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Petitions for Rulemaking
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| File No. | Date | Description |
| 4-654 | Oct. 1, 2012 | Request for rulemaking to amend Industry Guide 7
Submitted by: David L. Kanagy, Executive Director, Society for Mining, Metallurgy & Exploration |
| 4-653 | Aug. 24, 2012 | Request for rulemaking regarding the definition of Eligible Contract Participant in Commodity Exchange Act Section 1a(18), interpretive letter, exemptive relief, or other guidance
Submitted by: Diana L. Preston, Vice President and Senior Counsel, Center for Securities, Trust & Investments, American Bankers Association |
| 4-651 | Aug. 17, 2012 | Request for rulemaking regarding neutral Internet voting platform
Submitted by: Larry S. Eiben, CoFounder Moxy Vote, LLC |
| 4-650 | Jul. 4, 2012 | Request for rulemaking to require all trades to be executed only at the top of each minute, at the double zero tick
Submitted by: James H. Sutton |
| 4-649 | Apr. 9, 2012 | Request for rulemaking regarding re-statements of financial statements
Submitted by: Carl Olson, Chairman, Fund for Stockowners Rights |
| 4-648 | Apr. 3, 2012 | Request for rulemaking to reestablish the original congressional intent for a clear dichotomy between "Salesperson" and "Investment Adviser" under the Investment Advisers Act of 1940
Submitted by: Susan Seltzer, President, The Derivative Project Comments received are available for this proposal. |
| 4-647 | Mar. 12, 2012 | Request for interpretive release with guidance, clarifying that broker-dealers and their agents are prohibited from charging issuers for proxy processing, suppression, voting and other fees for wrap fee accounts and separately managed accounts, at the beneficial owner level
Submitted by: Karen V. Danielson, President, Shareholder Services Association and Charles V. Rossi, President, The Securities Transfer Association, Inc. |
| 4-646 | Feb. 16, 2012 | Request for rulemaking to amend Rule 6c-10 under the Investment Company Act of 1940 to prohibit a Company from extending a deferred sales load "holding period" for existing shareholders
Submitted by: Ronald Workman, CFP, LPL Registered Principal, Coastview Financial |
| 4-644 | Jan. 13, 2012 | Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants.
Submitted by: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation |
| 4-643 | Jan. 9, 2012 | Request for rulemaking to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales of securities by general solicitation or general advertising with respect to private funds
Submitted by: Richard H. Baker, President and CEO, Managed Funds Association Comments received are available for this proposal. |
| 4-641 | Nov. 7, 2011 | Request for rulemaking, regulation or order pursuant to Section 36(a)(1) of the Exchange Act to provide exemptive relief from the application of Section 15(c)(3) of the Exchange Act and Rule 15c3-3 thereunder
Submitted by: Counsel on behalf of ICE Clear Credit LLC Note: See also Exhibits Comments received are available for this proposal. |
| 4-638 | Aug. 26, 2011 | Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on C2 Options Exchange, Incorporated as covered securities for the purpose of Section 18 of the Securities Act
Submitted by: Joanne Moffic-Silver, Secretary, C2 Options Exchange, Incorporated |
| 4-637 | Aug. 3, 2011 | Petition to require public companies to disclose to shareholders the use of corporate resources for political activities
Submitted by: Lucian A. Bebchuk, Co-Chair, Bernard S. Black, John C. Coffee Jr., James D. Cox, Jeffrey N. Gordon, Ronald J. Gilson, Henry Hansmann, Robert J. Jackson Jr., Co-Chair, Donald C. Langevoort, Hillary A. Sale, The Committee on Disclosure of Corporate Political Spending Comments received are available for this proposal. |
| 4-634 | May 27, 2011 | Request for rulemaking to mandate universal institutional brokerage commission transparency and disclosure
Submitted by: William T. George Note: See also additional letter Comments received are available for this proposal. |
| 4-632 | May 26, 2011 | Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on BATS Exchange, Inc. as covered securities for the purpose of Section 18 of the Securities Act.
Submitted by: Eric Swanson, SVP & General Counsel, BATS Exchange, Inc. |
| 4-630 | May 20, 2011 | Request for rulemaking to amend Rule 14a-4(b)(2)(Requirements as to proxy) to eliminate the "withhold authority" vote on proxy forms used for the election of corporate directors.
