Laws & Regulatory Actions
LAWS & REGULATORY ACTIONS
1934 Act- Proposed Rules

Release No.TitleDate
34-62445 Elimination of Flash Order Exception 07/09/2010
34-62174 Consolidated Audit Trail 06/08/2010
34-60825 Amendments to Rules Requiring Internet Availability of Proxy Materials 10/21/2009
34-60509 Amendments to Regulation SHO 08/20/2009
34-59748 Amendments to Regulation SHO 04/20/2009
34-58264, IC-28345, IA-2763 Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser Portfolio Trading Practices 07/30/2008
34-58255 Proposed Amendment to Municipal Securities Disclosure 07/30/2008
34-58070 References to Ratings Of Nationally Recognized Statistical Rating Organizations 07/01/2008
34-57967 Proposed Rules for Nationally Recognized Statistical Rating Organizations 06/16/2008
34-57511 “Naked” Short Selling Anti-Fraud Rule 03/17/2008
34-57427; IC-28178; IA-2712 Part 248 – Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information 03/04/2008
34-57350 EXEMPTION FROM REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR FOREIGN PRIVATE ISSUERS 02/19/2008
34-57306; IC-28148 DISCLOSURE OF DIVESTMENT BY REGISTERED INVESTMENT COMPANIES IN ACCORDANCE WITH SUDAN ACCOUNTABILITY AND DIVESTMENT ACT OF 2007 02/11/2008
34-56213 Amendments to Regulation SHO 08/07/2007
34-56161; IC-27914 Shareholder Proposals Relating to the Election of Directors 07/27/2007
34-56160; IC-27913 Shareholder Proposals 07/27/2007
34-56010; International Series Release No. 1303 EXEMPTION OF COMPENSATORY EMPLOYEE STOCK OPTIONS FROM REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 07/05/2007
34-55431 Amendments to Financial Responsibility Rules for Broker-Dealers 03/09/2007
34-55341 Proposed Rule Changes of Self-Regulatory Organizations 02/23/2007
34-55147 UNIVERSAL INTERNET AVAILABILITY OF PROXY MATERIALS 01/22/2007
34-55005 TERMINATION OF A FOREIGN PRIVATE ISSUER'S REGISTRATION OF A CLASS OF SECURITIES UNDER SECTION 12(g) AND DUTY TO FILE REPORTS UNDER SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 12/22/2006
34-54947 Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules 12/18/2006
34-54946 DEFINITIONS OF TERMS AND EXEMPTIONS RELATING TO THE “BROKER” EXCEPTIONS FOR BANKS 12/18/2006
34-54891 Amendments to Regulation SHO and Rule 10a-1 12/07/2006
34-53560 Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities 03/29/2006
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