of the Term Nationally Recognized Statistical Rating Organization
| 3235-AH28 |
|
| 4685
| Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document
| 3235-AH30 |
|
| 4686
| Initiation or Resumption of Quotations Without Specified Information
| 3235-AH40 |
|
| 4687
| Recordkeeping Requirements for Transfer Agents
| 3235-AH74 |
| DIVISION OF MARKET REGULATION--Completed Actions
|
|---|
|
| Sequence Number | Title | Regulation Identifier Number |
|
| 4691
| Amendment to Form BDW and Amendment to Exchange Act Rule 15b6-1 and Amendments to Rules 15b1-1, 15b3-1, 15Ba2-2, 15 Bc3-1, 15Ca1-1, and 15Cc1-1
| 3235-AG69 |
|
| 4692
| Purchases of Certain Equity Securities by the Issuer and Others
| 3235-AH48 |
|
| 4693
| Broker-Dealer Registration and Reporting
| 3235-AH73 |
|
| 4694
| Proposed Amendments to National Market System Plan
| 3235-AH51 |
|
| 4695
| Year 2000 Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents
| 3235-AH61 |
|
| 4696
| Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
| 3235-AH68 |