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Electronic Code of Federal Regulations

e-CFR Data is current as of November 20, 2014

Title 17Chapter II → Part 241


Title 17: Commodity and Securities Exchanges


PART 241—INTERPRETATIVE RELEASES RELATING TO THE SECURITIES EXCHANGE ACT OF 1934 AND GENERAL RULES AND REGULATIONS THEREUNDER

SubjectRelease No.DateFed. Reg. Vol. and Page
Excerpt from letter relating to section 16(a)21Oct. 1, 193411 FR 10968.
Statement by Commission to correct the erroneous impression created by certain commercial institutions with respect to the necessity for filing reports with the Commission68July 22, 1934      Do.
Letter of General Counsel relating to section 16(a)116Mar. 9, 1935      Do.
Opinion of General Counsel relating to section 16(a)175Apr. 16, 1935      Do.
Excerpt from a general letter relating to section 16(a)227May 14, 1935      Do.
Opinion of the Director of the Division of Forms and Regulations discussing the definition of “parent” as used in various forms under the Securities Act of 1933 and the Securities Exchange Act of 19341131Apr. 7, 1937      Do.
Statement by Commission with respect to the purpose of the disclosure requirements of section 14 and the rules adopted thereunder1350Aug. 13, 193711 FR 10969.
Opinion of Director of the Trading and Exchange Division relating to Rules X-15C1-6 (17 CFR 240.15c1-6) and X-10B-2 (17 CFR 240.10b-2)1411Oct. 7, 1937      Do.
Opinion of Director of the Trading and Exchange Division relating to Rule X-15C1-1(a) (17 CFR, 240.15c1-1a)1462Nov. 15, 1937      Do.
Partial text of letter of February 2, 1938, from the Secretary of the New York Stock Exchange to its members, relating to Rules X-3B-3 (17 CFR 240.3b-3), X-10A-1 (17 CFR 240.10a-1), and X-10A-2 (17 CFR 240.10a-2), together with a letter from Director of Trading and Exchange Division, concurring in the opinions expressed by the Exchange1571Feb. 5, 1938      Do.
Opinion of General Counsel relating to section 16(a)1965Dec. 21, 193811 FR 10970.
Letter of General Counsel concerning the services of former employees of the Commission in connection with matters with which such employees become familiar during their course of employment with the Commission2066May 5, 193911 FR 10971.
Statement of Commission and separate statement by Commissioner Healy on the problem of regulating the “pegging, fixing and stabilizing” of security prices under sections 9(a)(2), 9(a)(6) and 15(c)(1) of the Securities Exchange Act2446Mar. 18, 1940      Do.
Statement of Commission respecting distinctions between the reporting requirements of section 16(a) of the Securities Exchange Act of 1934 and section 30(f) of the Investment Company Act of 19402687Nov. 16, 194011 FR 10981.
Statement of Commission issued in connection with the adoption of Rules X-8C-1 (17 CFR, 240.8c-1) and X-15-C2-1 (17 CFR, 240.15c 2-1) under the Securities Exchange Act of 1934 relating to the hypothecation of customers' securities by members of national securities exchanges and other brokers and dealers2690Nov. 15, 194011 FR 10982.
Opinion of General Counsel relating to paragraph (b)(2)(ii) of Rules X-8C-1 (17 CFR, 240.8c-1) and X-15C2-1 (17 CFR, 240.15C 2-1) under the Securities Exchange Act2822Mar. 17, 194111 FR 10983.
Partial text of letter sent by Director of the Trading and Exchange Division to certain securities dealers who had failed to keep records of the times of their securities transactions, as required by Rules X-17A-3 (17 CFR, 240.17a-3) and X-17A-4 (17 CFR, 240.17a-4) under the Securities Exchange Act3040Oct. 13, 194111 FR 10984.
Opinion of General Counsel relating to the anti-manipulation provisions of sections 9(a)(2), 10(b) and 15(c)(1) of the Securities Exchange Act of 1934, as well as section 17(a) of the Securities Act of 19333056Oct. 27, 1941      Do.
