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_______________________________________________________________________

Part LXIV





Securities and Exchange Commission





_______________________________________________________________________



Semiannual Regulatory Agenda


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SECURITIES AND EXCHANGE COMMISSION (SEC)                               
  
  
_______________________________________________________________________
  

 
SECURITIES AND EXCHANGE COMMISSION

17 CFR Ch. II

[Release Nos. 33-7089, 34-34627, 35-26115, 39-2322, IC-20526, IA-1439; 
File No. S7-25-94]

Regulatory Flexibility Agenda

AGENCY: Securities and Exchange Commission.

ACTION: Publication of regulatory flexibility agenda.

_______________________________________________________________________

SUMMARY: The Securities and Exchange Commission is publishing an agenda 
of its rulemaking actions pursuant to the Regulatory Flexibility Act. 
Information in the agenda is believed to be accurate as of August 12, 
1994, the date on which the Commission's staff completed compilation of 
the data. To the extent possible, however, rulemaking actions by the 
Commission since that date have been reflected in the agenda. The 
Commission invites questions and public comment on the agenda and on 
the individual agenda entries.

DATES: Public comments are due by December 30, 1994.

ADDRESSES: Persons wishing to submit written comments should file three 
copies of their comments with Jonathan G. Katz, Secretary, Securities 
and Exchange Commission, 450 5th Street NW., Room 6184, Stop 6-9, 
Washington, DC 20549. All submissions should refer to File No. S7-25-94 
and will be available for public inspection and copying at the 
Commission's Public Reference Room, Room 1026, at the same address.

FOR FURTHER INFORMATION CONTACT: Kevin M. Kirchoff, Office of the 
General Counsel, (202) 942-0882.

SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act (RFA) (Pub. 
L. No. 96-354, 94 Stat. 1164 (September 19, 1980)) requires each 
Federal agency, during April and October of each year, to publish in 
the Federal Register an agenda identifying rules which the agency 
expects to propose or adopt that are likely to have a significant 
economic impact on a substantial number of small entities (5 U.S.C. 
602(a)). The RFA specifically provides that publication of the agenda 
does not preclude an agency from considering or acting on any matter 
not included in the agenda and that an agency is not required to 
consider or act on any matter which is included in the agenda (5 U.S.C. 
602(d)). The agenda includes new entries, entries carried over from 
previous publications, and rulemaking actions which have been completed 
(or withdrawn) since publication of the last agenda.

    The following abbreviations for the acts administered by the 
Commission are used throughout the agenda:

    ``Securities Act'' - Securities Act of 1933

    ``Exchange Act'' - Securities Exchange Act of 1934

    ``PUHCA'' - Public Utility Holding Company Act of 1935

    ``Investment Company Act'' - Investment Company Act of 1940

    ``Investment Advisers Act'' - Investment Advisers Act of 1940

    The Commission's regulatory flexibility agenda is set forth 
below. The Commission invites public comment on the agenda and on 
the individual agenda entries.

Dated: September 1, 1994.

    By the Commission.

Jonathan G. Katz,

Secretary.

                                 DIVISION OF CORPORATION FINANCE--Prerule Stage                                 
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5252        American Depositary Receipts..........................................................    3235-AE57 
----------------------------------------------------------------------------------------------------------------


                              DIVISION OF CORPORATION FINANCE--Proposed Rule Stage                              
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5253        Asset-Backed Securities Disclosure....................................................    3235-AF74 
5254        Disclosure of Security Ratings........................................................    3235-AG20 
5255        Ownership Reports and Trading by Officers, Directors, and Principal Security Holders..    3235-AF66 
5256        Disclosure of Investment Advice Paid for by Interested Parties........................    3235-AG08 
5257        Limited Partnership Roll-up Transactions..............................................    3235-AG09 
5258        Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations.    3235-AG16 
5259        Financial Statements of Significant Foreign Equity Investees and Acquired Foreign                   
            Businesses of Domestic Issuers and Financial Schedules................................    3235-AG17 
5260        Debt Tender Offers....................................................................    3235-AD69 
----------------------------------------------------------------------------------------------------------------


