17 CFR Part 241 - INTERPRETATIVE RELEASES RELATING TO THE SECURITIES EXCHANGE ACT OF 1934 AND GENERAL RULES AND REGULATIONS THEREUNDER


Subject Release No. Date Fed. Reg. Vol. and Page
Excerpt from letter relating to section 16(a) 21 Oct. 1, 1934 11 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 Commission 68 July 22, 1934 Do.
Letter of General Counsel relating to section 16(a) 116 Mar. 9, 1935 Do.
Opinion of General Counsel relating to section 16(a) 175 Apr. 16, 1935 Do.
Excerpt from a general letter relating to section 16(a) 227 May 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 1934 1131 Apr. 7, 1937 Do.
Statement by Commission with respect to the purpose of the disclosure requirements of section 14 and the rules adopted thereunder 1350 Aug. 13, 1937 11 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) 1411 Oct. 7, 1937 Do.
Opinion of Director of the Trading and Exchange Division relating to Rule X-15C1-1(a) (17 CFR, 240.15c1-1a) 1462 Nov. 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 Exchange 1571 Feb. 5, 1938 Do.
Opinion of General Counsel relating to section 16(a) 1965 Dec. 21, 1938 11 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 Commission 2066 May 5, 1939 11 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 Act 2446 Mar. 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 1940 2687 Nov. 16, 1940 11 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 dealers 2690 Nov. 15, 1940 11 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 Act 2822 Mar. 17, 1941 11 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 Act 3040 Oct. 13, 1941 11 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 1933 3056 Oct. 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 Act 3069 Jan. 4, 1945 11 FR 10985.
Statement of Commission policy with respect to the acceleration of the effective date of a registration statement 3085 Dec. 6, 1941 Do.
Letter of Director of the Corporation Finance Division relating to sections 14 and 18 3380 Feb. 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) 3385 Feb. 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 1933 3505 Nov. 16, 1943 11 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 1933 3506 Nov. 16, 1943 11 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 1934 3572 June 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 1934 3638 Jan. 3, 1945 11 FR 10988.
Statement by Commission relating to section 3(a)(1) 3639 Jan. 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 applications 3674 Apr. 9, 1945 Do.
Statement by Commission relating to the adoption of Rule X-13A-6B (17 CFR, 240.13a-6b) 3803 Mar. 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 public 4163 Sept. 16, 1948 13 FR 4163.
Statement of the Commission accompanying November 5, 1948, revision of § 240.14 of this chapter (Regulation X-14) 4185 Nov. 5, 1948 13 FR 6680.
Opinion of the General Counsel, relating to the use of “hedge clauses” by brokers, dealers, investment advisers, and others 4593 Apr. 18, 1951 16 FR 3387.
Statement of the Commission regarding public offerings of investment contracts providing for the acquisition, sale or servicing of mortgages or deeds of trust 5633 Jan. 31, 1958 23 FR 841.
Statement of the Commission as to the applicability of the Federal securities laws to real estate investment trusts 6419 Nov. 18, 1960 25 FR 12178.
Statement of the Commission concerning standards of conduct for registered broker-dealers in the distribution of unregistered securities 6721 Feb. 2, 1962 27 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” 6726 Feb. 8, 1962 27 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 security 6778 Apr. 16, 1962 27 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 securities 6982 Dec. 28, 1962 28 FR 276.
Answer of the Commission to four questions relating to the solicitation of proxies 7078 May 15, 1963 28 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) 7169 Nov. 13, 1963 28 FR 12617.
Opinion of the General Counsel relating to participation by broker-dealer firms in proxy solicitations 7208 Jan. 7, 1964 29 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 reserves 7366 July 9, 1964 29 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 1964 7425 Sept. 14, 1964 29 FR 13455.
Opinion and statement of the Commission in regard to proper reporting of deferred income taxes arising from installment sales 7763 Dec. 7, 1965 30 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 members 7793 Jan. 19, 1966 31 FR 1005.
Program by the Commission which it requests that issuing companies follow in order to expedite the processing of proxy material 7805 Jan. 26, 1966 31 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 members 7824 Feb. 14, 1966 31 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 suspended 7920 July 19, 1966 31 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 stock 8336 June 18, 1968 33 FR 10086.
