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Other Commission Orders, Notices,
and Information Archives: 2006

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

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-55011 Dec. 27, 2006 NetCoalition (Order Granting Petition for Review and Scheduling Filing of Statements)
Comments received are available for this order. Additional Materials:
33-8764 Dec. 21, 2006 Deutsche Asset Management, Inc., Deutsche Investment Management Americas, Inc., and Deutsche Bank Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3) )
See also:  Administrative Proceedings Release Nos. IA-2575 and 34-54993
34-54948 Dec. 18, 2006 Order Extending Temporary Exemption of Banks from the Definition of “Broker” under Section 3(a)(4) of the Securities Exchange Act of 1934
File No.: S7-12-01
See also:  Federal Register version; Release Nos. 34-54946 and 34-54947
34-54920 Dec. 12, 2006 Broker-Dealer Financial Statement Requirements (Extension of Order under Section 17 of the Exchange Act)
See also:  34-52909; 34-50020; 34-48281
33-8757 Dec. 4, 2006 PCAOB (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2007)
Other Release No.: 34-54865
34-54757 Nov. 15, 2006 Research Affiliates, LLC: Order Affirming the Denial of Requests for Confidential Treatment
34-54714 Nov. 6, 2006 Order Granting National Securities Exchanges a Limited Exemption from Rule 612 of Regulation NMS under the Securities Exchange Act of 1934 to Permit Acceptance by Exchanges of Certain Sub-Penny Orders
IA-2564 Oct. 26, 2006 Approval of Investment Adviser Registration Depository Filing Fees
Effective Date:  November 1, 2006
See also:  NASD letter dated October 13, 2006
PA-37 Oct. 24, 2006 Photographic Files (Privacy Act of 1974: Establishment of a New System of Records: (SEC-54)
File No.: S7-17-06
Effective Date:  December 11, 2006
Comments Due:  November 30, 2006
Comments received are available for this notice.
34-54633 Oct. 20, 2006 Notice of Intention to Cancel Registrations of Certain Transfer Agents
Notifications Due:  November 27, 2006
Third Quarter
33-8746 Sep. 28, 2006 Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc. (Order Granting Waiver of the Disqualification Provision)
File No.: 3-12442
See also:   Release No. 34-54529
33-8743 Sep. 26, 2006 Request for Public Comment in Connection with Forum on Small Business Capital Formation
Other Release No.: 34-54519
File No.: 4-526
Comments Due:  October 15, 2006
Comments received are available for this notice.
33-8742 Sep. 26, 2006 BISYS Fund Services, Inc. (Order Granting Waiver of the Disqualification Provisions)
Other Release No.: 34-54513
File No.: 3-12432
See also:   Release No. IA-2554
33-8739 Sep. 7, 2006 The Dreyfus Corporation (Order Granting Waiver of the Disqualification Provision)
File No.: 3-12413
See also:   Release No. IA-2549
33-8738 Sep. 1, 2006 Regulatory Flexibility Agenda
Additional Release Nos.:  34-54400, 39-2443, IA-2544, IC-27476
File No.: S7-15-06
Comments Due:  Comments should be received on or before December 29, 2006
34-54396 Aug. 31, 2006 Philadelphia Stock Exchange Fingerprinting Plan (Declaration of Effectiveness)
33-8734 Aug. 28, 2006 Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. (Order Granting Waivers of the Disqualification Provisions)
See also:   Release No. 34-54371
33-8733 Aug. 28, 2006 Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. (Order Granting a Waiver of the Disqualification Provision)
See also:   Release No. 34-54371
34-54308 Aug. 11, 2006 Order Regarding Alternative Net Capital Computation For Citigroup Global Markets Inc.
34-54240 Jul. 31, 2006 Nasdaq (In the Matter of the Application of The Nasdaq Stock Market, Inc. and The NASDAQ Stock Market LLC For Section 12(b) Registration On Behalf Of Certain Issuers)
See also: Request for Relief from § 12 of the Securities Exchange Act of 1934
Second Quarter
34-54085 Jun. 30, 2006 Nasdaq Stck Market LLC (Order Modifying a Condition to Operation as a National Securities Exchange)
