SEC Proposed Rules Archives: 1998

Archive of older proposed rules currently available on site. We encourage the public to submit comments on proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:

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Release No.	Date	Details
Fourth Quarter
IC-23588	Dec. 4, 1998	Deregistration of Certain Registered Investment Companies File No.:   S7-31-98 Comments Due:   February 5, 1999 Additional material is available for this release: 23588f.pdf (use Adobe Acrobat® reader to view file)
33-7611	Nov. 13, 1998	Cross-Border Tender Offers, Business Combinations and Rights Offerings File No.:   S7-29-98 Comments Due:   60 days after publication in Federal Register Comments received electronically are available for this proposal.
33-7606A	Nov. 13, 1998	The Regulation of Securities Offerings File names: 337606a1.txt, 337606a2.txt, and 337606a3.txt (three large ASCII text files) File No.:   S7-30-98 Comments Due:   April 5, 1999 Comments received electronically are available for this proposal. (NOTE: Comments deadline extended to June 30, 1999; see Rel. No. 33-7659.)
34-40643	Nov. 5, 1998	Extension of Comment Period: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 File No.:   S7-26-98 Comments Due:   extended to December 9, 1998
33-7607	Nov. 3, 1998	Regulation of Takeovers and Security Holder Communications File names: 33-7607a.htm, 33-7607b.htm (two HTML files), 33-7607a, 33-7607b (two PDF files) File No.:   S7-28-98 Comments Due:   April 5, 1999 Comments received electronically are available for this proposal.
34-40617	Oct. 29, 1998	Purchases of Certain Equity Securities by the Issuer and Others File No.:   S7-27-98 Comments Due:   30 days after publication in Federal Register Comments received electronically are available for this proposal.
34-40518	Oct. 2, 1998	Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 File No.:   S7-26-98 Comments Due:   November 9, 1998 Comments received electronically are available for this proposal. (NOTE: Comments deadline extended to December 9, 1998; see Rel. No. 34-40643, above.)
Third Quarter
34-40386	Aug. 31, 1998	Processing of Reorganization Events, Tender Offers, and Exchange Offers File No.:   S7-25-98 Comments Due:   60 days after publication in Federal Register Comments received electronically are available for this proposal.
34-40364	Aug. 26, 1998	Rules of Practice; Amendments to Rules 210 and 221 File No.:   S7-23-98 Comments Due:   30 days after publication in the Federal Register
34-40260	Jul. 24, 1998	Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System Plan ("ITS") to Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities and to Eliminate the Unanimous Vote Provision File No.:   4-208 Comments Due:   30 days after publication in the Federal Register Comments received electronically are available for this proposal.
IC-23325	Jul. 22, 1998	Temporary Exemption for Certain Investment Advisers File No.:   S7-22-98 Comments Due:   September 30, 1998 Comments received electronically are available for this proposal.
33-7555	Jul. 15, 1998	Extension of Comment Period: Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice File No.:   S7-16-98 Comments Due:   extended to August 20, 1998 Comments received electronically are available for this proposal.
34-40204	Jul. 15, 1998	Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS") Plan To Link the PCX Applications of the OptiMark System to the ITS System File No.:   4-208 Comments Due:   30 days after publication in the Federal Register Comments received electronically are available for this proposal.
34-40165	Jul. 2, 1998	Year 2000 Readiness Reports To Be Made by Certain Transfer Agents File No.:   S7-8-98 Comments Due:   August 12, 1998 Comments received electronically are available for this proposal.
34-40164	Jul. 2, 1998	Reports to be Made by Certain Brokers and Dealers File No.:   S7-7-98 Comments Due:   August 12, 1998 Comments received electronically are available for this proposal.
Second Quarter
IA-1728	Jun. 30, 1998	Investment Adviser Year 2000 Reports File No.:   S7-20-98 Comments Due:   August 10, 1998 Comments received electronically are available for this proposal.
