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Other Commission Orders, Notices,
and Information Archives: 2005

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
34-52909 Dec. 7, 2005 Broker-Dealer Financial Statement Requirements (Extension of Order under Section 17 of the Exchange Act)
See also:  34-54920; 34-50020; 34-48281
IA-2458 Dec. 7, 2005 Pilgrim Baxter & Associates, Ltd. (Order Directing Appointment of Tax Administrator)
Other Release No.: IC-27181
34-52884 Dec. 5, 2005 Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet (Order Directing Appointment of Tax Administrator)
33-8638 Dec. 1, 2005 American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.) (Order Directing Appointment of Tax Administrator)
Other Release No.: 34-52862
IA-2452 Dec. 1, 2005 American Express Financial Corporation (now known as Ameriprise Financial, Inc.) (Order Directing Appointment of Tax Administrator)
Other Release No.: IC-27171
34-52857 Nov. 30, 2005 Order Regarding Alternative Net Capital Computation for Bear, Stearns & Co. Inc., Which Has Elected to Be Supervised on a Consolidated Basis
34-52840 Nov. 28, 2005 Order Granting an Application of Global Industries, Ltd. under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-934
See also:  Notice: Rel. No. 34-52733
33-8635 Nov. 18, 2005 Notice of Meeting of SEC Advisory Committee on Smaller Public Companies
Other Release No.: 34-52800
File No.: 265-23
Comments Due: December 7, 2005
34-52753 Nov. 9, 2005 Order Regarding Alternative Net Capital Computation for Lehman Brothers Inc., which Has Elected to be Supervised on a Consolidated Basis
34-52733 Nov. 4, 2005 Notice of an Application of Global Industries, Ltd. under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-934
Comments Due: November 25, 2005
See also:  Order: Rel. No. 34-52840
34-52642 Oct. 20, 2005 Janus Capital Management LLC
33-8628 Oct. 18, 2005 Time Change for Meeting of SEC Advisory Committee on Smaller Public Companies
File No.: 265-23
Other Release No.: 34-52629
Comments received are available for this notice.
34-52628 Oct. 18, 2005 Miles A. Bahl (Order Approving Application for Relief from a Statutory Disqualification)
34-52611 Oct. 14, 2005 Marshall Spiegel (Order Denying Stay)
File Nos.: SR-CBOE-2004-16 and SR-CBOE-2005-19
34-52606 Oct. 13, 2005 REFCO Securities, LLC and REFCO Clearing, LLC (Order Regarding Withdrawals, Unsecured Loans or Advances from REFCO Securities, LLC and REFCO Clearing, LLC)
33-8623 Oct. 7, 2005 Notice of Meeting of SEC Advisory Committee on Smaller Public Companies
Other Release No.: 34-52575
File No.: 265-23
IA-2439 Oct. 7, 2005 Approval of Investment Adviser Registration Depository Filing Fees
See also: NASD letter dated September 9, 2005
34-52559 Oct. 4, 2005 The Nasdaq Stock Market, Inc. (Notice of Filing of Amendment Nos. 4 and 5 to its Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.: 10-131
Comments due:  November 10, 2005
Comments received are available for this notice. See also comments received for initial notice.
Third Quarter
33-8619 Sep. 28, 2005 Notice of Meeting of SEC Advisory Committee on Smaller Public Companies
Other Release No.: 34-52522
File No.: 265-23
IA-2431 Sep. 16, 2005 Gary L. Pittsford (Order Granting Consent to Associate)
33-8613 Sep. 21, 2005 Legg Mason Wood Walker, Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
34-52382 Sep. 6, 2005 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds from the Trade-Through Provisions of the Intermarket Trading System
33-8608 Sep. 2, 2005 Regulatory Flexibility Agenda
File No.: S7-07-05
Other Release No.: 34-52378, 35-28025, 39-2438, IA-2424, IC-27055
IC-27047 Aug. 25, 2005 UBS Securities LLC, UBS Financial Services Inc., UBS Fund Advisor, LLC, UBS Aspen Management, LLC, UBS Willow Management, LLC, UBS Eucalyptus Management, LLC, UBS Tamarack Management, LLC, UBS Juniper Management, LLC, UBS Sequoia Management, LLC (f/k/a UBS Redwood/Sequoia Management, LLC), UBS Global Asset Management (NY) Inc., UBS Global Asset Management (US) Inc., UBS Global Asset Management (Americas) Inc., DSI International Management, Inc., UBS Global Asset Management International Ltd., GAM International Management Ltd., GAM USA Inc., and GAM Services Inc. (Order Pursuant to Section 9(C) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(A) of the Act)
33-8607 Aug. 24, 2005 Advisory Committee on Smaller Public Companies
File No.: 265-23
Other Release No.: 34-52329
34-52266 Aug. 15, 2005 Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the CBOE Futures Exchange, LLC
File No.: 10-136
33-8599 Aug. 2, 2005 Request for Public Input by Advisory Committee on Smaller Public Companies
Other Release No.: 34-52189
File No.: 265-23
34-52145 Jul. 28, 2005 Morgan Stanley & Co. (Order Regarding Alternative Net Capital Computation for Morgan Stanley & Co., which has Elect to be Supervised on a Consolidated Basis)
34-52135 Jul. 27, 2005 Two Sigma Investments, LLC (Order Denying Requests for Confidential Treatment)