Opinion of Chief Counsel to the Corporation Finance Division relating to when-issued trading of securities the issuance of which has already been approved by a Federal district court under Chapter X of the Bankruptcy Act3069Jan. 4, 194511 FR 10985.
Statement of Commission policy with respect to the acceleration of the effective date of a registration statement3085Dec. 6, 1941      Do.
Letter of Director of the Corporation Finance Division relating to sections 14 and 183380Feb. 2, 1943      Do.
Excerpts from letters of Director of the Corporation Finance Division relating to section 14 and Schedule 14A under Regulation X-14 (17 CFR, 240.14a-9)3385Feb. 17, 1943      Do.
Opinion of Director of the Trading and Exchange Division relating to the anti-manipulation provisions of sections 9(a)(2), 10(b), and 15(c)(1) of the Securities Exchange Act of 1934, and 17(a) of the Securities Act of 19333505Nov. 16, 194311 FR 10986.
Opinion of Director of the Trading and Exchange Division relating to the anti-manipulation provisions of sections 9(a)(2), 10(b), and 15(c)(1) of the Securities Exchange Act of 1934, and 17(a) of the Securities Act of 19333506Nov. 16, 194311 FR 10987.
Statement of the Commission relating to the anti-fraud provisions of section 17(a) of the Securities Act of 1933, and sections 10(b) and 15(c)(1) of the Securities Exchange Act of 19343572June 1, 1944      Do.
Letter of Director of the Corporation Finance Division relating to section 20 and to Rule X-14A-7 (17 CFR, 240.14a-7) under the Securities Exchange Act of 19343638Jan. 3, 194511 FR 10988.
Statement by Commission relating to section 3(a)(1)3639Jan. 4, 1945      Do.
Statement of the Commission in connection with the adoption of certain amendments to Form 3-M, one of the forms for registration of over-the-counter brokers or dealers under section 15(b) of the Securities Exchange Act of 1934, and to Rule X-15B-2 (17 CFR, 240.15b-2), the rule governing the filing of supplemental statements to such applications3674Apr. 9, 1945      Do.
Statement by Commission relating to the adoption of Rule X-13A-6B (17 CFR, 240.13a-6b)3803Mar. 28, 1946      Do.
Statement of the Commission in connection with notice of opportunity to submit proposals for regulations or legislation regarding the stabilization of market prices by persons offering securities to the public4163Sept. 16, 194813 FR 4163.
Statement of the Commission accompanying November 5, 1948, revision of §240.14 of this chapter (Regulation X-14)4185Nov. 5, 194813 FR 6680.
Opinion of the General Counsel, relating to the use of “hedge clauses” by brokers, dealers, investment advisers, and others4593Apr. 18, 195116 FR 3387.
Statement of the Commission regarding public offerings of investment contracts providing for the acquisition, sale or servicing of mortgages or deeds of trust5633Jan. 31, 195823 FR 841.
Statement of the Commission as to the applicability of the Federal securities laws to real estate investment trusts6419Nov. 18, 196025 FR 12178.
Statement of the Commission concerning standards of conduct for registered broker-dealers in the distribution of unregistered securities6721Feb. 2, 196227 FR 1251.
Opinion of Philip A. Loomis, Jr., Director of Division of Trading and Exchanges of the Commission, on the application of section 11(d)(1), Securities Exchange Act of 1934, to broker-dealers engaged in “equity funding”, “secured funding”, and “life funding”6726Feb. 8, 196227 FR 1415.
Statement of the Commission cautioning broker-dealers about violating the anti-fraud provisions of the Federal securities laws when making short sales in which they delay effecting the covering transaction to acquire the security6778Apr. 16, 196227 FR 3991.
Statement of Commission showing circumstances in 7 cases where profits in real estate transactions were not earned at time transactions were recorded but that the sales were designed to create the illusion of profits or value as a basis for the sale of securities6982Dec. 28, 196228 FR 276.
Answer of the Commission to four questions relating to the solicitation of proxies7078May 15, 196328 FR 5133.
