| DIVISION OF CORPORATION FINANCE--Proposed Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4793 | Asset-Backed Securities Disclosure | 3235-AF74 |
| 4794 | Streamlining Rule 144 | 3235-AH13 |
| 4795 | Disclosure of Compensation Plan Information | 3235-AI01 |
| 4796 | Revision of Multijurisidictional Disclosure System | 3235-AH99 |
| 4797 | Updating the Regulation A Offering Circular | 3235-AH87 |
| 4798 | Financial Reporting and Blank Check Companies | 3235-AH88 |
| DIVISION OF CORPORATION FINANCE--Final Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4799 | Integration of Private and Public Offerings | 3235-AG83 |
| 4800 | Addressing Abuses of Form S-8 by Companies Using Consultants To Raise Capital | 3235-AG94 |
| 4801 | Revisions to Rules Governing Options Disclosure Document | 3235-AH31 |
| 4802 | Householding of Proxy and Information Statements | 3235-AH66 |
| DIVISION OF CORPORATION FINANCE--Completed Actions | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4803 | Financial Statements and Periodic Reports for Related Issuer Guarantors | 3235-AH52 |
| 4804 | Further EDGAR System Modernization | 3235-AH79 |
| DIVISION OF INVESTMENT MANAGEMENT--Proposed Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4805 | Books and Records To Be Maintained by Investment Advisers | 3235-AH24 |
| 4806 | Custody or Possession of Funds or Securities of Clients | 3235-AH26 |
| 4807 | Principal Transactions With Investment Advisory Clients | 3235-AH34 |
| 4808 | Shareholder Report and Financial Statement Revisions | 3235-AG64 |
| 4809 | Proposed Amendments in Investment Company Advertising Rules | 3235-AH19 |
| 4810 | Exemption for Subsidiaries Organized To Finance Operations of Domestic or Foreign Companies; Certain Prima Facie Investment Companies | 3235-AE95 |
| 4811 | Deposits of Securities in Securities Depositories | 3235-AG71 |
| 4812 | Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate | 3235-AH57 |
| 4813 | Affiliate Transaction Rule Amendments | 3235-AH80 |
| 4814 | Mergers of Certain Affiliated Investment Companies | 3235-AH81 |
| 4815 | Amendments To Form N-SAR, Semiannual Report of Registered Investment Companies | 3235-AF93 |
| 4816 | Amendments to the Cash Solicitation Rule | 3235-AH33 |
| 4817 | PUHCA: Exemption for Certain Acquisitions of Foreign Utility Companies; Subsidiaries Authorized to Perform Services or Construction or to Sell Goods | 3235-AF78 |
| 4818 | 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 |
| 4819 | Political Contributions by Certain Investment Advisers | 3235-AH72 |
| 4820 | Role of Independent Directors of Investment Companies | 3235-AH75 |
| 4821 | Certain Broker-Dealers Not Deemed To Be Investment Advisers | 3235-AH78 |
| 4822 | Investment Company Names | 3235-AH11 |
| 4823 | Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities | 3235-AH56 |
| 4824 | Mutual Fund After-Tax Returns | 3235-AH77 |
| 4825 | Insurance Products: New Form N-6 for Registration of Separate Accounts Offering Variable Life Insurance Contracts | 3235-AG37 |
| DIVISION OF INVESTMENT MANAGEMENT--Long-Term Actions | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4826 | Mutual Fund Fee Disclosure | 3235-AI00 |
| 4827 | Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies | 3235-AH93 |
| 4828 | Insurance Products: Equity Index Insurance Products Concept Release | 3235-AH23 |
| DIVISION OF INVESTMENT MANAGEMENT--Completed Actions | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4829 | Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV | 3235-AD21 |
| 4830 | Form ADV-W Notice of Withdrawal From Registration as Investment Adviser | 3235-AH27 |
| 4831 | Transactions in Certain Canadian Retirement Savings Accounts | 3235-AH32 |
| 4832 | Custody of Investment Company Assets Outside the United States | 3235-AH55 |
