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Other Commission Orders, Notices,
and Information Archives: 2001

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

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
33-8040 Dec. 12, 2001 Cautionary Advice Regarding Disclosure About Critical Accounting Policies
Release Nos.: 34-45149; FR-60
(Release also available in PDF format)
33-8039 Dec. 4, 2001 Cautionary Advice Regarding the Use of "Pro Forma" Financial Information in Earnings Releases
Release Nos.: 34-45124, FR-59
33-8028 Oct. 25, 2001 American Life Insurance Company of New York (Statements Concerning the Order Declaring Registration Statement Effective)
33-8027 Oct. 25, 2001 American Life Insurance Company of New York (Order Declaring Registration Effective Pursuant to Section 8(a) of the Securities Act of 1933)
34-44916 Oct. 10, 2001 Order Regarding Government Securities Reconciliations
Third Quarter
34-44874 Sept. 28, 2001 Exemptive Order Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 Issuing Exemptive Relief to Respond to Market Developments
34-44871 Sept. 28, 2001 Order Regarding Government Securities Reconciliations
34-44846 Sept. 25, 2001 American Stock Exchange LLC; Boston Stock Exchange, Inc.; Chicago Board Options Exchange, Inc.; Chicago Stock Exchange, Inc.; Cincinnati Stock Exchange; International Securities Exchange, LLC; National Association of Securities Dealers, Inc.; New York Stock Exchange, Inc.; Pacific Exchange, Inc.; and Philadelphia Stock Exchange, Inc. (Order Extending the Deadline to Submit Rule Filings)
File No.: 4-430
34-44839 Sept. 24, 2001 Order Regarding Government Securities Reconciliations
34-44828 Sept. 21, 2001 American Stock Exchange LLC (Order Extending Emergency Order Under Section 12(k)(2) of the Securities Exchange Act of 1934)
IC-25165 Sept. 21, 2001 Order Extending Prior Order Under Sections 6(c), 17(b) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Certain Provisions of the Act and Certain Rules Thereunder
34-44827 Sept. 21, 2001 Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments
34-44797 Sept. 16, 2001 American Stock Exchange LLC (Emergency Order Under Section 12(k)(2) of the Securities Exchange Act of 1934)
34-44791 Sept. 14, 2001 Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond To Market Developments
IC-25156 Sept. 14, 2001 Exemptions (Order Granting Exemptions Under Sections 6(c), 17(d) and 38(a) of the Investment Company Act of 1940)
4-442 Aug. 23, 2001 Investment Company Institute (Letter in response to Petition for Rulemaking)
File No.:  4-442
34-44731 Aug. 21, 2001 Futures Commission Merchants and Introducing Brokers (Order Granting Temporary Exemption from the Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934)
Note: Also Available in PDF Format: 34-44731
34-44729 Aug. 21, 2001 Persons Engaging in Security Futures Product Transactions (Order Granting Temporary Exemption)
34-44725 Aug. 20, 2001 Listing Standards Requirements (Joint Order Granting Modifications under Section 6(h) of the Securities Exchange Act of 1934 and Criteria under Section 2(a)(1) of the Commodity Exchange Act)
34-44625 Jul. 31, 2001 The Nasdaq Stock Market, Inc. (Extension of Comment Period for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.:   10-131
34-44569 Jul. 18, 2001 Interim Final Rules on Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 (Extension of Comment Period)
File No.:   S7-12-01
Comments Due:   On or before September 4, 2001
See also Final Rule, Rel. No. 34-44291 and comments;
Other Rules, Rel. Nos. 34-47649, 34-46751, 34-45897, 34-44570
Second Quarter
34-44396 Jun. 7, 2001 The Nasdaq Stock Market, Inc. (Notice of Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934)
File No.:   10-131
Comments Due: 45 days after publication in the Federal Register
Note: Comments received electronically are available for this notice.
34-44177 Apr. 12, 2001 Joint Industry Plan (Order Approving Procedures Under Rule 11Ac1-5 of the Securities Exchange Act of 1934)
First Quarter
33-7964 Mar. 23, 2001 Notice: Securities Uniformity; Annual Conference on Uniformity of Securities Laws
File No.: S7-08-01
Comments Due: April 25, 2001
Note: Comments received are available for this notice.
34-43992 Feb. 21, 2001 Joint Industry Plan (Notice of Proposed Procedures under Rule 11Ac1-5 of the Securities Exchange Act of 1934)
No release number Feb. 9, 2001 Chairman Arthur Levitt (Letter to industry regarding T+1)
34-43909 Jan. 31, 2001 Berkshire Hathaway, Inc. (Order Declining Review)
PA-31 Jan. 19, 2001 Privacy Act of 1974 – Notice of Modifications to a System of Records and Establishment of a New System of Records: Changes to "Applications for Registration or Exemption Under the Investment Advisers Act of 1940 and the Investment Company Act of 1940" (SEC-2), Resulting in a New System – "Investment Adviser Records " (SEC-50)
File No.: S7-02-01
Note: Comments received are available for this notice.

 

http://www.sec.gov/rules/other/otherarchive/other2001.shtml


Modified: 10/16/2014