File Number: 4-548
Date: Sept. 25, 2007
Details: Request for rulemaking under the Securities Act of 1933 to permit commodity pools to publish and distribute advertisements that disclose certain information about the commodity pool beyond that specified by the safe harbor of Rule 134 Submitted By: James B. Biery, Sidley Austin LLP on behalf of Superfund Capital Management, Inc.
File Number: 4-547
Date: Sept. 18, 2007
Details: Request for interpretive guidance on Climate Risk Disclosure View Received Comments Supplemental Petition (Jun. 12, 2008) , original petition (Sep. 18, 2007) , Supplemental petition dated Nov. 23, 2009 Submitted By: Multiple petitioners
File Number: 4-543
Date: July 9, 2007
Details: Request to amend Rule 35d-1 under the Investment Company Act to amend the definition of fundamental investment policy Submitted By: George W. Karpus, Karpus Investment Management
File Number: 4-541
Date: June 18, 2007
Details: Request for rulemaking under the Securities Exchange Act of 1934 to prohibit broker-dealers from requiring investors to accept mandatory arbitration clauses View Received Comments Submitted By: Daniel R. Solin
File Number: 4-542
Date: June 13, 2007
Details: Request for rulemaking under the Investment Company Act of 1940 to amend Rule 19a-1 which governs how a fund calculates and discloses the sources of its distributions Submitted By: Mary S. Podesta, Esq., Investment Company Institute
File Number: 4-540
Date: May 24, 2007
Details: Request to Amend "Pattern Day Trader" Rule View Received Comments Submitted By: Michael Wilson
File Number: 4-535
Date: March 28, 2007
Details: Request for written interpretative guidance relating to the implementation of FASB Interpretation No. 48, Accounting for Uncertainty in Income Taxes ("FIN 48") by investment companies registered under the Investment Company Act of 1940 Submitted By: Stephen D. Fisher, Senior Vice President & Deputy General Counsel, Fidelity Management & Research Company; Eric Roiter, Senior Vice President & General Counsel, Fidelity Management & Research Company; Maria Dwyer, Chief Regulatory Officer, Massachusetts Financial Services Company; Scott Huebl, Vice President, Tax, Oppenheimerfunds, Inc.
File Number: 4-531
Date: Feb. 10, 2007
Details: Request for rulemaking on disclosure and transparency in client commission arrangements Submitted By: William T. George, Blue Sky Research Services
File Number: 4-530
Date: Jan. 8, 2007
Details: Request for an extension of the implementation date of SEC Regulation NMS Trading Phase, targeted for February 5, 2007 Submitted By: Mary Yeager, Assistant Secretary, New York Stock Exchange LLC
File Number: 4-528
Date: Dec. 28, 2006
Details: Request for rulemaking under the Investment Company Act of 1940 to limit the application of the new disclosure requirements to registered investment company investments in "investment companies" and "private funds" as defined in former Rule 203(b)(3)-1(d) under the Investment Advisers of 1940 Submitted By: Stephen Fisher, Senior Vice President and General Counsel and Eric Roiter, Senior Vice President and Deputy General Counsel, Fidelity Management & Research Company
File Number: 4-525
Date: Aug. 30, 2006
Details: Request for rulemaking under the Securities Exchange Act of 1934 to provide owners of American Depository Receipts of certain foreign issuers with the ability to exercise certain traditional shareowner rights, including the ability to vote in the election of directors, and to submit and vote on shareowner proposals Submitted By: Steven J. Milloy and Thomas J. Borelli, Action Fund Management, LLC
File Number: 4-521
Date: June 8, 2006
Details: Request for rulemaking under the Securities Exchange Act of 1934 to require prompt disclosure of a Wells Notice when it is received by registrants Submitted By: Scott H. Schulke
File Number: 4-519
Date: April 24, 2006
Details: Request for rulemaking under the Securities Act of 1933 to expose and prevent unlawful and deceptive activities by securities promoters and their sponsors View Received Comments Submitted By: R. Cromwell Coulson, Pink Sheets LLC
File Number: 4-510C
Date: Jan. 20, 2006
Details: Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers View Received Comments Submitted By: Dale E. Brown, Financial Services Institute, Inc.