| 4833 | Regulation S-P: Privacy of Consumer Financial Information | 3235-AH90 |
| DIVISION OF MARKET REGULATION--Prerule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4834 | Amendments to the Penny Stock Rules in Light of the Electronic Signatures in Global and National Commerce Act | 3235-AI02 |
| 4835 | Amendments to Rule 15b9-1--Exemption for Certain Exchange Members | 3235-AI03 |
| DIVISION OF MARKET REGULATION--Proposed Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4836 | Net Capital Rule: Customer Protection Rule | 3235-AH05 |
| 4837 | Risk Assessment Recordkeeping and Reporting Requirement | 3235-AH06 |
| 4838 | Exemption of Certain Foreign Brokers and Dealers | 3235-AH17 |
| 4839 | Untimely Announcement of Record Dates | 3235-AH38 |
| 4840 | Purchases of Certain Equity Securities by the Issuers and Others | 3235-AH37 |
| 4841 | Exemption From Exchange Act Section 11(d)(1) for Securities of Foreign Issuers Sold on an Installment Basis | 3235-AH58 |
| 4842 | Net Capital Rule Concept Release | 3235-AH29 |
| 4843 | Concept Release: Short Sales | 3235-AH84 |
| DIVISION OF MARKET REGULATION--Final Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4844 | Net Capital Requirements for Brokers or Dealers | 3235-AD79 |
| 4845 | Market Risk Haircuts for Instruments Subject to Interest Rate Risk | 3235-AG18 |
| 4846 | Amendments to Rules 17a-3 and 17a-4 Under the Securities Exchange Act of 1934 | 3235-AH04 |
| 4847 | Proposed Amendments to Transfer Agent Rules | 3235-AG24 |
| 4848 | Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers | 3235-AH69 |
| 4849 | 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 |
| 4850 | Proposed Amendments to National Market System Plan | 3235-AH92 |
| 4851 | Disclosure of Order Routing and Execution Practices | 3235-AH95 |
| 4852 | The Firm Quote and Trade-Through Disclosure Rules for Options | 3235-AH96 |
| 4853 | Tender and Reorganization Agents | 3235-AH53 |
| 4854 | Net Capital Requirements for Brokers or Dealers--Definition of the Term Nationally Recognized Statistical Rating Organization | 3235-AH28 |
| 4855 | Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document | 3235-AH30 |
| 4856 | Initiation or Resumption of Quotations Without Specified Information | 3235-AH40 |
| 4857 | Destruction of Cancelled Securities Certificates | 3235-AH54 |
| 4858 | Recordkeeping Requirements for Transfer Agents | 3235-AH74 |
| DIVISION OF MARKET REGULATION--Long-Term Actions | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4859 | Amendment to Rule 11Ac1-1 | 3235-AH00 |
| 4860 | Large Trader Reporting System | 3235-AE42 |
| DIVISION OF MARKET REGULATION--Completed Actions | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4861 | Revised Transfer Agent Form and Related Rule | 3235-AH44 |
| 4862 | Extending Unlisted Trading Privileges to a Security That Is the Subject of an Initial Public Offering | 3235-AH85 |
| OFFICES AND OTHER PROGRAMS--Proposed Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4863 | International Accounting Standards | 3235-AH65 |
| 4864 | Management Reports on Internal Controls | 3235-AH97 |
| 4865 | Proposal to Amendment Disclosure Requirements Related to Derivative Financial Instruments and Derivative Commodity Instruments | 3235-AH98 |
| OFFICES AND OTHER PROGRAMS--Final Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4866 | Supplemental Financial Information | 3235-AH86 |
| 4867 | Auditor Independence | 3235-AH91 |
| OFFICES AND OTHER PROGRAMS--Completed Actions | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4868 | Amendments to the Freedom of Information Act, Privacy Act, and Confidential Treatment Rules | 3235-AH71 |
| 4869 | Selective Disclosure and Insider Trading | 3235-AH82 |