Statement by the Commission on the maintenance of rec-ords of transactions by brokers-dealers as underwriters of investment company shares according to Rule 17a-3 under section 17(a) of the Securities Exchange Act of 1934 (17 CFR 240.17a-3)7169Nov. 13, 196328 FR 12617.
Opinion of the General Counsel relating to participation by broker-dealer firms in proxy solicitations7208Jan. 7, 196429 FR 341.
Statement of the Commission re applicability of Securities Act of 1933 to offerings of securities outside the U.S. and re applicability of section 15(a) of the Securities Exchange Act of 1934 to foreign underwriters as part of program of Presidential Task Force to reduce U.S. balance of payments deficit and protect U.S. gold reserves7366July 9, 196429 FR 9828.
Summary and interpretation by the Commission of amendments to the Securities Act of 1933 and Securities Exchange Act of 1934 as contained in the Securities Acts Amendments of 19647425Sept. 14, 196429 FR 13455.
Opinion and statement of the Commission in regard to proper reporting of deferred income taxes arising from installment sales7763Dec. 7, 196530 FR 15420.
Statement of the Commission to clarify the meaning of “beneficial ownership of securities” as relates to beneficial ownership of securities held by family members7793Jan. 19, 196631 FR 1005.
Program by the Commission which it requests that issuing companies follow in order to expedite the processing of proxy material7805Jan. 26, 196631 FR 2475.
Statement of the Commission setting the date of May 1, 1966 after which filings must reflect beneficial ownership of securities held by family members7824Feb. 14, 196631 FR 3175.
Policy statement by the Director of the Division of Trading and Markets re consummation of securities transactions by brokers-dealers when trading is suspended7920July 19, 196631 FR 10076.
Opinions of the Commission on the acceleration of the effective date of a registration statement under the Securities Act of 1933 and on the clearance of proxy material such as convertible preferred shares considered residual securities in determining earnings per share applicable to common stock8336June 18, 196833 FR 10086.
Statement of the Commission to alert prospective borrowers obtaining loans for real estate development about recent fraudulent schemes8351July 5, 196833 FR 10134.
Statement of the Commission warning broker-dealers to be prompt in the consummation of securities transactions and about the penalty for not so doing8363July 29, 196833 FR 11150.
Statement of the Commission re broker-dealer registration of insurance companies acting as agents for distribution of “variable annuities” and application of regulations for such under the Securities Exchange Act of 19348389Aug. 29, 196833 FR 13005.
Statement of the Commission reminding broker-dealer managements to establish and maintain an effective supervisory system and failure to do so will result in disciplinary action against the firm and responsible individuals8404Sept. 11, 196833 FR 14286.
Statement of the Commission clarifying that industrial revenue bonds sold according to Rule 131 (17 CFR 230.131) and Rule 3b-5 (17 CFR 240.3b-5) are not affected if acquired and paid for by the underwriters on or before December 31, 19688409Sept. 16, 196833 FR 14545.
Statement of the Commission cautioning brokers and dealers with respect to effecting transactions of “spin offs” and “shell corporations”8638July 2, 196934 FR 11581.
Commission's statement about publicity concerning the petroleum discoveries on the North Slope of Alaska8728Oct. 20, 196934 FR 17433.
Commission's warning statement re sale and distribution of whisky warehouse receipts8733Nov. 4, 196934 FR 18160.
Letter by Philip A. Loomis, Jr., General Counsel for the Commission, explaining obligations of mutual fund managements and brokers with respect to commissions on portfolio brokerage of mutual funds8746Nov. 10, 196934 FR 18543.
Publication of the Commission's guidelines re applicability of Federal securities laws to offer and sale outside the U.S. of shares of registered open-end investment companies8907June 23, 197035 FR 12103.
Statement of the Commission reminding reporting companies of obligation re Commission's rules to file reports on a timely basis8995Oct. 15, 197035 FR 16733.
Commission's statement re exemption of certain industrial revenue bonds from registration, etc. requirements in view of amendment of Securities Act of 1933 and of Securities Exchange Act of 1934 by “section 401” (Pub. L. 91-1037)9016Nov. 6, 197035 FR 17990.
