Home > 2004 Unified Agenda > ua13de04 4242. COLLECTION PRACTICES UNDER SECTION 31 OF THE EXCHANGE ACT...

ua13de04 4242. COLLECTION PRACTICES UNDER SECTION 31 OF THE EXCHANGE ACT...


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4226        Regulation B..........................................................................    3235-AJ28
4227        Rule 15c2-2: Confirmation of Transactions in Open-End Management Investment Company       3235-AJ11
            Shares, Unit Investment Trust Interests, and Municipal Fund Securities Used for
            Education Savings.....................................................................
4228        Rule 15c2-3: Point-of-Sale Disclosure for Purchase Transactions in Open-End Management    3235-AJ12
            Investment Company Shares, Unit Investment Trust Interests, and Municipal Fund
            Securities Used for Education Svgs....................................................
4229        Rule 15c-100: Schedule 15C............................................................    3235-AJ13
4230        Rule 15c-101: Schedule 15D............................................................    3235-AJ14
4231        Regulation NMS........................................................................    3235-AJ18
4232        Amendments to the Penny Stock Rules...................................................    3235-AI02
4233        Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the      3235-AJ04
            Securities Exchange Act of 1934.......................................................
4234        Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries.........    3235-AJ26
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[[Page 74263]]


                                DIVISION OF MARKET REGULATION--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4235        Request for Comment on the Regulation of NASDAQ Petition Relating to NASDAQ Listed        3235-AI86
            Securities............................................................................
4236        Securities Transactions Settlement....................................................    3235-AJ19
4237        Publication or Submission of Quotations Without Specified Information.................    3235-AH40
4238        Concept Release: Competitive Developments in the Options Markets......................    3235-AJ15
----------------------------------------------------------------------------------------------------------------


                                DIVISION OF MARKET REGULATION--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4239        Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated     3235-AI96
            Supervised Entities...................................................................
4240        Supervised Investment Bank Holding Companies..........................................    3235-AI97
4241        Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products......    3235-AI61
4242        Collection Practices Under Section 31 of the Exchange Act.............................    3235-AJ02
4243        Short Sales...........................................................................    3235-AJ00
4244        Covered Securities for Purposes of the Securities Act of 1933.........................    3235-AJ03
4245        Proposed Rule Changes of Self-Regulatory Organizations................................    3235-AJ20
4246        Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and       3235-AI19
            Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of
            1934..................................................................................
----------------------------------------------------------------------------------------------------------------


                                 OFFICES AND OTHER PROGRAMS--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4247        Regulation PCAOB......................................................................    3235-AJ34
----------------------------------------------------------------------------------------------------------------


                                  OFFICES AND OTHER PROGRAMS--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4248        International Accounting Standards....................................................    3235-AH65
4249        Implementation of Standards of Professional Conduct for Attorneys.....................    3235-AI72
----------------------------------------------------------------------------------------------------------------

_______________________________________________________________________

<DOC>
[December 13, 2004 (Volume 69, Number 238)]
[Unified Agenda]
 [frwais.access.gpo.gov]
                         

[Page 74263-74264]
 
Securities and Exchange Commission (SEC)            Proposed Rule Stage
 
Division of Corporation Finance

_______________________________________________________________________
 
4171. INDUSTRY GUIDE 3--STATISTICAL DISCLOSURE BY BANK HOLDING COMPANIES



Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is 
undetermined.

Legal Authority: 5 USC 77a et seq; 5 USC 78a et seq

CFR Citation: 17 CFR 229; 17 CFR 231; 17 CFR 241

Legal Deadline: None

Abstract: The Division of Corporation Finance is considering 
recommending that the Commission propose amendments to Securities Act 
Industry Guide 3 and Exchange Act Industry Guide 3, Statistical 
Disclosure by Banking Holding Companies, to update them and apply them 
more broadly to registrants engaging in lending, investing, or deposit-
taking activities, in addition to banks and bank holding companies. The 
revisions also would likely take into account changes in financial 
reporting rules and the increasingly diverse lending and investing 
activities that expose registrants to credit risk.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            03/00/05