34-54077 Jun. 30, 2006 Marketing, sale and delivery of financial products, accounts, programs and services to investor (Request for Information / Draft Solicitation)
Comments received are available for this notice.
See also: Release Nos. 34-51523 and 34-53406
34-54063 Jun. 28, 2006 De Minimis Exemption (Order Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds from the Trade-Through Provisions of the Intermarket Trading System)
34-53908 May 31, 2006 Fingerprint Plan of the NASDAQ Stock Market LLC (Declaration of Effectiveness)
33-8711 May 31, 2006 SunTrust Capital Markets Inc. and Suntrust Banks, Inc. (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53902
File No.: 3-12310
33-8710 May 31, 2006 Wachovia Capital Markets, LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53901
File No.: 3-12310
33-8709 May 31, 2006 Piper Jaffray & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53900
File No.: 3-12310
33-8708 May 31, 2006 Morgan Keegan & Company, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53899
File No.: 3-12310
33-8707 May 31, 2006 A.G. Edwards & Sons, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53898
File No.: 3-12310
33-8706 May 31, 2006 Banc of America Securities LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53897
File No.: 3-12310
33-8705 May 31, 2006 RBC Dain Rauscher Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53896
File No.: 3-12310
33-8704 May 31, 2006 Morgan Stanley and Its Subsidiaries and Collective Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53895
File No.: 3-12310
33-8703 May 31, 2006 Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch, Pierce, Fenner & Smith & Co., Incorporated (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53894
File No.: 3-12310
33-8702 May 31, 2006 Lehman Brothers Inc. and Lehman Brothers Holdings Inc., and Their Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53893
File No.: 3-12310
33-8701 May 31, 2006 J.P. Morgan Securities, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53892
File No.: 3-12310
33-8700 May 31, 2006 Goldman, Sachs & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53891
File No.: 3-12310
33-8699 May 31, 2006 Citigroup Global Markets, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53890
File No.: 3-12310
33-8698 May 31, 2006 Bear, Stearns & Co. Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
Other Release No.: 34-53889
File No.: 3-12310
33-8697 May 31, 2006 Wachovia Capital Markets, LLC (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8696 May 31, 2006 Piper Jaffray & Co. (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8695 May 31, 2006 Morgan Keegan & Company, Inc. (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8694 May 31, 2006 A.G. Edwards & Sons, Inc. (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8693 May 31, 2006 Banc of America Securities LLC (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8692 May 31, 2006 RBC Dain Rauscher (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8691 May 31, 2006 Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8690 May 31, 2006 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8689 May 31, 2006 Lehman Brothers Inc. (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8688 May 31, 2006 J.P. Morgan Securities, Inc. (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8687 May 31, 2006 Goldman, Sachs & Co. (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8686 May 31, 2006 Citigroup Global Markets, Inc. (Order Granting a Waiver of The Disqualification Provision)
File No.: 3-12310
33-8685 May 31, 2006 Bear, Stearns & Co. Inc. (Order Granting a Waiver of the Disqualification Provision)
File No.: 3-12310
PA-36 May 24, 2006 Office of Inspector General Investigative Files) (Notice of alterned system of records)
File No.: S7-09-06
Comments Due:  July 3, 2006
