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Other Commission Orders, Notices,
and Information Archives: 2004

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
34-50925 Dec. 23, 2004 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Regarding Alternative Net Capital Computation for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Whish Has Elected To Be Supervised on a Consolidated Basis)
33-8514 Dec. 16, 2004 Advisory Committee on Smaller Public Companies (Notice of establishment of the Advisory Committee on Smaller Public Companies)
34-50795 Dec. 3, 2004 Exchange-Traded Funds (Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds from the Trade-Through Provisions of the Intermarket Trading System)
34-50747 Nov. 30, 2004 Order Delaying Pilot Period for Suspension of the Operation of Short Sale Price Provisions
34-50649 Nov. 9, 2004 Daniel V. Covello (Order Approving Application for Relief from a Statutory Disqualification)
33-8502 Nov. 5, 2004 Maximum Dynamics, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
34-50489 Oct. 5, 2004 Raymond L. Grenier, Jr. (Order Approving Application for Relief from a Statutory Disqualification)
Third Quarter
33-8491 Sep. 24, 2004 Regulatory Flexibility Agenda
Other Release Nos.:   34-50445, 35-27893, 39-2427, IA-2306, IC-26621
File No.:   S7-34-04
Comments Due:   Comments should be received on or before December 30, 2004.
33-8495 Sep. 24, 2004 Thomas Weisel Partners LLC (Order Granting Waiver Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934)
33-8494 Sep. 24, 2004 Thomas Weisel Partners LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8493 Sep. 24, 2004 Deutsche Bank Securities Inc (Order Granting Waiver Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8492 Sep. 24, 2004 Deutsche Bank Securities Inc (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8488 Sep. 14, 2004 Dean Foods Company (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
Other Release No.: 34-50371
33-8478 Aug. 26, 2004 Donaldson, Lufkin & Jenrette Securities Corp., predecessor in interest to Credit Suisse First Boston LLC (Order Granting Waiver Under Rule 602(e) the Securities Act of 1933)
33-8476 Aug. 25, 2004 Janney Montgomery Scott LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8473 Aug. 25, 2004 SG Cowen & Co., LLC, F/K/A SG Cowen Securities Corporation (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8471 Aug. 25, 2004 Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8470 Aug. 25, 2004 Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act)
Other Release No.: 34-50249
33-8468 Aug. 25, 2004 Morgan Keegan & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8467 Aug. 25, 2004 Morgan Keegan & 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)
33-8465 Aug. 25, 2004 Friedman, Billings, Ramsey & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8464 Aug. 25, 2004 Friedman, Billings, Ramsey & 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)
Other Release No.: 34-50245
33-8463 Aug. 25, 2004 Adams Harkness, Inc. f/k/a Adams, Harkness & Hill, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act Of 1933, and Section 21E(b) of yhe Securities Exchange Act Of 1934)
Other Release No.: 34-50244
33-8462 Aug. 25, 2004 Adams Harkness, Inc. f/k/a/ Adams, Harness & Hill, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
34-50206 Aug. 17, 2004 Berkshire Hathaway Inc. (Order Denying Requests for Confidential Treatment)
33-8453 Aug. 3, 2004 Fidelity Brokerage Services, LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
See also:  34-50138
34-50104 Jul. 28, 2004 Short Sale Price Provisions (Order Suspending Operation for Designated Securities and Time Periods)
See also:  Final Rule Release No. 34-50103; Release No. 34-50747
33-8451 Jul. 27, 2004 Regulatory Flexibility Act (Rules to Be Reviewed)
Other Release Nos.:  34-50094, 35-27877, 39-2422, IA-2268, IC-26521
File No.:  File No. S7-31-04
Comments Due:   Comments should be received on or before September 1, 2004.
34-50039 Jul. 20, 2004 Putnam Investment Management, LLC
34-50020 Jul. 14, 2004 Broker-Dealer Financial Statement Requirements (Extension of Order under Section 17 of the Exchange Act)
See also:  34-54920; 34-52909; 34-48281
Second Quarter
