United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2004_register executive 2010-09-23 article Part III Proposed Rules D09002ee1c81261b9 D09002ee1c81262e1 United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("Commission" or "SEC") is publishing this concept release and seeking public comment on a range of issues related to the self-regulatory system of the securities industry. This release discusses the foundations of the self-regulatory system and new considerations that the Commission and the industry are facing. In addition, this release describes certain enhancements that could be made to the current system that could improve its operation and also discusses a variety of other potential approaches to securities industry regulation. 69 FR 71256 https://www.govinfo.gov/app/details/FR-2004-12-08/04-26154 04-26154 fr08de04-32 RIN 3235-AJ36 8010-01-P Release No. 34-50700 File No. S7-40-04 https://www.govinfo.gov/app/details/FR-2004-12-08/04-26154 https://www.govinfo.gov/content/pkg/FR-2004-12-08/html/04-26154.htm https://www.govinfo.gov/content/pkg/FR-2004-12-08/pdf/04-26154.pdf 27 p. 71256 71282 69 FR 71256 Title 17 Part 240 17 CFR Part 240 RIN 3235-AJ36 Concept Release Concerning Self-Regulation; Federal Register Vol. 69, Issue PRORULE 04-26154 III SECURITIES AND EXCHANGE COMMISSION 2005-03-08 Release No. 34-50700 File No. S7-40-04 8010-01-P 04-26154 Concept release; request for comment.

The Securities and Exchange Commission ("Commission" or "SEC") is publishing this concept release and seeking public comment on a range of issues related to the self-regulatory system of the securities industry. This release discusses the foundations of the self-regulatory system and new considerations that the Commission and the industry are facing. In addition, this release describes certain enhancements that could be made to the current system that could improve its operation and also discusses a variety of other potential approaches to securities industry regulation.

Comments should be submitted on or before March 8, 2005. Christopher B. Stone, Senior Special Counsel to the Director, at (202) 942-7938 who is in the Division of Market Regulation, Securities and Exchange Commission, 450 Fifth Street NW., Washington DC 20549-1001. Securities: Self-regulation; concept release; comment request, rule-comments@sec.gov http://www.regulations.gov http://www.sec.gov http://www.sec.gov/rules/concept.shtml https://www.citadelgroup.com/ Vol. 69, no. 235 Office of the Federal Register, National Archives and Records Administration 2004-12-08 continuing daily deposited born digital 478 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2004-12-08 P0b002ee1809705ef 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr08de04 https://www.govinfo.gov/app/details/FR-2004-12-08 https://www.govinfo.gov/content/pkg/FR-2004-12-08/pdf/FR-2004-12-08.pdf https://www.govinfo.gov/content/pkg/FR-2004-12-08/xml/FR-2004-12-08.xml fdlp 70871 71338 DGPO 2010-09-23 2024-06-06 FR-2004-12-08 machine generated eng FR FR-2004-12-08 69 235