Submitted by: Edward J. Durkin, Director, Corporate Affairs Department, United Brotherhood of Carpenters Comments received are available for this proposal. |
| 4-628 | Apr. 29, 2011 | Request for rulemaking to amend Rule 651 of the Philadelphia Stock Exchange (n/k/a NASDAQ OMX PHLX)
Submitted by: Joseph D. Carapico, G.P., Pennmont Securities Note: See also Supplement to petition Comments received are available for this proposal. |
| 4-624 | Mar. 7, 2011 | Request for rulemaking regarding the beneficial ownership reporting rules under Section 13 of the Securities Exchange Act of 1934
Submitted by: Theodore N. Mirvis, Esq., Andrew R. Brownstein, Esq., Eric S. Robinson, Esq., Adam O. Emmerich, Esq., David M. Silk, Esq., Trevor S. Norwitz, Esq., David C. Karp, Esq. and William Savitt, Esq. of Wachtell, Lipton, Rosen & Katz Comments received are available for this proposal. |
| 4-623 | Jan. 28, 2011 | Request for rulemaking concerning Market Data Structure
Submitted by: Christopher Nagy, Managing Director Order Strategy and Richard P. Urian, Global Head of Market Data, TD Ameritrade |
| 4-614 | Oct. 8, 2010 | Request for rulemaking to amend Rule 146(b) to designate securities listed on the Nasdaq Options Market as covered securities for the purpose of Section 18 of the Securities Act of 1933
Submitted by: Edward S. Knight, NASDAQ OMX |
| 4-605 | Jul. 1, 2010 | Request for rulemaking to exempt securities offerings up to $100,000 with $100
maximum per investor from registration
Submitted by: Jenny Kassan, Sustainable Economies Law Center Comments received are available for this proposal. |
| 4-604 | May 25, 2010 | Request for rulemaking to allow the Nasdaq Capital Market to adopt initial listing price requirements identical to NYSE Amex
Submitted by: Joan C. Conley, The Nasdaq Stock Market LLC Comments received are available for this proposal. |
| 4-603 | May 17, 2010 | Request for rulemaking to amend Rule 7-02 of Regulation S-X under the Securities Act of 1933 concerning the use of financial statements prepared in accordance with statutory accounting principles by certain life insurance company issuers
Submitted by: Stephen E. Roth and Mary Thornton Payne, Sutherland Asbill and Brennan LLP (on behalf of Aviva USA Corporation) |
| 4-601 | Mar. 22, 2010 | Request for rulemaking to require mutual fund companies to provide a single day accrual rate/mil rate for every day of every week
Submitted by: Park National Bank |
| 4-592 | Jan. 27, 2010 | Request for rulemaking to amend Rule 146(b) under the Securities Act of 1933 to designate securities listed on BATS as covered securities for the purpose of Section 18 of the Securities Act. Submitted by: BATS Exchange, Inc. |
| 4-593 | Jan. 22, 2010 | Request for rulemaking to amend Regulation S-K and/or Form 10-K to add a new section entitled "Political Influence."
Submitted by: James Evan Dallas |
| 4-591 | Jan. 4, 2010 | Request for rulemaking to require FINRA to propose new rules aimed at improving provisions for investor protection in FINRA rules
Submitted by: Manuel P. Asensio, Alliance for Economic Stability, Inc. |
| 4-547 | Nov. 23, 2009 | Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure
Note: For attachments, see original petition (Sep. 18, 2007); Supplemental petition (Jun. 12, 2008) Comments received are available for this proposal. |
| 4-599 | Oct. 19, 2009 | Request that the Commission conduct rulemaking to codify a securities licensing/registration exemption for main street business brokers
Submitted by: Jonathan M. Miller, President, TABB, Inc. Comments received are available for this proposal. |
| 4-589 | Aug. 27, 2009 | Request for rulemaking under the Securities Exchange Act of 1934 to regulate or ban the trading practice known as flash orders and the practice of server co-location.
Submitted by: William E. McDonnell, Jr, Atherton Lane Advisers, LLC Comments received are available for this proposal. |
| 4-642 | Jul. 21, 2009 | Request for rulemaking concerning Mandatory Sustainability Reporting and Disclosure
Submitted by: Lisa Woll, CEO, US SIF: The Forum for Sustainable and Responsible Investing (formerly the Social Investment Forum) |
| 4-586 | Jun. 11, 2009 | Request rulemaking to eliminate the requirement that an arbitrator affiliated with the securities industry sit on all public investor cases arbitrated before FINRA in which the amount in controversy exceeds $100,000
Submitted by: Brian N. Smiley, President, Public Investors Arbitration Bar Association Comments received are available for this proposal. |
| 4-585 | May 26, 2009 | Request rulemaking to amend Item 402 of Regulation S-K to revise the current Summary Compensation Table to better depict the compensation earned for the year by named executive officers
Submitted by: Ira T. Kay and Steven Seelig, Watson Wyatt Worldwide Comments received are available for this proposal. |
| 4-584 | May 17, 2009 | Request for rulemaking under the Investment Company Act of 1940 to amend Rule 3a-5(b)(1) to include a reference to limited liability companies and business trusts
Submitted by: Keith Paul Bishop |
| 4-583 | May 15, 2009 | Request for rulemaking to amend Rule 14a-4(b)(1) under the Securities Exchange Act of 1934 to prohibit conferring discretionary authority to issuers with respect to non-votes on the voter information form or proxy.