Statement of the Commission to alert prospective borrowers obtaining loans for real estate development about recent fraudulent schemes 8351 July 5, 1968 33 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 doing 8363 July 29, 1968 33 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 1934 8389 Aug. 29, 1968 33 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 individuals 8404 Sept. 11, 1968 33 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, 1968 8409 Sept. 16, 1968 33 FR 14545.
Statement of the Commission cautioning brokers and dealers with respect to effecting transactions of “spin offs” and “shell corporations” 8638 July 2, 1969 34 FR 11581.
Commission's statement about publicity concerning the petroleum discoveries on the North Slope of Alaska 8728 Oct. 20, 1969 34 FR 17433.
Commission's warning statement re sale and distribution of whisky warehouse receipts 8733 Nov. 4, 1969 34 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 funds 8746 Nov. 10, 1969 34 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 companies 8907 June 23, 1970 35 FR 12103.
Statement of the Commission reminding reporting companies of obligation re Commission's rules to file reports on a timely basis 8995 Oct. 15, 1970 35 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) 9016 Nov. 6, 1970 35 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 shares 9049 Dec. 23, 1970 35 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 use 9065 Jan. 25, 1971 36 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 statements 9083 Feb. 18, 1971 36 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 certificates 9148 Apr. 12, 1971 36 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 Commission 9210 June 16, 1971 36 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 rights 9252 July 19, 1971 36 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 subsidiaries 9279 Aug. 10, 1971 36 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 date 9345 Sept. 27, 1971 36 FR 19362.
Commission's statement concerning applicability of securities laws to multilevel distributorships and other business opportunities offered through pyramid sales plans 9387 Nov. 30, 1971 36 FR 23289.
Statement by the Commission regarding payment of solicitation fees in tender offers 9395 Nov. 24, 1971 36 FR 23359.
Commission's statement concerning offering and sale of securities in non-public offerings and applicability of antifraud provisions of securities acts 9444 Jan. 14, 1972 37 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 future Mar. 14, 1972 37 FR 5286
Commission endorses the establishment by all publicly held companies of audit committees composed of outside directors 9548 Apr. 5, 1972 37 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 managers 9598 May 18, 1972 37 FR 9988.
Commission's statement and policy on misleading pro rata stock distributions to shareholders 9618 June 9, 1972 37 FR 11559.
Commission's guidelines on independence of certifying accountants; example cases and Commission's conclusions 9662 June 19, 1972 37 FR 14294.
Commission's decisions on recommendations of advisory committee regarding commencement of enforcement proceedings and termination of staff investigations 9796 Mar. 1, 1973 38 FR 5457.
Commission's interpretation of risk-sharing test in pooling-of-interest accounting 9798 Oct. 5, 1972 37 FR 20937.
Commission's statement that short-selling securities prior to offering date is a possible violation of antifraud and antimanipulative laws 9824 Oct. 25, 1972 37 FR 22796.
Commission reaffirms proper accounting treatment to be followed by a lessee when the lessor is created as a conduit for debt financing 9867 Dec. 13, 1972 37 FR 26516.
Commission's interpretations of a rule (15c3-3) dealing with customer protection by securities brokers and dealers 9922 Jan. 18, 1973 38 FR 1737.
Amendment of previous interpretation (AS-130) of risk-sharing test in pooling of interest accounting 9927 Jan. 18, 1973 38 FR 1734.
Commission clarifies effective dates of Rule 15c3-3 9946 Feb. 5, 1973 38 FR 3313.
Commission's designation of control locations for foreign securities 9969 Feb. 5, 1973 Do.
Commission's findings on disclosure of projections of future economic performance by issuers of publicly traded securities 9984 Mar. 19, 1973 38 FR 7220.
Commission's views on reporting cash flow and other related data 10041 Apr. 11, 1973 38 FR 9158.
Commission's statement on obligations of underwriters with respect to discretionary accounts 10181 June 1, 1973 38 FR 17201.
Commission's opinion on net capital treatment of securities position, obligation and transactions in suspended securities 10209 June 8, 1973 38 FR 16774.
Commission expresses concern with failure of issuers to timely and properly file periodic and current report 10214 July 10, 1973 38 FR 18366.
