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Other Commission Orders, Notices,
and Information Archives: 2003

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
33-8352 Dec. 29, 2003 Canadian Imperial Bank of Commerce (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
Release No. 34-48999
33-8351 Dec. 29, 2003 Canadian Imperial Bank of Commerce (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8332 Oct. 31, 2003 Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8331 Oct. 31, 2003 Lehman Brothers Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8330 Oct. 31, 2003 J.P. Morgan Securities Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8329 Oct. 31, 2003 U.S. Bancorp Piper Jaffray Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8328 Oct. 31, 2003 U.S. Bancorp Piper Jaffray Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
Release No.: 34-48729
33-8327 Oct. 31, 2003 UBS Securities LLC, F/K/A, UBS Warburg LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8326 Oct. 31, 2003 UBS Securities LLC, F/K/A, UBS Warburg LLC (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
Release No.: 34-48728
33-8325 Oct. 31, 2003 Morgan Stanley & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8324 Oct. 31, 2003 Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8323 Oct. 31, 2003 Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8322 Oct. 31, 2003 Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8321 Oct. 31, 2003 Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
Release No.: 34-48726
33-8320 Oct. 31, 2003 Bear, Stearns & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8319 Oct. 31, 2003 Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8318 Oct. 31, 2003 Merrill Lynch, Pierce, Fenner & Smith Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
Release No.: 34-48723
Third Quarter
33-8278 Sep. 4, 2003 Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) under the Securities Act of 1933)
33-8277 Sep. 4, 2003 Goldman, Sachs & Co. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
Release No.:  34-48437
34-48368 Aug. 20, 2003 Berkshire Hathaway Inc. (Order Affirming the Determination of the Division of Investment Management to Deny Confidential Treatment)
34-48281 Aug. 4, 2003 Broker-Dealer Financial Statement Requirements under Section 17 of the Exchange Act
See also:  34-54920; 34-52909; 34-50020
33-8263 Aug. 1, 2003 FASB Accounting Support Fee (Order for Review under Section 109 of the Sarbanes-Oxley Act of 2002)
Release No.:  34-48277
33-8262 Aug. 1, 2003 PCAOB Budget and Accounting Support Fee (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2003)
Release No.:  34-48276
Second Quarter
34-48063 June 19, 2003 Foreign Issuers (Submitted Information Under the Exemption Relating to Certain Foreign Securities)
Release No.:  International Series Release No. 1269
34-47950 May 30, 2003 Exchange-Traded Funds (Order Extending a De Minimis Exemption UnderSection 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder)
34-47778 May 1, 2003 Proxy Rules (Notice of Solicitation of Public Views)
File No.: S7-10-03
Comments Due: Comments must be received on or before June 13, 2003.
Comments received are available for this notice.
See Also: Review of the Proxy Process and Appendix A - Summary of Comments
33-8225 Apr. 30, 2003 Fee Rates (Order Making Annual Adjustments 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)
Release No.: 34-47768
33-8223 Apr. 25, 2003 Order Regarding Section 101(d) of the Sarbanes-Oxley Act of 2002
Release No.:  34-47746
33-8222 Apr. 25, 2003 Order Regarding Section 103(a)(3)(B) of the Sarbanes-Oxley Act of 2002
Release No.:  34-47745
PA-33 Apr. 23, 2003 Privacy Act of 1974: Establishment of a New System of Records: Emergency Contingency Plan System (SEC–51)
File No.: S7–09–03
34-47683 Apr. 16, 2003 Order Regarding the Collateral Broker-Dealer Must Pledge When Borrowing Customer Securities
International Series Release No.: 1268
First Quarter
34-47591 Mar. 28, 2003 Regulation Analyst Certification
File No.: S7-30-02
Effective Date: April 14, 2003.
See also Final Rule, Rel. No. 33-8193
Proposed Rule, Rel. No. 33-8119 and comments
34-47570 Mar. 26, 2003 Books and Records Requirements for Brokers and Dealers
File No.: S7-26-98
Effective Date: May 2, 2003
IA-2117 Mar. 26, 2003 Roundtable Discussions Relating to Hedge Funds
File No.: 4-476
Comments Due: Comments must be received on or before April 30, 2003.
Comments received are available for this notice.
33-8207 Mar. 17, 2003 Securities Uniformity (Notice of Annual Conference on Uniformity of Securities Laws)
File No.:  S7-05-03
Comments Due:   April 3, 2003
Comments received are available for this notice.
33-8206 Mar. 17, 2003 Merrill Lynch & Co., Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934
Release No.:  34-47514
33-8205 Mar. 17, 2003 Merrill Lynch & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
Release No.:  34-47513
34-47425 Feb. 28, 2003 Fee Rates (Order Making Adjustment Under Sections 31(b) and (c) of the Securities Exchange Act of 1934)
34-47375 Feb. 19, 2003 Relational Investors LLC (Order Declining to Review the Determination of the Division of Investment Management to Deny Confidential Treatment)
34-47319 Feb. 5, 2003 Options Specialists (Order of Exemption Under Section 11(b) of the Securities Exchange Act of 1934)

 

http://www.sec.gov/rules/other/otherarchive/other2003.shtml


Modified: 10/16/2014