Submitted by: James McRitchie, Publisher, Corporate Governance, CorpGov.net on behalf of multiple petitioners Comments received are available for this proposal. |
| 4-580 | Mar. 22, 2009 | Request for rulemaking under the Securities Act of 1933 to amend the reference to Tier 1 of the Philadelphia Stock Exchange, Inc. in Rule 146(b)(1)(ii)
Submitted by: Keith Paul Bishop |
| 4-483 | Feb. 24, 2009 | Additional Petition — Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name"
Submitted by: Lawrence J. Goldstein Note: See also Supplements to additional petition and Original petition Comments received are available for this proposal. |
| 4-578 | Feb. 15, 2009 | Request for rulemaking under the Securities Exchange Act of 1934 to adopt a new identical to Rule 3a12-8 exempting from Commission registration under Section 3(a)(12) of the Act any futures contract on the sovereign debt of a foreign government so that it may lawfully be offered to U.S. persons pursuant to Section 2(a)(1)(C)(iv) of the Commodity Exchange Act
Submitted by: Philip McBride Johnson, Skadden, Arps, Slate, Meagher & Flom LLP |
| 4-577 | Feb. 3, 2009 | Request for rulemaking to amend Rule 15c3-3 under the Exchange Act to treat US government money market mutual fund shares, where the underlying portfolio assets of the fund consist of securities issued or guaranteed by the US government or its agencies or instrumentalities, as “qualified securities” to meet a broker-dealer’s deposit requirements under the Special Reserve Bank Account for the Exclusive Benefit of Customers
Submitted by: Lee A. Pickard, Esq., Pickard and Djinis LLP on behalf of Federated Investors, Inc. |
| 4-576 | Jan. 6, 2009 | Request for the removal of the Rule 32a-4 exemption from the Investment Company Act’s requirement that shareholders vote on the selection of a fund’s independent public accountant if the investment company has an audit committee composed of wholly independent directors
Submitted by: George W. Karpus, Karpus Investment Management |
| 4-572 | Oct. 1, 2008 | Request for rulemaking under the Securities Act of 1933 to amend Rule 144 to remove the prohibition in Rule 144(i) on shareholders who acquired shares when an issue was a “shell company” or former “shell company” from being able to utilize Rule 144 for a sale of unregistered securities if the issuer has not filed its Securities Exchange Act of 1934 reports for the one year prior to the proposed sale, other than in the first year following each date the issuer ceases to be a shell company and releases “Form 10 information”
Submitted by: David N. Feldman, Feldman Weinstein & Smith |
| 4-554 | Sep. 22, 2008 | Additional letter
Note: See also original petition |
| 4-571 | May 14, 2008 | Request for rulemaking under the Securities Exchange Act of 1934 that when a share owner submits a proposal for voting, the share owner may additionally supply an e mail address and, if available, supply a web site address where material relating to the proposal may be viewed
Submitted by: William S. Karn |
| 4-570 | Sep. 23 2008 | Request for rulemaking under the Securities Exchange Act of 1934 to amend Rule 10A-3 to require that issuers submit their choice of auditor to a non-binding vote of shareholders for ratification
Submitted by: Christopher Ailman, California State Teachers' Retirement System Comments received are available for this proposal. |
| 4-565 | Aug. 1, 2008 | Request for joint CFTC and SEC rulemaking to amend CFTC Rule 41.45(b) and SEC Rule 403(b) relating to customer margin levels for security futures products
Submitted by: Donald L. Horowitz, OneChicago, LLC |
| 4-563 | Jul. 21, 2008 | Request for rulemaking for interpretive guidance for registrants pursuant to the Securities Exchange Act of 1934 on public statements concerning global warming and other environmental issues
Submitted by: Steven J. Milloy and Thomas Borelli, Free Enterprise Action Fund Comments received are available for this proposal. |
| 4-562 | Jul. 15, 2008 | Request for rulemaking under the Securities Exchange Act of 1934 to limit fees that options exchanges may charge non-members to obtain access to quotations to $.20 per contract
Submitted by: John C. Nagel, Citadel Comments received are available for this proposal. |
| 4-547 | Jun. 12, 2008 | Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure
Note: For attachments, see original petition (Sep. 18, 2007) Comments received are available for this proposal. |
| 4-558 | May 12, 2008 | Request for rulemaking requiring companies to disclose in the proxy statement the fees associated with all engagements for a single company and any ownership interest a consultant working for the compensation committee may have in the parent consulting firm
Submitted by: Multiple Petitioners Comments received are available for this proposal. |