Commission's statement and policy on application of minimum net capital requirement 10304 Aug. 3, 1973 38 FR 20820.
Commission's conclusions as to certain problem relating to the effect of treasury stock transactions on accounting for business combinations 10363 Sept. 10, 1973 38 FR 24635.
Commission's interpretation of market identification requirement of rule for reporting of market information on transactions in listed securities 10388 Sept. 20, 1973 38 FR 26358.
Commission's response to the New York Stock Exchange's proposed interpretation of “affiliated person” 10391 Sept. 25, 1973 38 FR 26716.
Commission request for comments on Accounting Series Release No. 46 10422 Oct. 17, 1973 38 FR 28819.
Commission's guidelines for control locations for foreign securities 10429 Oct. 23, 1973 38 FR 29217.
Commission's views and comments relating to quarterly reporting on Form 10-Q and Form 10-QSB 10547 Jan. 7, 1974 39 FR 1261.
Statement by the Commission on disclosure of the impact of possible fuel shortages on the operations of issuers 10569 Jan. 10, 1974 39 FR 1511.
Commission's statement on disclosure of inventory profits reflected in income in periods of rising prices 10580 Jan. 17, 1974 39 FR 2085.
Commission decision on trading in securities issued or guaranteed by the governments of Bulgaria, Hungary, and Romania 10610 Jan. 31, 1974 39 FR 3932.
Commission views on disclosure of illegal campaign contributions 10673 Mar. 11, 1974 39 FR 10237.
Commission's statement of policy and interpretations 10363A Apr. 12, 1974 39 FR 14588.
Commission's statement regarding maintenance of current books and records by brokers and dealers 10756 May 9, 1974 39 FR 16440.
Commission's practices on reporting of natural gas reserve estimates 10857 June 14, 1974 39 FR 27556.
Commission's views on business combinations involving open-end investment companies 10898 July 3, 1974 39 FR 26719.
Commission's guidelines for filings related to extractive reserves and natural gas supplies 10899 July 3, 1974 39 FR 26720.
Commission's guidelines for registration and reporting 10961 Aug. 14, 1974 39 FR 31894.
Commission's requirements for financial statements; limited partnerships in annual reports 11029 Sept. 27, 1974 39 FR 36578.
Commission's examples of unusual risks and uncertainties 11150 Dec. 23, 1994 40 FR 2678.
Letters of the Division of Corporation Finance with respect to certain proposed arrangements for the sale of gold bullion 11156 Dec. 26, 1994 40 FR 1695.
Commission's statement on disclosure problems relating to LIFO accounting 11198 Jan. 23, 1975 40 FR 6483.
Commission's guidelines on Accounting Series Release No. 148 11470 June 13, 1975 40 FR 27441.
Brokers and dealers effecting transactions in municipal securities 11854 Nov. 20, 1975 40 FR 57786.
Financial responsibility requirements of brokers and dealers 11969 Jan 2, 1976 41 FR 5277.
Brokers and dealers effecting transactions in municipal securities 12021 41 FR 3469.
Interpretation of certain terms in item 10 of Form BD 12078 Feb. 17, 1976 41 FR 7089.
Brokers and dealers effecting transactions in municipal securities 12288 Apr. 15, 1976 41 FR 15842.
Standards for disclosure; oil and gas reserve 12435 May 12, 1976 41 FR 21764.
Brokers and dealers effecting transactions in municipal securities 12496 June 11, 1976 41 FR 23668.
Statement of informal proposals for the rendering of staff advice with respect to shareholder proposals 12599 July 20, 1976 41 FR 29989.
Guides for statistical disclosure by bank holding companies 12748 Aug. 31, 1976 41 FR 39007.
Uniform net capital rule 12766 Sept. 14, 1976 41 FR 39014.
Uniform net capital rule 12927 Oct. 27, 1976 41 FR 48335.
Brokers and dealers effecting transactions in municipal securities 12932 Oct. 27, 1976 41 FR 48336.
Brokers and dealers effecting transactions in municipal securities 13108 Jan. 4, 1977 42 FR 759.
Brokers and dealers effecting transactions in municipal securities 13362 Mar. 21, 1977 42 FR 15310.
Rescission of certain accounting series releases 13630 June 15, 1977 42 FR 33282.