34-49859 Jun. 15, 2004 Standardized Options and Security Futures (Order Temporarily Exempting from Rule 12d2-2 under the Securities Exchange Act of 1934)
34-49846 Jun. 10, 2004 Foreign Issuers (Submitting Information Under Exemption)
Other No.: International Series Release No. 1277
SIPA-165 May 26, 2004 Swift Trade Securities USA Inc. (Order Affirming SIPC Determination)
33-8421 May 14, 2004 Regulatory Flexibility Agenda
File No.: S7-23-04
Comments due: Comments should be submitted on or before June 30, 2004.
33-8418 Apr. 30, 2004 Fee Rates Adjustments (Order Making Fiscal Year 2005 Annual Adjustments 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)
Release No.:   34-49634
See also: Appendix A and Appendix B
First Quarter
34-49511 Mar. 31, 2004 Regulation NMS: Change in Hearing Schedule
File No.: S7-10-04
Hearing Date: April 21, 2004
See also: Spotlight on Regulation NMS
34-49408 Mar. 12, 2004 Regulation NMS: Notice of Hearings
File No.: S7-10-04
Requests to Testify Due: on or before March 22, 2004
Testimony Submissions Due: on or before March 26, 2004
Requests to testify are available for this notice.
See also: Spotlight on Regulation NMS
35-27811 Mar. 9, 2004 Stephen Forbes Cooper, LLC PGE Trust; and Enron Corporation (Order Granting Withdrawal)
35-27810 Mar. 9, 2004 Enron Corp. (Memorandum Opinion and Order Approving Plan of Reorganization Under Section 11(f) and Issuing Report Under Section 11(g))
35-27809 Mar. 9, 2004 Enron Corp., et al. (Memorandum Opinion and Order Authorizing External and Intrasystem Financing and Related Transactions; Authorizing Service Agreements; and Reserving Jurisdiction)
34-49356 Mar. 3, 2004 Exchange-Traded Funds (Order Extending a De Minimis Exemption Under Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder)
34-49332 Feb. 27, 2004 Fee Rates (Order Making Adjustment Under Sections 31(b) and (c) of the Securities Exchange Act of 1934)
33-8390 Feb. 20, 2004 PCAOB Budget and Accounting Support Fee (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2004)
Other Release No.:  34-49291
33-8389 Feb. 20, 2004 FASB Accounting Support Fee (Order for Review Under Section 109 of The Sarbanes-Oxley Act of 2002)
33-8385 Feb. 12, 2004 H. D. Vest Investment Securities, Inc. (Order Granting Waiver Under the Securities Act of 1933)
33-8384 Feb. 12, 2004 H. D. Vest Investment Securities, 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.: 34-49250
33-8382 Feb. 12, 2004 Wachovia Securities, LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8381 Feb. 12, 2004 Wachovia Securities, LLC (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.: 34-49238
33-8379 Feb. 12, 2004 UBS Financial Services Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8378 Feb. 12, 2004 UBS Financial Services 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.: 34-49237
33-8376 Feb. 12, 2004 Raymond James Financial Services, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8375 Feb. 12, 2004 Raymond James Financial Services, 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.: 34-49235
33-8373 Feb. 12, 2004 Linsco/Private Ledger Corp. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8372 Feb. 12, 2004 Linsco/Private Ledger Corp. (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.: 34-49233
33-8370 Feb. 12, 2004 Legg Mason Wood Walker, Incorporated (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8369 Feb. 12, 2004 Legg Mason Wood Walker, Incorporated (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.: 34-49231
33-8367 Feb. 12, 2004 American Express Financial Advisors Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8366 Feb. 12, 2004 American Express Financial Advisors 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.: 34-49228
34-49211 Feb. 9, 2004 Security Holder Director Nominations (Notice of Roundtable Discussion and Request for Comment)
File No.: S7-19-03
Comments Due: Comments will be accepted from March 10, 2004 until March 31, 2004
35-27793 Jan. 14, 2004 Stephen Forbes Cooper, LLC, PGE Trust, and Enron Corporation (Notice of and Order Scheduling Hearing for Exemption Under the Public Utility Holding Company Act of 1935 (No. 70-10190))
Federal Register PDF

 

http://www.sec.gov/rules/other/otherarchive/other2004.shtml


Modified: 10/16/2014