Regulatory Flexibility Analysis Required: Undetermined

Government Levels Affected: None

Agency Contact: Carol Stacey, Division of Corporation Finance, 
Securities and Exchange Commission, 450 5th Street NW, Washington, DC 
20549
Phone: 202 942-2960

RIN: 3235-AI10

[[Page 74264]]

_______________________________________________________________________


<DOC>
[December 13, 2004 (Volume 69, Number 238)]
[Unified Agenda]
 [frwais.access.gpo.gov]
                         

[Page 74264]
 
Securities and Exchange Commission (SEC)            Proposed Rule Stage
 
Division of Corporation Finance

_______________________________________________________________________
 
4172. STREAMLINING RULE 144

Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is 
undetermined.

Legal Authority: 15 USC 77a et seq

CFR Citation: 17 CFR 230.144

Legal Deadline: None

Abstract: The Commission proposed revisions to Rule 144, Rule 145, and 
Form 144 to make the rules and form easier to understand and apply. The 
Division is considering recommending that the Commission repropose 
amendments that would, among other things, add a bright line test to 
the Rule 144 definition of affiliate, increase the Form 144 filing 
thresholds, and codify certain interpretive positions.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            02/20/97                     62 FR 9246
NPRM Comment Period End         04/29/97
Second NPRM                     02/00/05

Regulatory Flexibility Analysis Required: Yes

Small Entities Affected: Businesses

Government Levels Affected: None

URL For More Information:
www.sec.gov/rules/proposed/33-7391.txt

Agency Contact: Raymond A. Be, Office of Rulemaking, Division of 
Corporation Finance, Securities and Exchange Commission, 450 5th Street 
NW, Washington, DC 20549
Phone: 202 942-2910

RIN: 3235-AH13
_______________________________________________________________________


<DOC>
[December 13, 2004 (Volume 69, Number 238)]
[Unified Agenda]
 [frwais.access.gpo.gov]
                         

[Page 74264]
 
Securities and Exchange Commission (SEC)            Proposed Rule Stage
 
Division of Corporation Finance

_______________________________________________________________________
 
4173. ELECTRONIC SIGNATURES ACT AND INFORMATION DELIVERY UNDER THE 
SECURITIES ACT OF 1933

Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is 
undetermined.

Legal Authority: 15 USC 77z-3; 15 USC 78c(b)

CFR Citation: 17 CFR 230.405

Legal Deadline: None

Abstract: The Division of Corporation Finance is considering 
recommending to the Commission an amendment to the definition of the 
term ``graphic communication'' in Rule 405 to codify the Commission's 
long-standing position that the information delivery requirements of 
the Securities Act may be satisfied through the use of electronic 
media.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            02/00/05

Regulatory Flexibility Analysis Required: Undetermined

Government Levels Affected: None

Agency Contact: Andrew Thorpe, Special Counsel, Division of Corporation 
Finance, Securities and Exchange Commission, 450 5th Street NW, 
Washington, DC 20549
Phone: 202 942-2910

RIN: 3235-AI82
_______________________________________________________________________


<DOC>
[December 13, 2004 (Volume 69, Number 238)]
[Unified Agenda]
 [frwais.access.gpo.gov]
                         

[Page 74264]
 
Securities and Exchange Commission (SEC)            Proposed Rule Stage
 
Division of Corporation Finance

_______________________________________________________________________
 
4174. <bullet<ls-thn-eq> REVISION TO ACCELERATED FILER DEFINITION

Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is 
undetermined.

Legal Authority: Not Yet Determined

CFR Citation: 17 CFR 240.12b-2

Legal Deadline: None

Abstract: The Division of Corporation Finance is considering 
recommending that the Commission propose rules that would revise the 
definition of an ``accelerated filer'' in Rule 12b-2 under the Exchange 
Act to allow a company to exit accelerated filer status if it no longer 
has an aggregate market value of voting or non-voting common equity 
held by non-affiliates as of the end of a fiscal year.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            12/00/04

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

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