Securities Regulatory Update Online wsb.com Library
Latest IssueIssue ArchiveSearch Monday, July 10, 2000
Table Of Contents

Features

Comment Letters on SEC Proposed Rules

Comment Letters on SRO Proposed Rules

Legislative Update

Please select the comment file that you wish to view from the list below.

S7-12-00
Amendments to the electronic securities trading data system used by the SEC for investigations and trading reconstructions.

S7-11-00
Regulatory action relating to the use of electronic media.

S7-10-00
Requirement for investment advisers to file electronically in the Investment Adviser Registration Depository and amendments to Form ADV.

S7-9-00
Disclosure by mutual funds of after-tax performance.

S7-4-00
Concept release on international accounting standards.

S7-31-99
Insider trading rules addressing selective disclosure, "use versus possession" and family relationships.

S7-25-99
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.

S7-24-99
Concept release on the regulation of short sales of securities.

S7-7-99
Proposed financial reporting rules for issuers and guarantors of guaranteed securities.

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