                                DIVISION OF CORPORATION FINANCE--Final Rule Stage                               
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5261        Reporting Currency Selection and Reconciliation to U.S. GAAP for Certain Foreign                    
            Private Issuers.......................................................................    3235-AD70 
5262        Summary Prospectus Requirements and Information.......................................    3235-AD90 
5263        EDGAR Implementation..................................................................    3235-AG10 
5264        Exemptive Relief and Filing Requirements for Debt Securities Listed on a National                   
            Securities Exchange...................................................................    3235-AG11 
5265        Small Issue Exemptive Rule and Registration Forms for Certain Rights Offerings........    3235-AD44 
5266        Forms for Information Filed by Exempt Foreign Private Issuers.........................    3235-AD72 
5267        Reports by Certain Owners of Equity Securities: Regulation 13D-G......................    3235-AD09 
5268        International Tender and Exchange Offers..............................................    3235-AD97 
----------------------------------------------------------------------------------------------------------------


                               DIVISION OF CORPORATION FINANCE--Completed Actions                               
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5269        Simplification of Registration Procedures for Securities Offerings by Foreign Private               
            Issuers...............................................................................    3235-AF83 
----------------------------------------------------------------------------------------------------------------


                                DIVISION OF INVESTMENT MANAGEMENT--Prerule Stage                                
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5270        Investment Company Act Securities Registration: Rules 24f-1 and 24f-2.................    3235-AC25 
5271        Certain Investment Company Registration Forms.........................................    3235-AE46 
5272        Exemption from Certain Filing Requirements for Certain Affiliated Persons of                        
            Investment Advisers...................................................................    3235-AF81 
5273        Staff Interpretive Statement on Wrap Fee Programs.....................................    3235-AG07 
----------------------------------------------------------------------------------------------------------------


                             DIVISION OF INVESTMENT MANAGEMENT--Proposed Rule Stage                             
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5274        Investment Advisers: Registration and Annual Supplement Forms.........................    3235-AD21 
5275        Unit Investment Trusts: Simplification of Registration Statements and Advertising                   
            Rules.................................................................................    3235-AA47 
5276        Accounting Treatment of Investment Company Expenses Paid Through Brokerage Commission.    3235-AF94 
5277        Registration Form Amendments Pertaining to Money Market Funds and Separate Accounts...    3235-AF95 
5278        Certain Two-Tier Real Estate Limited Partnerships.....................................    3235-AC84 
5279        Exemption for Finance Subsidiaries of Certain Banks and Insurance Companies...........    3235-AE95 
5280        Eligible Foreign Custodians: Investment Company Act Rule 17f-5........................    3235-AE98 
5281        Assignments of Advisory Contracts: Temporary Exemptions...............................    3235-AF57 
5282        Investment Company Distribution Plans: Rules 12b-1 and 17d-3..........................    3235-AF62 
5283        Custody of Securities and Investments by Investment Company...........................    3235-AF70 
5284        Exemption From Disqualification for Certain Affiliated Persons........................    3235-AF89 
5285        Investment Company Books and Records Requirements.....................................    3235-AE94 
5286        Amendments to Form-N-SAR, Semi-Annual Report of Registered Investment Companies.......    3235-AF93 
5287        PUHCA: Exemption for Certain Acquisitions of Foreign Utility Companies................    3235-AF78 
5288        PUHCA: Dividend Declarations and Payments on Certain Indebtedness.....................    3235-AG04 
5289        PUHCA: Annual Report of Mutual and Subsidiary Service Companies.......................    3235-AG05 
----------------------------------------------------------------------------------------------------------------