Guideline regarding the preparation of integrated reports to shareholders 13639 June 17, 1977 42 FR 31780.
Industry segment determination 14523 Mar. 3, 1978 43 FR 9599.
Securities transactions by members of national securities exchanges 14563 Mar. 14, 1978 43 FR 11542.
Application of registration requirements to certain tender offers and the application of tender offer provisions to certain cash-option mergers 14699 Apr. 24, 1978 43 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 class 14830 June 13, 1978 43 FR 25420.
Division of investment management's interpretative positions relating to Rule 13f-1 and related Form 13F 15292 Nov. 2, 1978 43 FR 52697.
Guides for disclosure of projections of future economic performance 15305 Nov. 7, 1978 43 FR 53246.
Commission's statement regarding disclosure of impact of Wage and Price Standards for 1979 on the operations of issuers 15371 Nov. 29, 1978 43 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 transactions 15572 Feb. 15, 1979 44 FR 11541.
Short sales; interpretation of rule 16150 Aug. 30, 1979 44 FR 53159.
Shareholder communications, shareholder participation in the corporate electoral process and corporate governance generally 16163 Sept. 6, 1979 44 FR 53426.
Environmental disclosure requirements 16224 Sept. 27, 1979 44 FR 56924.
Pooled income funds 16478 Jan. 10, 1980 45 FR 3258.
Tender offer rules 16623 Mar. 5, 1980 45 FR 15521.
Proxy rules 16833 May 23, 1980 45 FR 36374.
Clearing agencies 16900 June 17, 1980 45 FR 41920.
Guides for statistical disclosure by bank holding companies 16961 July 8, 1980 45 FR 47142.
Transfer agents 17111 Sept. 2, 1980 45 FR 59840.
Amendments to guides 17114 Sept. 2, 1980 45 FR 63647.
Extension date of clearing agencies for form filing 17231 Oct. 20, 1980 45 FR 70857.
Beneficial ownership rules 17354 Dec. 4, 1980 45 FR 81559.
Distribution of proxy materials to beneficial shareowners 17424 Jan. 7, 1981 46 FR 3204.
Foreign Corrupt Practices Act of 1977 17500 Jan. 29, 1981 46 FR 11544.
Analysis of results of 1980 proxy statement disclosure monitoring program 17518 Feb. 5, 1981 46 FR 11954.
Option and option-related transactions during underwritten offerings 17609 Mar. 6, 1981 46 FR 16670.
Going private transactions under rule 13e-3 17719 Apr. 13, 1981 46 FR 22571.
Insider reporting and trading 18114 Sept. 23, 1981 46 FR 48147.
Retail repurchase agreements by banks and savings and loan associations 18122 Sept. 25, 1981 46 FR 48637.
Analysis of results of 1981 proxy statement disclosure monitoring program 18532 Mar. 3, 1982 47 FR 10794.
Rescission of guides and redesignation of industry guides (effective May 24, 1982) 18525 Mar. 3, 1982 47 FR 11481.
Amendments to guides 19337 Dec. 15, 1982 47 FR 57911.
Revision of financial statement requirements and industry guide disclosure for bank holding companies. 19570 Mar. 7, 1983 48 FR 11104.
Commission's views on Colema Realty Corp. v. R. D. Bibow, et al 19756 May 11, 1983 48 FR 23173.
Revision of industry guide disclosures for bank holding companies 20068 Aug. 11, 1983 48 FR 37609.
Public statements by corporate representatives 20560 Jan. 13, 1984 49 FR 2468.
Research reports 21332 Sept. 19, 1984 49 FR 37574.
Commission views on computer brokerage systems 21383 Oct. 9, 1984 49 FR 40159.
Guide for disclosures concerning reserves for unpaid claims and claim adjustment expenses of property-casualty underwriters 21521 Nov. 27, 1984 49 FR 47601.
Brokerage and research services concerning scope of section 28(e) of Securities Exchange Act of 1934 23170 Apr. 23, 1986 51 FR 16012.
Application of Rule 10b—6 under the Securities Exchange Act of 1934 to persons participating in shelf distributions 23611 Sept. 11, 1986 51 FR 33248.
Industry guides for statistical disclosure by bank holding companies 23846 Nov. 25, 1986 51 FR 43599.