Commission's views relating to important questions re the accounting by registered investment companies for investment securities in their financial statements and in the periodic computations of net asset value for the purpose of pricing their shares9049Dec. 23, 197035 FR 19986.
Publication of the Commission's procedure to be followed if requests are to be met for no action or interpretative letters and responses thereto to be made available for public use9065Jan. 25, 197136 FR 2600.
Interpretations of the Commission in regard to requirements for registration statements and reports concerning information requested re description of business, summary of operations, and financial statements9083Feb. 18, 197136 FR 4483.
Statement of the Commission warning the public about novel unsecured debt securities which appear to invite unwarranted comparisons with bank savings accounts, savings and loan association accounts, and bank time deposit certificates9148Apr. 12, 197136 FR 8239.
Statement of the Commission prohibiting the reduction of fixed charges by amounts representing interest or investment income or gains on retirement of debt in registration statements or reports filed with the Commission9210June 16, 197136 FR 11918.
Statement of the Commission calling attention to requirements in its forms and rules under the Securities Act of 1933 and the Securities and Exchange Act of 1934 for disclosure of legal proceedings and descriptions of registrant's business as these requirements relate to material matters involving the environment and civil rights9252July 19, 197136 FR 13988.
Commission's policy requiring the inclusion in financial statements of the ratio of earnings to fixed charges for the total enterprise in equivalent prominence with the ratio for the registrant or registrant and consolidated subsidiaries9279Aug. 10, 197136 FR 15527.
Policy of Commission's Division of Corporation Finance to defer processing registration statements and amendments filed under the Securities Act of 1933 by issuers whose reports are delinquent until such reports are brought up to date9345Sept. 27, 197136 FR 19362.
Commission's statement concerning applicability of securities laws to multilevel distributorships and other business opportunities offered through pyramid sales plans9387Nov. 30, 197136 FR 23289.
Statement by the Commission regarding payment of solicitation fees in tender offers9395Nov. 24, 197136 FR 23359.
Commission's statement concerning offering and sale of securities in non-public offerings and applicability of antifraud provisions of securities acts9444Jan. 14, 197237 FR 600.
Statement of the Commission's views on the present status of the securities markets and the direction in which the public interest requires that they evolve in the futureMar. 14, 197237 FR 5286
Commission endorses the establishment by all publicly held companies of audit committees composed of outside directors9548Apr. 5, 197237 FR 6850.
Applicability of Commission's policy statement on the future structure of securities markets to selection of brokers and payment of commissions by institutional managers9598May 18, 197237 FR 9988.
Commission's statement and policy on misleading pro rata stock distributions to shareholders9618June 9, 197237 FR 11559.
Commission's guidelines on independence of certifying accountants; example cases and Commission's conclusions9662June 19, 197237 FR 14294.
Commission's decisions on recommendations of advisory committee regarding commencement of enforcement proceedings and termination of staff investigations9796Mar. 1, 197338 FR 5457.
Commission's interpretation of risk-sharing test in pooling-of-interest accounting9798Oct. 5, 197237 FR 20937.
Commission's statement that short-selling securities prior to offering date is a possible violation of antifraud and antimanipulative laws9824Oct. 25, 197237 FR 22796.
Commission reaffirms proper accounting treatment to be followed by a lessee when the lessor is created as a conduit for debt financing9867Dec. 13, 197237 FR 26516.
Commission's interpretations of a rule (15c3-3) dealing with customer protection by securities brokers and dealers9922Jan. 18, 197338 FR 1737.
Amendment of previous interpretation (AS-130) of risk-sharing test in pooling of interest accounting9927Jan. 18, 197338 FR 1734.
Commission clarifies effective dates of Rule 15c3-39946Feb. 5, 197338 FR 3313.
Commission's designation of control locations for foreign securities9969Feb. 5, 1973      Do.
Commission's findings on disclosure of projections of future economic performance by issuers of publicly traded securities9984Mar. 19, 197338 FR 7220.
Commission's views on reporting cash flow and other related data10041Apr. 11, 197338 FR 9158.
Commission's statement on obligations of underwriters with respect to discretionary accounts10181June 1, 197338 FR 17201.
