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Policy Statements
April 12, 2022
From time to time, the Commission issues a "policy statement" to clarify its position on a particular matter. Below are brief descriptions of and links to recent policy statements.
Release No. Date Details
33-11389 Sept. 17, 2025 Acceleration of Effectiveness of Registration Statements of Issuers with Certain Mandatory Arbitration Provisions
Effective Date: Sept. 19, 2025
See Also: Fact Sheet
Federal Register version (90 FR 45125)
34-103277 Jun. 16, 2025 Policy Statement Concerning Agency Referrals for Potential Criminal Enforcement
Effective Date: June 20, 2025
Federal Register version (90 FR 26203)
34-92565 Aug. 5, 2021 Procedures for the Commission’s Use of Certain Authorities under Rule 21F-3(B)(3) and Rule 21F-6 of the Securities Exchange Act of 1934
Effective Date: August 13, 2021
Federal Register version (86 FR 44604)
IC-34199 Feb. 23, 2021 Commission Statement on Insurance Product Fund Substitution Applications
Effective Date: February 26, 2021
Federal Register version (86 FR 11813)
34-90788 Dec. 23, 2020 Custody of Digital Asset Securities by Special Purpose Broker-Dealers; Statement and Request for Comment
File No.: S7-25-20
Effective Date: April 27, 2021
Comments received are available .
Federal Register version (86 FR 11627)
See Also: Press Release No. 2020-340
34-90492 Nov. 23, 2020 Statement on Central Counterparties Authorized under the European Markets Infrastructure Regulation Seeking to Register as a Clearing Agency or to Request Exemptions from Certain Requirements Under the Securities Exchange Act of 1934
Effective Date: Date of publication in the Federal Register
IA-5547 Jul. 22, 2020 Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers (Conformed to Federal Register version)
Effective Date: September 3, 2020
See Also: Final Rule Rel. No. 34-89372
34-87327 Oct. 17, 2019 Commission Statement on Market Structure Innovation for Thinly Traded Securities (Conformed to Federal Register version)
File No.: S7-18-19
Effective Date: October 17, 2019
Comments received are available . See also: Background Paper on the Market Structure for Thinly Traded Securities
Federal Register version (84 FR 56956)
IA-5325 Aug. 21, 2019 Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
Other Release No.: IC-33605
Effective Date: September 10, 2019
Federal Register version (82 FR 47420)
34-84511 Oct. 31, 2018 Commission Statement on Certain Provisions of Business Conduct Standards for Security- Based Swap Dealers and Major Security-Based Swap Participants (Conformed to Federal Register version)
File No.: S7-24-18
Effective Date: November 6, 2018
See also: Comments from Church Alliance and IIB/SIFMA
34-80870 Jun. 7, 2017 Commission Statement Concerning a Request Made Pursuant to Exchange Act Rule 3a68-2
See also: Exhibits
34-75050 May 27, 2015 Final Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies
File No.: S7-10-15
34-71134 Dec. 19, 2013 Extension of Comment Period for Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies
File No.: S7-08-13
Comments Due: February 7, 2014
Comments received are available .
34-70731 Oct. 22, 2013 Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies and Request for Comment
File No.: S7-08-13
Comments Due: December 24, 2013
Comments received are available .
Federal Register (78 FR 64052): HTML | PDF | text | XML
34-67177 Jun. 11, 2012 Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps Adopted Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act
File No.: S7-05-12
Comments Due: 60 days from publication of 34-69491 in the Federal Register
Comments received are available .
Federal Register (77 FR 35625): HTML | PDF | text | XML
34-61340 Jan. 13, 2010 Policy Statement Concerning Cooperation by Individuals in its Investigations and Related Enforcement Actions
Effective Date: January 19, 2010
34-55043 Jan. 5, 2007 Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities
File No.: S7-08-06
Effective Date: January 11, 2007
34-53773 May 9, 2006 Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities
See also: Federal Register Posting (May 16, 2006)
File No.: S7-08-06
Comments Due: June 15, 2006
Comments received are available for this proposal.
34-53638 Apr. 12, 2006 Policy Statement Concerning Subpoenas to Members of the News Media
Effective Date: April 12, 2006
34-49873 Jun. 16, 2004 Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities; Extension of Comment Period
File No.: S7-22-04
Comments Due: July 19, 2004
Comments received are available for this proposal.
34-49695 May 13, 2004 Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities
File No.: S7-22-04
Comments Due: See release 34-49873
Comments received are available for this proposal.
34-48545 Sep. 25, 2003 Business Continuity Planning for Trading Markets
File No.: S7-17-03
Effective Date: October 1, 2003
Comments Due: October 31, 2003
Comments received electronically are available for this proposal.
33-8221 Apr. 25, 2003 Commission Statement of Policy Reaffirming the Status of the FASB as a Designated Private-Sector Standard Setter
Release No.: 34-47743
33-7993 Jul. 17, 2001 Commission Policy Statement on the Establishment and Improvement of Standards Related to Auditor Independence
33-7568 Aug. 27, 1998 Commission Statement of Policy on Regulatory Moratorium to Facilitate the Year 2000 Conversion
34-40306 Aug. 5, 1998 Final Statement of Policy: Alternative Dispute Resolution Policy
Effective Date: date of publication in Federal Register
33-7507 Feb. 18, 1998 Commission Statement of Policy on the Establishment and Improvement of Standards Related to Auditor Independence
Effective Date: 30 days after publication in Federal Register
33-7382 Jan. 22, 1997 Policy Statement: Designation of Small Business Compliance Guides
Effective Date: date published in Federal Register
34-29185 May 9, 1991 Policy Statement: Automated Systems of Self-Regulatory Organizations (II)
Effective Date: May 9, 1991
34-27445 Nov. 16, 1989 Policy Statement: Automated Systems of Self-Regulatory Organizations
Effective Date: November 16, 1989
Last Reviewed or Updated: April 12, 2022
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