33-7550	Jun. 25, 1998	Options Disclosure Document File No.:   S7-19-98 Comments Due:   July 31, 1998
34-40129	Jun. 25, 1998	Amendment to Rule 9b-1 under the Securities Exchange Act Relating to the Options Disclosure Document File No.:   S7-18-98 Comments Due:   July 31, 1998
33-7549;	Jun. 25, 1998	Segment Reporting File No.:   S7-17-98 Comments Due:   July 31, 1998 Comments received electronically are available for this proposal.
34-40089	Jun. 12, 1998	Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice Reference:   Rel. Nos. 33-7546, 35-26884, 39-2364, IA-1726, IC-23250 File No.:   S7-16-98 Comments Due:   July 20, 1998 Comments received electronically are available for this proposal. (NOTE: Comments deadline extended to August 20, 1998; see Rel. No. 33-7555, above.)
34-40077	Jun. 8, 1998	Exemption of the Securities of the Kingdom of Belgium under the Securities Exchange Act of 1934 for Purposes of Trading Future Contracts on Those Securities File No.:   S7-15-98 Comments Due:   July 15, 1998
33-7541	May 21, 1998	Proposed Revision of Rule 504 of Regulation D, the "Seed Capital" Exemption File No.:   S7-14-98 Comments Due:   60 days after publication in the Federal Register Comments received electronically are available for this proposal.
34-39885	Apr. 17, 1998	Proposed Amendment to Rule 19b-4 under the Securities Exchange Act of 1934 File No.:   S7-13-98 Comments Due:   30 days after publication in the Federal Register (NOTE: This is a PDF file)
34-39884	Apr. 17, 1998	Regulation of Exchanges and Alternative Trading Systems File No.:   S7-12-98 Comments Due:   90 days after publication in the Federal Register Comments received electronically are available for this proposal. (NOTE: This is a PDF file)
34-39859	Apr. 14, 1998	Proposed Rule; Extension of Comment Period: Year 2000 Readiness Reports To Be Made by Transfer Agents File No.:   S7-8-98 Comments Due:   extended to April 27, 1998
34-39858	Apr. 14, 1998	Proposed Rule; Extension of Comment Period: Reports To Be Made by Certain Brokers and Dealers File No.:   S7-7-98 Comments Due:   extended to April 27, 1998
First Quarter
33-7514	Mar. 13, 1998	Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trust that Offer Variable Life Insurance Policies File names [2]: 33-7514r.htm 33-7514f.htm File No.:   S7-9-98 Comments Due:   July 1, 1998 (NOTE: text of Form N-6 added, 3-23-98)Additional materials are available for this release:    Summary of Comments    on Proposed Form N-6, Registration    Form for Insurance Company    Separate Accounts Registered    as Unit Investment Trusts That     Offer Variable Life Insurance     Policies
34-39726	Mar. 5, 1998	Year 2000 Readiness Reports To Be Made by Transfer Agents File No.:   S7-8-98 Comments Due:   date extended; see April 14, 1998 release Comments received electronically are available for this proposal.
34-39724	Mar. 5, 1998	Reports To Be Made by Certain Brokers and Dealers File No.:   S7-7-98 Comments Due:   date extended; see April 14, 1998 release Comments received electronically are available for this proposal.
33-7511	Feb. 17, 1998	Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements File No.:   S7-5-98 Comments Due:   60 days after publication in the Federal Register Comments received electronically are available for this proposal.
34-39704	Feb. 17, 1998	Proposed Rules; Concept Release; Extension of Comment Period Reference:   Rel. Nos. 34-39454, 33-39455, 34-39456 File Nos.:   S7-30-97, S7-31-97, S7-32-97 Comments Due:   April 6, 1998 for Rel. 34-39454; May 4, 1998 for Rel. 33-39455; and May 4, 1998 for Rel. 34-39456
34-39670	Feb. 17, 1998	Publication or Submission of Quotations Without Specified Information File No.:   S7-3-98 Comments Due:   60 days after publication in the Federal Register
33-7506	Feb. 17, 1998	Registration of Securities on Form S-8 File No.:   S7-2-98 Comments Due:   60 days after publication in the Federal Register Comments received electronically are available for this proposal.