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Staff Legal Bulletins

Staff Legal Bulletins summarize the Commission staff's views regarding various aspects of the federal securities laws and SEC regulations. They represent interpretations and policies followed by the Divisions of Corporation Finance, Market Regulation, or Investment Management on any given matter. Because they represent the views of the staff, staff legal bulletins are not legally binding.

Bulletin No. Date Details
SLB 20 Jun. 30, 2014 Proxy Voting: Proxy Voting Responsibilities of Investment Advisers and Availability of Exemptions from the Proxy Rules for Proxy Advisory Firms;
Division of Investment Management and Division of Corporation Finance
SLB 14G Oct. 16, 2012 Shareholder Proposals;
Division of Corporation Finance
SLB 14F Oct. 18, 2011 Shareholder Proposals;
Division of Corporation Finance
SLB 19 Oct. 14, 2011 Legality and Tax Opinions in Registered Offerings;
Division of Corporation Finance
SLB 18 Mar. 15, 2010 Exchange Act Rule 12h-3;
Division of Corporation Finance
SLB 14E Oct. 27, 2009 Shareholder Proposals;
Division of Corporation Finance
SLB 14D Nov. 7, 2008 Shareholder Proposals;
Division of Corporation Finance
SLB 3A Jun. 18, 2008 Section 3(a)(10) exemption from the Securities Act's registration requirements and the resale status of securities received in transactions exempt from registration pursuant to Section 3(a)(10) (Revised);
Division of Corporation Finance
(This bulletin replaces SLB 3R and SLB 3 in their entirety.)
SLB 14C Jun. 28, 2005 Shareholder Proposals;
Division of Corporation Finance
SLB 14B Sep. 15, 2004 Shareholder Proposals;
Division of Corporation Finance
SLB 17 Mar. 19, 2004 Remote Office Supervision;
Division of Market Regulation
SLB 16 Jan. 20, 2004 Transactions in Listed Options Under Exchange Act Rule 11Ac1-1;
Division of Market Regulation
SLB 14A Jul. 12, 2002 Shareholder Proposals;
Division of Corporation Finance
SLB 9 Apr. 12, 2002 Frequently Asked Questions About Regulation M (REVISED!);
Division of Market Regulation
SLB 13A Oct. 16, 2001 Frequently Asked Questions About Rule 11Ac1-6;
Division of Market Regulation
SLB 15 Sep. 5, 2001 Listing Standards for Trading Security Futures Products;
Division of Market Regulation
SLB 14 Jul. 13, 2001 Shareholder Proposals;
Division of Corporation Finance
SLB 1A Jul. 11, 2001 Confidential Treatment Requests (with Addendum);
Division of Corporation Finance
See also:  SLB 1
SLB 13 Jun. 22, 2001 Frequently Asked Questions About Rule 11Ac1-6;
Division of Market Regulation
SLB 12A Jun. 22, 2001 Frequently Asked Questions About Rule 11Ac1-5 (Revised);
Division of Market Regulation
SLB 11 Sep. 19, 2000 The Applicability of the Investment Advisers Act of 1940 to Financial Advisors to Municipal Bond Issuers;
Division of Investment Management
SLB 10 Aug. 25, 2000 Prohibited Solicitations and "Tie-in" Agreements for Aftermarket Purchases;
Division of Market Regulation
SLB 7A Jun. 7, 1999 Plain English Disclosure An updated guide to the plain English rule and amendments that apply to public companies filing with the Division of Corporation Finance (Updated);
Division of Corporation Finance
See also:  SLB 7
SLB 8 Sep. 9, 1998 How broker-dealers should handle customer orders and notify customers when marketwide circuit breakers halt trading on exchanges; also, the need for broker-dealers to maintain enough internal systems capacity to operate properly when trading volume is extremely high;
Division of Market Regulation
SLB 7 Sep. 4, 1998 Helpful information on the plain English rule and amendments that apply to public companies filing with the Division of Corporation Finance
Division of Corporation Finance
See also:   Updated: SLB 7A
SLB 6 Jul. 22, 1998 A reminder to public issuers, broker-dealers, investment advisers, and investment companies to consider their disclosure obligations in connection with the January 1, 1999, conversion by 11 member states of the European Union to a common currency, the "euro.";
Divisions of Corporation Finance, Market Regulation and Investment Management
SLB 5 Jan. 12, 1998 A reminder to public operating companies, investment advisors, and investment companies to consider their disclosure obligations relating to anticipated costs, problems and uncertainties associated with the Year 2000 issue (Revised!);
Division of Corporation Finance and the Division of Investment Management
SLB 4 Sep. 16, 1997 Whether Section 5 of the Securities Act of 1933 applies to spin-offs; also addresses related matters, including how securities received in spin-offs may be resold under the Securities Act;
Division of Corporation Finance
SLB 2 Apr. 15, 1997 Requests to modify the Securities Exchange Act of 1934 periodic reporting of issuers that are either reorganizing or liquidating under the provisions of the United States Bankruptcy Code;
Division of Corporation Finance
SLB 1 Feb. 28, 1997 The requirements a registrant must satisfy when requesting confidential treatment of information that otherwise is required to be disclosed in registration statements, periodic reports and other documents filed with the SEC;
Division of Corporation Finance
See also: Revised:  SLB 1A

 

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Modified: 06/30/2014