                               DIVISION OF INVESTMENT MANAGEMENT--Final Rule Stage                              
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5290        Suitability of Investment Adviser Advice; Quarterly Account Statements................    3235-AG06 
5291        Investment Company Proxy Rules........................................................    3235-AA69 
5292        Tax Exempt Money Market Fund Rule Proposals...........................................    3235-AE17 
5293        Effective Date of Certain Post-Effective Amendments...................................    3235-AF96 
5294        Exemptions for Certain Investment Companies to Impose Deferred Sales Loads............    3235-AE97 
5295        Exemption for Multiple Classes of Shares; Disclosure by Multiple Class and Master-                  
            Feeder Funds..........................................................................    3235-AF00 
5296        Expedited Procedure for Exemptive Orders and Expanded Delegated Authority.............    3235-AF56 
5297        Off-the-Page Prospectuses for Open-End Management Investment Companies................    3235-AF58 
5298        Certain Research and Development Companies............................................    3235-AF69 
5299        Continuous or Delayed Offerings by Certain Investment Companies; Automatic                          
            Effectiveness of Certain Registration Statements......................................    3235-AF86 
5300        Custody of Investment Company Assets With Futures Commission Merchants and Commodity                
            Clearing Organizations................................................................    3235-AF97 
5301        Redemptions by Open-End Management Investment Companies at Periodic Intervals or With               
            Extended Payment......................................................................    3235-AF98 
5302        PUHCA: Revision of Financing Rules....................................................    3235-AF49 
5303        PUHCA: Exemption for Subsidiary Companies Formed to Hold Interests in Foreign                       
            Companies.............................................................................    3235-AF79 
5304        PUHCA: Subsidiaries Performing Services or Construction or Selling Goods..............    3235-AF87 
5305        PUHCA: Exemption for Transactions With Foreign Associates.............................    3235-AG19 
----------------------------------------------------------------------------------------------------------------


                              DIVISION OF INVESTMENT MANAGEMENT--Completed Actions                              
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5306        Disclosure by Investment Advisers Regarding Wrap Fee Programs.........................    3235-AG02 
5307        Investment Company Books and Records..................................................    3235-AD66 
5308        PUHCA: Revision of Rules and Forms....................................................    3235-AF68 
----------------------------------------------------------------------------------------------------------------


                                  DIVISION OF MARKET REGULATION--Prerule Stage                                  
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5309        Distributions of Securities: Limitations on Trading and Stabilizing...................    3235-AF54 
5310        Market Risk Haircuts for Instruments Subject to Interest Rate Risk....................    3235-AG18 
5311        Notice by SROs Regarding Statutory Disqualifications..................................    3235-AE39 
----------------------------------------------------------------------------------------------------------------


                               DIVISION OF MARKET REGULATION--Proposed Rule Stage                               
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5312        Customer Protection Reserves and Custody of Securities................................    3235-AD60 
5313        Net Capital Requirements for Brokers or Dealers.......................................    3235-AD79 
5314        Initiation or Resumption of Quotations Without Specific Information...................    3235-AD94 
5315        Stabilizing To Facilitate a Distribution..............................................    3235-AE11 
5316        Definitions Principally Relating to International Transactions........................    3235-AE15 
5317        Definition of ``Short Sale''..........................................................    3235-AE41 
5318        Amendments to Confirmation Requirements of Rule 10b-10................................    3235-AF84 
5319        Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and                
            Dealers...............................................................................    3235-AG03 
5320        Disclosure of Mark-ups: New Rule 15c2-13..............................................    3235-AG12 
5321        Municipal Securities Disclosure.......................................................    3235-AG13 
5322        Theoretical Pricing To Determine Haircuts on Options..................................    3235-AG14 
5323        Notice of Assumption or Termination of Transfer Agent Services........................    3235-AE20 
5324        Securities Transactions Exempt From Transaction Fees..................................    3235-AE52 
5325        Debt Obligations Issued by the Kingdom of Spain.......................................    3235-AF88 
5326        Disclosure of Payment for Order Flow..................................................    3235-AG00 
5327        Large Trader Reporting System.........................................................    3235-AE42 
----------------------------------------------------------------------------------------------------------------


                                 DIVISION OF MARKET REGULATION--Final Rule Stage                                
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
  Number                                                                                               Number   
----------------------------------------------------------------------------------------------------------------
5328        Rule Changes of SROs; Amendments to Registration Statements of Exchanges, Securities                
            Associations, and Reports of the MSRB.................................................    3235-AG15 
----------------------------------------------------------------------------------------------------------------


                                  OFFICES AND OTHER PROGRAMS--Final Rule Stage                                  
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 

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