Commission's opinion on net capital treatment of securities position, obligation and transactions in suspended securities10209June 8, 197338 FR 16774.
Commission expresses concern with failure of issuers to timely and properly file periodic and current report10214July 10, 197338 FR 18366.
Commission's statement and policy on application of minimum net capital requirement10304Aug. 3, 197338 FR 20820.
Commission's conclusions as to certain problem relating to the effect of treasury stock transactions on accounting for business combinations10363Sept. 10, 197338 FR 24635.
Commission's interpretation of market identification requirement of rule for reporting of market information on transactions in listed securities10388Sept. 20, 197338 FR 26358.
Commission's response to the New York Stock Exchange's proposed interpretation of “affiliated person”10391Sept. 25, 197338 FR 26716.
Commission request for comments on Accounting Series Release No. 4610422Oct. 17, 197338 FR 28819.
Commission's guidelines for control locations for foreign securities10429Oct. 23, 197338 FR 29217.
Commission's views and comments relating to quarterly reporting on Form 10-Q and Form 10-QSB10547Jan. 7, 197439 FR 1261.
Statement by the Commission on disclosure of the impact of possible fuel shortages on the operations of issuers10569Jan. 10, 197439 FR 1511.
Commission's statement on disclosure of inventory profits reflected in income in periods of rising prices10580Jan. 17, 197439 FR 2085.
Commission decision on trading in securities issued or guaranteed by the governments of Bulgaria, Hungary, and Romania10610Jan. 31, 197439 FR 3932.
Commission views on disclosure of illegal campaign contributions10673Mar. 11, 197439 FR 10237.
Commission's statement of policy and interpretations10363AApr. 12, 197439 FR 14588.
Commission's statement regarding maintenance of current books and records by brokers and dealers10756May 9, 197439 FR 16440.
Commission's practices on reporting of natural gas reserve estimates10857June 14, 197439 FR 27556.
Commission's views on business combinations involving open-end investment companies10898July 3, 197439 FR 26719.
Commission's guidelines for filings related to extractive reserves and natural gas supplies10899July 3, 197439 FR 26720.
Commission's guidelines for registration and reporting10961Aug. 14, 197439 FR 31894.
Commission's requirements for financial statements; limited partnerships in annual reports11029Sept. 27, 197439 FR 36578.
Commission's examples of unusual risks and uncertainties11150Dec. 23, 199440 FR 2678.
Letters of the Division of Corporation Finance with respect to certain proposed arrangements for the sale of gold bullion11156Dec. 26, 199440 FR 1695.
Commission's statement on disclosure problems relating to LIFO accounting11198Jan. 23, 197540 FR 6483.
Commission's guidelines on Accounting Series Release No. 14811470June 13, 197540 FR 27441.
Brokers and dealers effecting transactions in municipal securities11854Nov. 20, 197540 FR 57786.
Financial responsibility requirements of brokers and dealers11969Jan 2, 197641 FR 5277.
Brokers and dealers effecting transactions in municipal securities1202141 FR 3469.
Interpretation of certain terms in item 10 of Form BD12078Feb. 17, 197641 FR 7089.
Brokers and dealers effecting transactions in municipal securities12288Apr. 15, 197641 FR 15842.
Standards for disclosure; oil and gas reserve12435May 12, 197641 FR 21764.
Brokers and dealers effecting transactions in municipal securities12496June 11, 197641 FR 23668.
Statement of informal proposals for the rendering of staff advice with respect to shareholder proposals12599July 20, 197641 FR 29989.
Guides for statistical disclosure by bank holding companies12748Aug. 31, 197641 FR 39007.
Uniform net capital rule12766Sept. 14, 197641 FR 39014.
Uniform net capital rule12927Oct. 27, 197641 FR 48335.
Brokers and dealers effecting transactions in municipal securities12932Oct. 27, 197641 FR 48336.
Brokers and dealers effecting transactions in municipal securities13108Jan. 4, 197742 FR 759.
Brokers and dealers effecting transactions in municipal securities13362Mar. 21, 197742 FR 15310.
Rescission of certain accounting series releases13630June 15, 197742 FR 33282.