| 4-557 | Apr. 3, 2008 | Request for rulemaking to adopt new Rule 15c3-4 to address the practice of market participants redefining securities in customer accounts past T+3
Submitted by: Thomas Vallarino, National Investor Protection Coalition Comments received are available for this proposal. |
| 4-556 | Feb. 27, 2008 | Request for Review and Repeal of FAS 123R, "Share-Based Payment"
Submitted by: B. Kipling Hagopian |
| 4-541 | Feb. 11, 2008 | Supplemental petition
Note: For attachments, see original petition Comments received are available for this proposal. |
| 4-555 | Jan. 25, 2008 | Request for rulemaking to amend SEC rules to require public companies to provide a plain English descriptive narrative for all departures or dismissals of their external auditors
Submitted by: Jeff Mahoney, General Counsel, Council of Institutional Investors |
| 4-554 | Jan. 16, 2008 | Request for rulemaking under the Investment Company Act of 1940
to adopt a rule requiring that money market funds make nonpublic
monthly electronic filings of their portfolios to enable the Commission
to monitor more closely the funds’ risk of loss of principal
Submitted by: Fund Fund Democracy, Consumer Federation of America, Consumer Action, AFL-CIO, Financial Planning Association and National Association of Personal Financial Advisors Note: See also additional letter |
| 4-553 | Dec. 19, 2007 | Request for rulemaking under the Securities Exchange Act of 1934 to exempt issuers of certain types of fixed insurance contracts from the reporting requirements of Sections 13 and 15(d) of the Act
Submitted by: Stephen E. Roth, Esq., Sutherland Asbill & Brennan LLP on behalf of Jackson National Life Insurance Company |
| 4-549 | Oct. 22, 2007 | Request for interpretive guidance under the Securities Act of 1933 that would require registrants to disclose to shareholders the business risks of laws and regulations intended to address global warming concerns
Submitted by: Steven J. Milloy and Thomas J. Borelli, on behalf of Free Enterprise Action Fund |
| 4-550 | Oct. 19, 2007 | Joint request for rulemaking to adopt amendments to Regulation S-K that would provide for increased disclosure of certain financial and other relationships between underwriters and registrants
Submitted by: California Public Employees' Retirement System California State Teachers' Retirement System Los Angeles County Employees Retirement Association Illinois Universities Retirement System Tennessee Consolidated Retirement System Citigroup Global Markets Inc. J.P. Morgan Securities Inc. |
| 4-548 | Sep. 25, 2007 | 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. |
| 4-547 | Sep. 18, 2007 | Request for interpretive guidance on Climate Risk Disclosure
See Also: Supplemental petition dated Nov. 23, 2009; Supplemental petition dated Jun. 12, 2008 Submitted by: Multiple petitioners Comments received are available for this proposal. |
| 4-543 | Jul. 9, 2007 | 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 |
| 4-541 | Jun. 18, 2007 | Request for rulemaking under the Securities Exchange Act of 1934 to prohibit broker-dealers from requiring investors to accept mandatory arbitration clauses
Submitted by: Daniel R. Solin Comments received are available for this proposal. |
| 4-542 | Jun. 13, 2007 | 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 |
| 4-540 | May 24, 2007 | Request to Amend "Pattern Day Trader" Rule
Submitted by: Michael Wilson Comments received are available for this proposal. |
| 4-535 | Mar. 28, 2007 | 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. |
| 4-531 | Feb. 10, 2007 | Request for rulemaking on disclosure and transparency in client commission arrangements
Submitted by: William T. George, Blue Sky Research Services |
| 4-530 | Jan. 8, 2007 | 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 |
| 4-528 | Dec. 28, 2006 | 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 |
| 4-525 | Aug. 30, 2006 | 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 |
| 4-521 | Jun. 8, 2006 | 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 |
| 4-519 | Apr. 24, 2006 | Request for rulemaking under the Securities Act of 1933 to expose and prevent unlawful and deceptive activities by securities promoters and their sponsors
Submitted by: R. Cromwell Coulson, Pink Sheets LLC Comments received are available for this proposal. |
| 4-510 | 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
Comments received are available for this proposal. |
|
| Jan. 20, 2006 | Submitted by: Dale E. Brown, Financial Services Institute, Inc. | |
| Jan. 13, 2006 | Submitted by: Carl B. Wilkerson, Esq., American Council of Life Insurers | |
| Jan. 10, 2006 | Submitted by: Ira D. Hammerman, Esq., Securities Industry Association | |
| 4-505 | Jun. 28, 2005 | 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 |