File Number: 4-510B
Date: Jan. 13, 2006
Details: Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers View Received Comments Submitted By: Carl B. Wilkerson, Esq., American Council of Life Insurers
File Number: 4-510A
Date: Jan. 10, 2006
Details: Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers View Received Comments Submitted By: Ira D. Hammerman, Esq., Securities Industry Association
File Number: 4-505
Date: June 28, 2005
Details: Request for rulemaking to amend Rule 3a12-8 under the Securities Exchange Act of 1934 to include within its exemption the soverign debt of the Republic of Korea Submitted By: Philip McBride Johnson, Skadden, Arps, Slate, Meagher & Flom LLP
File Number: 4-504
Date: May 13, 2005
Details: Request for rulemaking concerning corporate communication regarding company share buybacks Submitted By: James Schainuck, Jewel Investments
File Number: 4-503
Date: May 11, 2005
Details: Request for rulemaking under the Investment Advisers Act of 1940 regarding retention and production of e-mail by investment advisers View Received Comments Submitted By: Committee on Investment Management Regulation, The Association of the Bar of the City of New York
File Number: 4-501
Date: May 6, 2005
Details: Request for rulemaking under the Securities Exchange Act of 1934 that would prevent the National Association of Securities Dealers, Inc. and the New York Stock Exchange from placing by contract any restriction on the use of either the paper copies or their database of arbitration awards and also preventing these organizations from requiring third party vendors to limit access to these awards, in their original form View Received Comments Submitted By: Daniel R. Solin, Esq.
File Number: 4-499
Date: April 8, 2005
Details: Request for rulemaking under the Securities Exchange Act of 1934 regarding the definitions of "non-professional" and "professional" used by self-regulatory organizations and national market system plans Submitted By: Andrew C. Wels, Securities Industry Association
File Number: 4-478A
Date: April 4, 2005
Details: Amended Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collateral Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies View Received Comments Submitted By: Paul Schott Stevens, Jack W. Murphy and Ethan D. Corey of Dechert LLP on behalf of Federated Investors, Inc.
File Number: 4-498
Date: Feb. 11, 2005
Details: Request for rulemaking concerning auditor independence Submitted By: Jeffry R. Haber, Iona College
File Number: 4-496
Date: Jan. 22, 2005
Details: Request for rulemaking under Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 to amend the Options Intermarket Linkage Plan to limit trade-through protection only to automated quotes Submitted By: Adam Cooper, Senior Managing Director and General Counsel, Citadel Investment Group, L.L.C.
File Number: 4-495
Date: Nov. 30, 2004
Details: Request for rulemaking seeking repeal of rule 206(3)-1 (Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services) and that the Commission not adopt proposed rule 202(a)(11)-1 (Certain thrift institutions deemed not to be investment advisers) under the Investment Advisers Act Submitted By: Ron A. Rhoades, Joseph Capital Management, LLC
File Number: 4-494
Date: July 29, 2004
Details: Request for rulemaking requiring that a rating that is an assessment of the quality of a company's reported earnings be a listing requirement for any publicly traded company Submitted By: Richard S. Furlin, President, Furlin Financial
File Number: 4-493
Date: April 12, 2004
Details: Request for Rulemaking Concerning Shareholder Communications View Received Comments Submitted By: Steve Odland, Chairman-Corporate Governance Task Force, Business Roundtable
File Number: 4-490
Date: Feb. 4, 2004
Details: Request for Rulemaking to Amend Rule 1-02(w) under Regulation S-X to require complete disclosure of all subsidiaries for filers of Form 10-K, regardless of the size of the subsidiary View Received Comments Submitted By: Scott Schulke
File Number: 4-492
Date: Dec. 16, 2003
Details: Request for Rulemaking Concerning Soft Dollars and Directed Brokerage View Received Comments Submitted By: Matthew Fink, President, Investment Company Institute
File Number: 4-489
Date: Oct. 3, 2003
Details: Request for the Commission to Amend Rule 206(4)-1(a)(1) under the Investment Advisers Act of 1940 Concerning the Use of Testimonials by Investment Advisers Who Are Also Planners Submitted By: Chris Grande, Walnut Hill Advisors
File Number: 4-484
Date: July 29, 2003
Details: Request for Rulemaking to Require that Amended Registrant Filings Include an Explicit Summary of Specific Changes in Language or Figures Submitted By: Scott H. Schulke
File Number: 4-483
Date: July 3, 2003
Details: Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name" View Received Comments Submitted By: Stephen Nelson, The Nelson Law Firm, on behalf of Nine Institutional Investors
File Number: 4-491
Date: May 15, 2003
Details: Request for Rulemaking to Permit Shareholder-Nominated Director Candidates to Appear in Corporate Proxy Statements and Proxy Cards Submitted By: Richard L. Trumka, AFL-CIO
File Number: 4-480
Date: April 14, 2003
Details: Request for Rulemaking under the Securities Exchange Act of 1934 to Adopt New Rule 11Ac1-8 to Address the Practices of Trading-Through and Locking or Crossing OTC Quotes Across Separate Market Centers View Received Comments Submitted By: John M. Schaible, President, NexTrade Holdings, Inc.