Guideline regarding the preparation of integrated reports to shareholders13639June 17, 197742 FR 31780.
Industry segment determination14523Mar. 3, 197843 FR 9599.
Securities transactions by members of national securities exchanges14563Mar. 14, 197843 FR 11542.
Application of registration requirements to certain tender offers and the application of tender offer provisions to certain cash-option mergers14699Apr. 24, 197843 FR 18163.
Reporting by certain institutional investors of beneficial ownership of certain equity securities which as of the end of any month exceeds ten percent of the class14830June 13, 197843 FR 25420.
Division of investment management's interpretative positions relating to Rule 13f-1 and related Form 13F15292Nov. 2, 197843 FR 52697.
Guides for disclosure of projections of future economic performance15305Nov. 7, 197843 FR 53246.
Commission's statement regarding disclosure of impact of Wage and Price Standards for 1979 on the operations of issuers15371Nov. 29, 197843 FR 57596.
Statement of the views of the Commission's Division of Corporation Finance with respect to disclosure in proxy statements containing certain sale of assets transactions15572Feb. 15, 197944 FR 11541.
Short sales; interpretation of rule16150Aug. 30, 197944 FR 53159.
Shareholder communications, shareholder participation in the corporate electoral process and corporate governance generally16163Sept. 6, 197944 FR 53426.
Environmental disclosure requirements16224Sept. 27, 197944 FR 56924.
Pooled income funds16478Jan. 10, 198045 FR 3258.
Tender offer rules16623Mar. 5, 198045 FR 15521.
Proxy rules16833May 23, 198045 FR 36374.
Clearing agencies16900June 17, 198045 FR 41920.
Guides for statistical disclosure by bank holding companies16961July 8, 198045 FR 47142.
Transfer agents17111Sept. 2, 198045 FR 59840.
Amendments to guides17114Sept. 2, 198045 FR 63647.
Extension date of clearing agencies for form filing17231Oct. 20, 198045 FR 70857.
Beneficial ownership rules17354Dec. 4, 198045 FR 81559.
Distribution of proxy materials to beneficial shareowners17424Jan. 7, 198146 FR 3204.
Foreign Corrupt Practices Act of 197717500Jan. 29, 198146 FR 11544.
Analysis of results of 1980 proxy statement disclosure monitoring program17518Feb. 5, 198146 FR 11954.
Option and option-related transactions during underwritten offerings17609Mar. 6, 198146 FR 16670.
Going private transactions under rule 13e-317719Apr. 13, 198146 FR 22571.
Insider reporting and trading18114Sept. 23, 198146 FR 48147.
Retail repurchase agreements by banks and savings and loan associations18122Sept. 25, 198146 FR 48637.
Analysis of results of 1981 proxy statement disclosure monitoring program18532Mar. 3, 198247 FR 10794.
Rescission of guides and redesignation of industry guides (effective May 24, 1982)18525Mar. 3, 198247 FR 11481.
Amendments to guides19337Dec. 15, 198247 FR 57911.
Revision of financial statement requirements and industry guide disclosure for bank holding companies.19570Mar. 7, 198348 FR 11104.
Commission's views on Colema Realty Corp. v. R. D. Bibow, et al19756May 11, 198348 FR 23173.
Revision of industry guide disclosures for bank holding companies20068Aug. 11, 198348 FR 37609.
Public statements by corporate representatives20560Jan. 13, 198449 FR 2468.
Research reports21332Sept. 19, 198449 FR 37574.
Commission views on computer brokerage systems21383Oct. 9, 198449 FR 40159.
Guide for disclosures concerning reserves for unpaid claims and claim adjustment expenses of property-casualty underwriters21521Nov. 27, 198449 FR 47601.
Brokerage and research services concerning scope of section 28(e) of Securities Exchange Act of 193423170Apr. 23, 198651 FR 16012.
Application of Rule 10b—6 under the Securities Exchange Act of 1934 to persons participating in shelf distributions23611Sept. 11, 198651 FR 33248.
Industry guides for statistical disclosure by bank holding companies23846Nov. 25, 198651 FR 43599.
