Comment Letters on SEC Proposed Rules
Comment Letters on SRO Proposed Rules
Please select the comment file that you wish to view from the list below.
- Amendments to the electronic securities trading data system used by the SEC for investigations and trading reconstructions.
- Regulatory action relating to the use of electronic media.
- Requirement for investment advisers to file electronically in the Investment Adviser Registration Depository and amendments to Form ADV.
- Disclosure by mutual funds of after-tax performance.
- Concept release on international accounting standards.
- Insider trading rules addressing selective disclosure, "use versus possession" and family relationships.
- Amendments to address the application of the Investment Advisers Act to broker-dealers offering their customers full service brokerage for an asset-based fee instead of traditional commissions.
- Concept release on the regulation of short sales of securities.
- Proposed financial reporting rules for issuers and guarantors of guaranteed securities.