Other Commission Orders, Notices, and Information

Archive of older SEC Commission Orders, Notices and Information available include:

Second Quarter | First Quarter

Additional Archives

2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995

Release No.	Date	Details
Second Quarter
33-8916	May 2, 2008	Order Making Fiscal Year 2009 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 1934 Other Release No.:  34-57766
33-8915	May 1, 2008	Banc of America Investment Services, Inc. and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Order Under Rule 602(e) of The Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision) File No.:  3-13030
33-8914A	May 1, 2008	Banc of America Investment Services, Inc., and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Corrected Order Under Section 27(A)(B) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(a)(ii) of the Securities Exchange Act of 1934 as to Banc of America Investment Services, Inc., Columbia Management Advisors, LLC, and Their Affiliates) Other Release No.:  34-57749A File No.:  3-13030
IA-2732	Apr. 30, 2008	Kenneth W. Corba (Order Granting Consent to Associate Pursuant to Section 203(F) of the Investment Advisers Act Of 1940)
33-8911	Apr. 24, 2008	Gabelli Funds LLC (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-57708 File No.:  3-13019
33-8910	Apr. 15, 2008	Room Change for Meeting of SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-57669 File No.:  265-24
34-57649	Apr. 11, 2008	Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 (Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.) File No.:  4-551 Comments Due:  May 8, 2008  Submit comments on 4-551
34-57648	Apr. 11, 2008	Order of Summary Abrogation of a Proposed Rule Change Relating to its “Primary Only” Order Type File No.:  SR-NYSEArca-2008-19 See also:  Notice: Rel. No. 34-57377
33-8908	Apr. 9, 2008	Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-57638 File No.:  265-24 Comments Due:  April 25, 2008 Comments received are available for this notice.  Submit comments on 265-24
34-57613	Apr. 3, 2008	Boston Stock Exchange (Declaration of Effectiveness of the Boston Stock Exchange Fingerprinting Plan)
First Quarter
33-8907	Mar. 27, 2008	JPMorgan Chase & Co. (Order Under Section 27a(B) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-57571 File No.:  3-13000
33-8905	Mar. 21, 2008	Regulatory Flexibility Agenda Other Release Nos.:  34-57544, IA-2723, IC-29198 File No.:  S7-09-08 Comments Due:  June 30, 2008  Submit comments on S7-09-08
34-57481	Mar. 12, 2008	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange, LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc. File No.:  S7-966 Comments Due:  April 8, 2008  Submit comments on S7-966
34-57407	Feb. 29, 2008	Fee Rate Adjustment (Order Making Fiscal 2008 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934)
33-8897	Feb. 21, 2008	Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-57364 File No.:  265-24 Comments Due:  March 6, 2008 Comments received are available for this notice.  Submit comments on 265-24
33-8896	Feb. 14, 2008	Progress Report of the SEC Advisory Committee on Improvements to Financial Reporting (Request for Comments) Other Release No.:  34-57331 File No.:  265-24 Comments Due:  March 31, 5008 Comments received are available for this notice.  Submit comments on 265-24
34-57322	Feb. 13, 2008	BATS Exchange, Inc. (Notice of Filing of Application and Amendment No. 1 Thereto for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934) File No.:  10-182 Comments Due:  April 7, 2008 See also:  Form 1 Application and Exhibits Comments received are available for this notice.  Submit comments on 10-182
33-8893	Feb. 13, 2008	Order Regarding Review Of FASB Accounting Support Fee for 2008 Under Section 109 of the Sarbanes-Oxley Act of 2002 Other Release No.:  34-57319
34-57308	Feb. 11, 2008	Notice of Solicitation of Public Views Regarding Practices Being Developed to Deal with the Increasing Number of Senior Investors File No.:  S7-03-08 Comments Due:  April 1, 2008 Comments received are available for this notice.
IA-2702	Feb. 11, 2008	Timothy J. Miller (Order Granting Consent to Associate)
34-57301	Feb. 11, 2008	Order Granting Temporary Exemption of LACE Financial Corp. from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) of the Securities Exchange Act of 1934 See also:  Release No. 34-57300
34-57300	Feb. 11, 2008	Order Granting Registration Of LACE Financial Corp. As A Nationally Recognized Statistical Rating Organization See also:  Release No. 34-57301
34-57235	Jan. 30, 2008	Frederick H. Joseph (Order Approving Application for Relief from a Statutory Disqualification)
33-8882	Jan. 16, 2008	Advisory Committee on Improvements to Financial Reporting (Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting) Other Release No.:  34-57162 File No.:  265-24 Comments Due:  February 4, 2008 Comments received are available for this notice.  Submit comments on 265-24

http://www.sec.gov/rules/other.shtml