File Number: 4-479
Date: April 11, 2003
Details: Request for Rulemaking under the Securities Exchange Act of 1934 Concerning Trading of Nasdaq-Listed Securities Submitted By: Edward Knight, Executive Vice President, The Nasdaq Stock Market, Inc.
File Number: 4-478
Date: April 3, 2003
Details: Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collateral Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies View Received Comments Submitted By: Paul Schott Stevens, Jack W. Murphy and Ethan D. Corey of Dechert LLP on behalf of Federated Investors, Inc.
File Number: 4-477
Date: March 24, 2003
Details: Request for Rulemaking Requiring Pre-Notification and Disclosure of Certain Communications by Trial Lawyers Submitted By: Daniel J. Popeo, Chairman and General Counsel and Paul D. Kamenar, Senior Executive Counsel, Washington Legal Foundation
File Number: 4-469
Date: Nov. 1, 2002
Details: Request for Rulemaking to Amend Rule 19c-5 Regarding Certain Options Exchange Licensing Arrangements View Received Comments Submitted By: David Krell, President and Chief Executive Officer, International Securities Exchange
File Number: 4-465
Date: Sept. 24, 2002
Details: Request for Rulemaking Concerning Corporate Elections View Received Comments Submitted By: Deborah Pastor, Portfolio Manager, eRaider.com Inc.
File Number: 4-463
Date: Sept. 20, 2002
Details: Request for Rulemaking for Clarification of Material Disclosures with Respect to Financially Significant Environmental Liabilities and Compliance with Existing Material Financial Disclosures View Received Comments Submitted By: Jill Ratner, President, Rose Foundation for Communities and the Environment
File Number: 4-475
Date: Sept. 4, 2002
Details: Request for Rulemaking Concerning Changes to Fundamental Investment Policies of Closed-End Funds (Section 12 - Majority of a Quorum to Approve a Change in Investment Policy) Submitted By: George W. Karpus, Karpus Investment Management
File Number: 4-461
Date: Aug. 1, 2002
Details: Request for Rulemaking to Amend Rule 14a-8(i) to Allow Shareholder Proposals To Elect Directors View Received Comments Submitted By: The Committee of Concerned Shareholders and James McRitchie
File Number: 4-457
Date: May 23, 2002
Details: Request for Rulemaking Concerning Definition of Investment Company Submitted By: Matthew A. Chambers and John C. Nagel, Wilmer, Cutler & Pickering, on behalf of the Biotechnology Industry Organization
File Number: 4-450
Date: Dec. 31, 2001
Details: Request for Interpretive Release Concerning MD&A Under Regulation S-K, Item 303 View Received Comments Submitted By: Arthur Andersen LLP, Deloitte and Touche LLP, Ernst & Young LLP, KPMG LLP, PricewaterhouseCoopers LLP, and the American Institute of Certified Public Accountants
File Number: 4-449
Date: Dec. 12, 2001
Details: Request for Rulemaking to Amend Regulation S-K, Items 401 and 404, Concerning Director Conflicts of Interest Submitted By: Richard Trumka, Secretary-Treasurer, American Federation of Labor and Congress of Industrial Organizations
File Number: 4-448
Date: Dec. 11, 2001
Details: Request for Rulemaking Concerning Definition of Independent Auditor and Limiting Services Accounting Firms May Provide to Audit Clients Submitted By: Richard Trumka, Secretary-Treasurer, American Federation of Labor and Congress of Industrial Organizations
File Number: 4-486
Date: Oct. 23, 2001
Details: Request for rulemaking to exempt the government securities of the Republic of Singapore from Rule 3a12-8 under the Securities Exchange Act of 1934 for the purpose of trading the Singapore Government Bond futures contracts Submitted By: Mr. Jimmy Ang, Singapore Exchange Derivatives Trading Limited