Tender offers rules 24296 Apr. 3, 1987 52 FR 11458.
Statement of the Commission Regarding Disclosure Obligations of Companies Affected by the Government's Defense Contract Procurement Inquiry and Related Issues 25951 Aug. 1, 1988 53 FR 29228.
Statement of the Commission Regarding Disclosure by Issuers of interests in Publicly Offered Commodity Pools 26508 Feb. 1, 1989 54 FR 5603.
Management's discussion and analysis of financial condition and results of operations; certain investment company disclosures 26831 May 18, 1989 54 FR 22427.
Modifying and confirming the interpretation of municipal underwriter securities responsibilities 26985 June 28, 1989 54 FR 28814.
Liquidation of Index Arbitrage Positions 27938 Apr. 30, 1990 55 FR 17949.
Ownership reports on trading by officers, directors and principal security holders 29131 Apr. 26, 1991 56 FR 19928.
Limited partnership reorganizations and public offerings of limited partnership interests 29314 June 17, 1991 56 FR 28986.
Registration of Successors to Broker-Dealers and Investment Advisors 31661 Jan. 4, 1993 58 FR 11.
Statement of the Commission regarding disclosure obligations of municipal securities issuers and others 33741 Mar. 9, 1994 59 FR 12758.
Amendment of interpretation regarding substantive repossession of collateral 34061 May 12, 1994 59 FR 26109.
Use of electronic media for delivery purposes 36345 Oct. 6, 1995 60 FR 53467.
Use of electronic media for delivery purposes 37182 May 9, 1996 61 FR 24651.
Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore 39779 Mar. 23, 1998 63 FR 14813
Confirmation and Affirmation of Securities Trades; Matching 39829 Apr. 6, 1998 63 FR 17947
Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers 40277 July 29, 1998 63 FR 41404.
Use of electronic media 42728 Apr. 28, 2000 65 FR 25856.
Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers 43069 July 24, 2000 65 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) 44238 May 7, 2001 66 FR 22921.
Application of the Electronic Signatures in Global and National Commerce Act to Record Retention Requirements Pertaining to Issuers 44424 June 21, 2001 66 FR 33176.
Calculation of Average Weekly Trading Volume 44820A Sept. 27, 2001 66 FR 49274
Commission Guidance on the Scope of Section 28(e) of the Exchange Act 45194 Dec. 27, 2001 67 FR 8
Commission Guidance on Trading in Security Futures Products 46101 June 21, 2002 67 FR 43246
Electronic Storage of Broker-Dealer Records 47806 May 7, 2003 68 FR 25283
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 47910 May 22, 2003 68 FR 32311
Commission Guidance on Rule 3b-3 and Married Put Transactions 48795 November 17, 2003 68 FR 65822
Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations 48960 December 19, 2003 68 FR 75065
Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Profesional Practice Standard No. 1 49708 May 14, 2004 69 FR 29066
Short Sales 50103 July 28, 2004 69 FR 48029
Prohibited Conduct in Connection with IPO Allocations 51500 April 7, 2005 70 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 Stockpile 52885 December 5, 2005 70 FR 73345
Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities and Exchange Act of 1934 54165 July 18, 2006 71 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 1934 55929 June 20, 2007 72 FR 35343
Commission Guidance Regarding and Amendment to the Rules Relating to Organization and Program Management Concerning Proposed Rule Changes Filed by Self-Regulatory Organizations 58024 June 25, 2008 73 FR 40152
Commission Guidance on the Use of Company Web Sites 58288 August 1, 2008 73 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 Institutions 58597 September 19, 2008 73 FR 60094
Regulation SHO Amendments 58775 October 14, 2008 73 FR 61706
Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification 60519A August 25, 2009 74 FR 42773
Commission Guidance Regarding Disclosure Related to Climate Change 61469 February 2, 2010 75 FR 62973
Amendment to Municipal Securities Disclosure 62184A May 26, 2010 75 FR 33156
Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis 62934 September 17, 2010 75 FR 59897
Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related to Brokers and Dealers 62991 September 24, 2010 75 FR 60617
Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security 67448 July 17, 2012 77 FR 42988
Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping 67453 July 18, 2012 77 FR 48362

Title 17 published on 2014-04-01

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