| 4-504 | May 13, 2005 | Request for rulemaking concerning corporate communication regarding company share buybacks
Submitted by: James Schainuck, Jewel Investments |
| 4-503 | May 11, 2005 | Request for rulemaking under the Investment Advisers Act of 1940 regarding retention and production of e-mail by investment advisers
Submitted by: Committee on Investment Management Regulation, The Association of the Bar of the City of New York Comments received are available for this proposal. |
| 4-501 | May 6, 2005 | 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
Submitted by: Daniel R. Solin, Esq. Comments received are available for this proposal. |
| 4-499 | Apr. 8, 2005 | 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 |
| 4-498 | Feb. 11, 2005 | Request for rulemaking concerning auditor independence
Submitted by: Jeffry R. Haber, Iona College |
| 4-496 | Jan. 22, 2005 | 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. |
| 4-495 | Nov. 30, 2004 | 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 |
| 4-494 | Jul. 29, 2004 | 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 |
| 4-493 | Apr. 12, 2004 | Request for Rulemaking Concerning Shareholder Communications
Submitted by: Steve Odland, Chairman-Corporate Governance Task Force, Business Roundtable Comments received are available for this proposal. |
| 4-492 | Dec. 16, 2003 | Request for Rulemaking Concerning Soft Dollars and Directed Brokerage
Submitted by: Matthew Fink, President, Investment Company Institute Comments received are available for this proposal. |
| 4-490 | Feb. 4, 2004 | 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
Submitted by: Scott Schulke Comments received are available for this proposal. |
| 4-489 | Oct. 3, 2003 | 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 |
| 4-486 | Oct. 23, 2001 | 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 |
| 4-484 | July 29, 2003 | 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 |
| 4-483 | Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name"
Comments received are available for this proposal. |
|
| Feb. 24, 2009 | Submitted by: Lawrence J. Goldstein; Supplements to petition | |
| July 3, 2003 | Submitted by: Stephen Nelson, The Nelson Law Firm, on behalf of Nine Institutional Investors | |
| 4-491 | May 15, 2003 | 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 |
| 4-480 | Apr. 14, 2003 | 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
Submitted by: John M. Schaible, President, NexTrade Holdings, Inc. Comments received are available for this proposal. |
| 4-479 | Apr. 11, 2003 | 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. |
| 4-478 | Apr. 3, 2003 | 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
Submitted by: Paul Schott Stevens, Jack W. Murphy and Ethan D. Corey of Dechert LLP on behalf of Federated Investors, Inc. Comments received are available for this proposal. |
| Apr. 4, 2005 | Amended | |
| 4-477 | Mar. 24, 2003 | 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 |
| 4-475 | Sept. 4 2002 | 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 |
| 4-469 | Nov. 1, 2002 | Request for Rulemaking to Amend Rule 19c-5 Regarding Certain Options Exchange Licensing Arrangements
Submitted by: David Krell, President and Chief Executive Officer, International Securities Exchange Comments received are available for this proposal. |
| 4-465 | Sept. 24, 2002 | Request for Rulemaking Concerning Corporate Elections
Submitted by: Deborah Pastor, Portfolio Manager, eRaider.com Inc. Comments received are available for this proposal. |
| 4-463 | Sept. 20, 2002 | Request for Rulemaking
for Clarification of Material Disclosures with Respect to Financially Significant Environmental Liabilities and Compliance with Existing Material Financial Disclosures
Submitted by: Jill Ratner, President, Rose Foundation for Communities and the Environment Comments received are available for this proposal. |
| 4-461 | Aug. 1, 2002 | Request for Rulemaking to Amend Rule 14a-8(i) to Allow Shareholder Proposals To Elect Directors Submitted by: The Committee of Concerned Shareholders and James McRitchie Comments received are available for this proposal. |
| 4-457 | May 23, 2002 | 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 |
| 4-450 | Dec. 31, 2001 | Request for Interpretive Release Concerning MD&A Under Regulation S-K, Item 303
Submitted by: Arthur Andersen LLP, Deloitte and Touche LLP, Ernst & Young LLP, KPMG LLP, PricewaterhouseCoopers LLP, and the American Institute of Certified Public Accountants Comments received are available for this proposal. |
| 4-449 | Dec. 12, 2001 | 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 |
| 4-448 | Dec. 11, 2001 | 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 |
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