34-52134 Jul. 27, 2005 Two Sigma Investments, LLC (Order Denying Requests for Confidential Treatment)
33-8589 Jul. 18, 2005 Notice of Meeting of SEC Advisory Committee on Smaller Public Companies
Other Release No.: 34-52047
File No.: 265-23
Comments received are available for this notice.
Second Quarter
34-51893 Jun. 21, 2005 Foreign Issuers (List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities)
Other Release No.:   International Series Release No. 1291
33-8577 May 31, 2005 Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (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)
33-8576 May 31, 2005 Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8575 May 24, 2005 Notice of Meeting of SEC Advisory Committee on Smaller Public Companies
Other Release No.:   34-51730
Requests and Statements Due:   Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005.
34-51697 May 16, 2005 Neurotech Development Corp.
(Order Withdrawing Application and Dismissing Review Proceedings and Notice that Initial Decision has become Final)
See also: Initial Decision
IC-26867 May 13, 2005 Mutual Fund Redemption Fees: Notice of OMB Approval of Collections of Information
File No.: S7-11-04
33-8572 Apr. 29, 2005 Order Making Fiscal Year 2006 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.: 34-51631
See also: Fee Rates FY 2006 Tables
33-8571 Apr. 26, 2005 Summary of Proposed Committee Agenda of Advisory Committee on Smaller Public Companies
Other Release No.:   34-51610
Comments Due:   Comments should be received on or before May 31, 2005.
Comments received are available for this notice.
IC-26838 Apr. 21, 2005 The PNC Financial Services Group, Inc. (Notice of Application for a Permanent Order Under Section 9(c) of the Investment Company Act of 1940)
File No.:   812-13182
Hearing Requests Due:   May 12, 2005
IC-26827 Apr. 1, 2005 Credit Suisse First Boston LLC (Order Pursuant to Section 9(c) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(a) of the Act)
First Quarter
33-8561 Mar. 31, 2005 Regulatory Flexibility Agenda
Other Release Nos.: 34-51444; 35-27952; 39-2435; IA-2373; IC-26825
File No.:   S7-02-05
IC-26824 Mar. 29, 2005 Morgan Stanley Investment Advisors Inc. (Order Pursuant to Section 9(c) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(a) of the Act)
34-51421 Mar. 23, 2005 Goldman, Sachs, & Co. (Order Regarding Alternative Net Capital Computation for Goldman, Sachs, & Co., Which Has Elected To Be Supervised on a Consolidated Basis)
33-8560 Mar. 23, 2005 Notice of First Meeting of SEC Advisory Committee on Smaller Public Companies
Other Release No.:   34-51417
File No.:   265-23
Comments Due:   Comments should be received on or before April 8, 2005.
Comments received are available for this notice.
33-8559 Mar. 23, 2005 Citigroup Global Markets, Inc. (Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(C)(3))
33-8558 Mar. 23, 2005 Citigroup Global Markets, Inc. (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 and Section 21E(B)(1)(A)(II) of the Exchange Act)
34-51341 Mar. 9, 2005 Certain Disgorgement and Fair Funds in Administrative Proceedings (Order Directing Appointment of Tax Administrator)
33-8550 Mar. 3, 2005 PCAOB (Order Approving Public Company Accounting Oversight Board Revised Budget and Annual Accounting Support Fee for Calendar Year 2005)
33-8549 Mar. 3, 2005 FASB (Order Regarding Review of FASB Accounting Support Fee for Calendar Year 2005 Under the Sarbanes-Oxley Act of 2002)
34-51277 Feb. 28, 2005 Fee Rates (Order Making Fiscal 2005 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934)
33-8543 Feb. 25, 2005 Goldman, Sachs & 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 and Section 21E(b)(1)(A)(ii) of the Exchange Act)
33-8542 Feb. 25, 2005 Goldman, Sachs & Co. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rules 602(b)(4) and 602(c)(2))
34-51124 Feb. 10, 2005 Canadian Derivatives Clearing Corporation (Order Approving Accelerated Distribution of an Amended Options Disclosure Document)
File No. SR-ODD-2004-03
33-8540 Feb. 9, 2005 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
Other Release Nos.:   34-51169; IA-2357; IC-26758
33-8539 Feb. 9, 2005 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, 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 Nos.:   34-51168; IA-2356; IC-26757
33-8536 Feb. 9, 2005 Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)
33-8535 Feb. 9, 2005 Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (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.:   34-51165
33-8532 Feb. 7, 2005 Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rules 602(b)(4) and 602(c)(2))
33-8531 Feb. 7, 2005 Morgan Stanley & Co. Incorporated (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 and Section 21E(B)(1)(A)(ii) Of The Exchange Act)
34-51115 Feb. 1, 2005 Richard Kern and Charles Wilkins (Order Denying Motion for Summary Affirmance, Setting Aside Default, and Remanding for Further Proceedings)

 

http://www.sec.gov/rules/other/otherarchive/other2005.shtml


Modified: 10/16/2014