34-53851 May 23, 2006 Clearstream Banking, S.A. (Notice of Filing to Continue Exemption from Clearing Agency Registration)
Other Release No.: International Series Release No.: 1296
File No.: 600-29
Comments Due: June 21, 2006
34-53828 May 18, 2006 Regulation NMS (Order Granting Exemption from Compliance)
See also: Spotlight on Regulation NMS
33-8683 May 17, 2006 Morgan Stanley & Co., Inc. (Order Granting Waiver of the Disqualification Provisions)
34-53751 May 2, 2006 Fingerprint Plan of the National Association of Securities Dealers, Inc. (Declaration of Effectiveness)
33-8681 Apr. 28, 2006 Fee Rates (Order Making Fiscal Year 2007 Annual Adjustments to the Fee Rates Applicable)
Other Release No.: 34-53737
34-53684 Apr. 20, 2006 Regulation SHO (Order Extending Term of Short Sale Pilot)
33-8677 Apr. 13, 2006 FASB (Order Regarding Review of Financial Accounting Standards Board Accounting Support Fee for 2006)
Other Release No.: 34-53642
33-8676 Apr. 13, 2006 PCAOB (Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2006)
Other Release No.: 34-53641
34-53623 Apr. 10, 2006 NASDAQ (Order Approving Minor Rule Violation Plan)
File No.: 4-514
33-8674 Apr. 4, 2006 Notice of Meeting of SEC Advisory Committee on Smaller Public Companies
Other Release No.: 34-53595
File No.: 265-23
Comments received are available for this notice.
Comments Due: April 16, 2006
First Quarter
No release number Mar. 31, 2006 NASDAQ (Request for Modification of Order)
See also: Release No. 34-53128
34-53581 Mar. 31, 2006 Peoples Financial Corporation (Order Granting Application)
File No.: 81-935
33-8672 Mar. 20, 2006 Notice of Meeting of SEC Advisory Committee on Smaller Public Companies
Other Release No.: 34-53515
File No.: 265-23
Comments received are available for this notice.
Comments Due: April 5, 2006
34-53467 Mar. 10, 2006 Peoples Financial Corporation (Notice of Application)
File No.: 81-935
Comments Due: March 30, 2006
34-53428 Mar. 7, 2006 The Nasdaq Stock Market LLC (Notice of Filing Proposed Minor Rule Violation Plan)
File No.: 4-514
Comments Due: April 6, 2006
34-53406 Mar. 3, 2006 Notice of Broker-Dealer/Investment Adviser Study
Other Release No.: IA-2492
See also: Final Rule, Rel. No. 34-51523
33-8666 Feb. 28, 2006 Securities and Exchange Commissions Advisory Committee on Smaller Public Companies (Request for Public Comment)
File Nos.: 34-53385, File No. 265-23
Comments received are available for this notice.
Comments Due: April 3, 2006
33-8663 Feb. 27, 2006 Regulatory Flexibility Agenda
Other Release Nos.:   34-53374, 39-2442, IA-2490, IC-27230
File No.: S7-05-06
Comments Due: July 30, 2006
34-53360 Feb. 24, 2006 Roundtable on Internal Control Reporting Requirements
File No.: 4-511
Comments received are available for this notice.
33-8661 Feb. 21, 2006 American International Group, Inc. (Order Granting a Waiver of the Disqualification Provisions)
34-53231 Feb. 6, 2006 Dominic A. Alvarez (Order Scheduling Briefs and Denying Confidential Treatment)
33-8659 Feb. 1, 2006 Notice of Meeting of SEC Advisory Committee on Smaller Public Companies
Other Release No.:   34-53204
File No.: 265-23
Comments received are available for this notice.
PA-35 Jan. 31, 2006 Automated Emergency Notification System (Establishment of a New System of Records:
File No.: S7-04-06
Effective Date: March 20, 2006
Comments Due: March 8, 2006
No release number Jan. 20, 2006 Classified National Security Information
PA-34 Jan. 18, 2006 Visitor Badge and Employee Day Pass System (Establishment of a New System of Records)
File No.: S7-02-06
Effective Date: March 6, 2006
Comments Due: February 23, 2006
34-53128 Jan. 13, 2006 Application of The Nasdaq Stock Market LLC for Registration as a National Securities Exchange
File No.: 10-131
See also: Release No. 34-52599
34-53060 Jan. 5, 2006 Board of Trade of the City of Chicago, Inc. (Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange)
File No.: 10-137

 

http://www.sec.gov/rules/other/otherarchive/other2006.shtml


Modified: 10/16/2014