Tender offers rules24296Apr. 3, 198752 FR 11458.
Statement of the Commission Regarding Disclosure Obligations of Companies Affected by the Government's Defense Contract Procurement Inquiry and Related Issues25951Aug. 1, 198853 FR 29228.
Statement of the Commission Regarding Disclosure by Issuers of interests in Publicly Offered Commodity Pools26508Feb. 1, 198954 FR 5603.
Management's discussion and analysis of financial condition and results of operations; certain investment company disclosures26831May 18, 198954 FR 22427.
Modifying and confirming the interpretation of municipal underwriter securities responsibilities26985June 28, 198954 FR 28814.
Liquidation of Index Arbitrage Positions27938Apr. 30, 199055 FR 17949.
Ownership reports on trading by officers, directors and principal security holders29131Apr. 26, 199156 FR 19928.
Limited partnership reorganizations and public offerings of limited partnership interests29314June 17, 199156 FR 28986.
Registration of Successors to Broker-Dealers and Investment Advisors31661Jan. 4, 199358 FR 11.
Statement of the Commission regarding disclosure obligations of municipal securities issuers and others33741Mar. 9, 199459 FR 12758.
Amendment of interpretation regarding substantive repossession of collateral34061May 12, 199459 FR 26109.
Use of electronic media for delivery purposes36345Oct. 6, 199560 FR 53467.
Use of electronic media for delivery purposes37182May 9, 199661 FR 24651.
Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore39779Mar. 23, 199863 FR 14813
Confirmation and Affirmation of Securities Trades; Matching39829Apr. 6, 199863 FR 17947
Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers40277July 29, 199863 FR 41404.
Use of electronic media42728Apr. 28, 200065 FR 25856.
Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers43069July 24, 200065 FR 46588.
Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media Under the Electronic Signatures in Global and National Commerce Act of 2000 With Respect to Rule 17a-4(f)44238May 7, 200166 FR 22921.
Application of the Electronic Signatures in Global and National Commerce Act to Record Retention Requirements Pertaining to Issuers44424June 21, 200166 FR 33176.
Calculation of Average Weekly Trading Volume44820ASept. 27, 200166 FR 49274
Commission Guidance on the Scope of Section 28(e) of the Exchange Act45194Dec. 27, 200167 FR 8
Commission Guidance on Trading in Security Futures Products46101June 21, 200267 FR 43246
Electronic Storage of Broker-Dealer Records47806May 7, 200368 FR 25283
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 193447910May 22, 200368 FR 32311
Commission Guidance on Rule 3b-3 and Married Put Transactions48795November 17, 200368 FR 65822
Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations48960December 19, 200368 FR 75065
Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Profesional Practice Standard No. 149708May 14, 200469 FR 29066
Short Sales50103July 28, 200469 FR 48029
Prohibited Conduct in Connection with IPO Allocations51500April 7, 200570 FR 19677
Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile52885December 5, 200570 FR 73345
Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities and Exchange Act of 193454165July 18, 200671 FR 41996
Commission Guidance Regarding Management's Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities and Exchange Act of 193455929June 20, 200772 FR 35343
Commission Guidance Regarding and Amendment to the Rules Relating to Organization and Program Management Concerning Proposed Rule Changes Filed by Self-Regulatory Organizations58024June 25, 200873 FR 40152
Commission Guidance on the Use of Company Web Sites58288August 1, 200873 FR 45874
Commission Guidance and Revisions to the Cross-Border Tender Offer, Exchange Offer, Rights Offerings, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions58597September 19, 200873 FR 60094
Regulation SHO Amendments58775October 14, 200873 FR 61706
Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification60519AAugust 25, 200974 FR 42773
Commission Guidance Regarding Disclosure Related to Climate Change61469February 2, 201075 FR 62973
Amendment to Municipal Securities Disclosure62184AMay 26, 201075 FR 33156
Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis62934September 17, 201075 FR 59897
Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related to Brokers and Dealers62991September 24, 201075 FR 60617
Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security67448July 17, 201277 FR 42988
Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping67453July 18, 201277 FR 48362
Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities34-72472June 25, 201479 FR 47371


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