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Other Commission Orders, Notices,
and Information Archives: 2007

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
34-57039 Dec. 21, 2007 JPMorgan Securities Inc. (Order Regarding Alternative Net Capital Computation for JPMorgan Securities Inc.)
34-57031 Dec. 21, 2007 Egan-Jones Rating Company (Order Granting Registration of Egan-Jones Rating Company as a Nationally Recognized Statistical Rating Organization)
33-8874 Dec. 19, 2007 Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.:  34-56989
File No.:  265-24
Comments Due:  January 4, 2008
33-8873 Dec. 18, 2007 Order Approving Public Company Accounting Oversight Board Budget And Annual Accounting Support Fee For Calendar Year 2008
Other Release No.:  34-56986
39-2450 Nov. 26, 2007 Grupo Iusacell Celular, S.A. de C.V. (Order Granting Application for Exemption)
File No.:  22-28859
See also:  Notice: Rel. No. 39-2449
34-56779 Nov. 9, 2007 Notice of Application of the National Association of Realtors for Exemptive Relief under Sections 15 and 36 of the Exchange Act and Request for Comment
File No.:  S7-26-07
See also:  NARíS Application
Comments Due:  December 17, 2007
Comments received are available for this notice.
39-2449 Oct. 15, 2007 Grupo Iusacell Celular, S.A. de C.V. (Application and Opportunity for Hearing)
File No.:  22-28859
Hearing Requests Due:  November 14, 2007
See also:  Order: Rel. No. 39-2450
34-56638 Oct. 10, 2007 Stephen Anthony Englese (Order Approving Application for Relief From a Statutory Disqualification)
33-8856 Oct. 5, 2007 Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.:  34-56624
File No.:  265-24
Comments Due:  October 26, 2007
Comments received are available for this notice.
Third Quarter
33-8853 Sep. 28, 2007 AIG SunAmerica Life Assurance Company, f/k/a Anchor National Life Insurance Company (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)
Other Release No.:  34-56570
34-56534 Sep. 26, 2007 Public Alert: Unregistered Soliciting Entities ("PAUSE") Program
Other Release No.:  IA-2658
File No.:  S7-24-07
Comments Due:  November 1, 2007
34-56521 Sep. 25, 2007 Gerdine & Associates (Order Cancelling the Registration of a Transfer Agent)
34-56513 Sep. 24, 2007 Standard & Poor's Ratings Services (Order Granting Registration of Standard & Poor's Ratings Services as a Nationally Recognized Statistical Rating Organization)
34-56512 Sep. 24, 2007 Rating and Investment Information, Inc. (Order Granting Registration of Rating and Investment Information, Inc. as a Nationally Recognized Statistical Rating Organization)
34-56511 Sep. 24, 2007 Moody's Investors Service, Inc. (Order Granting Registration of Moody's Investors Service, Inc. as a Nationally Recognized Statistical Rating Organization)
34-56510 Sep. 24, 2007 Japan Credit Rating Agency, Ltd. (Order Granting Registration of Japan Credit Rating Agency, Ltd. as a Nationally Recognized Statistical Rating Organization)
34-56509 Sep. 24, 2007 Fitch, Inc. (Order Granting Registration of Fitch, Inc. as a Nationally Recognized Statistical Rating Organization)
34-56508 Sep. 24, 2007 DBRS Limited (Order Granting Registration of DBRS Limited as a Nationally Recognized Statistical Rating Organization)
34-56507 Sep. 24, 2007 A.M. Best Company, Inc. (Order Granting Registration of A.M. Best Company, Inc. as a Nationally Recognized Statistical Rating Organization)
33-8843 Sep. 19, 2007 Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc. and Wachovia Securities, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8842 Sep. 19, 2007 Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia 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 No.:  34-56463
33-8840 Sep. 11, 2007 Regulatory Flexibility Agenda
Other Release Nos.:  34- 56387, IA-2645, IC-27967
File Nos.:  S7-21-07
Comments Due:  December 31, 2007
33-8836 Aug. 21, 2007 Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.:  34-56293
File No.:  265-24
Federal Register version
Comments Due:  September 24, 2007
Comments received are available for this notice.
33-8835 Aug. 15, 2007 Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation) (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 as to Hewlett-Packard Company)
Other Release No.: 34-56260
Second Quarter
34-55991 Jun. 29, 2007 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
33-8817 Jun. 27, 2007 Notice of Federal Advisory Committee Establishment and Notice of Meeting
Other Release No.:  34-55969
File No.:  265-24
Federal Register version
Comments received are available for this notice.
See also:  Advisory Committee Charter
33-8816 Jun. 25, 2007 John Hancock Investment Management Services, LLC, John Hancock Distributors LLC, John Hancock Advisers, LLC and John Hancock Funds, 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 No.:  34-55947
File No.:  3-12664
See also:  Release No. 34-55946
34-55920 Jun. 18, 2007 Fixed Income Clearing Corporation (Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency)
File No.:  600-23
Comments Due:  July 18, 2007
33-8808 Jun. 8, 2007 Barclays Bank PLC (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.:  34-55889
33-8807 Jun. 8, 2007 Barclays Bank PLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) Disqualification Provision)
34-55791 May 22, 2007 Christopher Lee LaPorte (Order Approving Application for Relief from a Statutory Disqualification)
34-55757 May 14, 2007 Thomas DeGironimo (Order Approving Application for Relief from a Statutory Disqualification)
33-8802 May 9, 2007 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 of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
Other Release No.:  34-55727
33-8801 May 9, 2007 Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8800 May 7, 2007 Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order 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.:  34-55713
33-8799 May 7, 2007 Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
34-55691 May 2, 2007 Laris Milonas (Order Approving Application for Relief from a Statutory Disqualification)
33-8797 May 2, 2007 A.G. Edwards & Sons, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934 Granting a Waiver 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.:  34-55694
33-8796 May 2, 2007 A.G. Edwards & Sons, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(C)(3))
33-8794 Apr. 30, 2007 Fee Rates (Order Making Fiscal Year 2008 Annual Adjustments to the Fee Rates Applicable)
Other Release No.: 34-55682
33-8792 Apr. 19, 2007 Tenet Healthcare Corporation (Order 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)
Other Release No.:  34-55649
34-55601 Apr. 9, 2007 Harry M. Richardson (Order Approving Application for Relief From a Statutory Disqualification)
First Quarter
33-8789 Mar. 14, 2007 Order Regarding Review of FASB Accounting Support Fee for 2007 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.:  34-55469
33-8786 Mar. 13, 2007 Roundtable on Interactive Data: Creating Interactive Data to Serve Investors (Notice of Roundtable Meeting)
Other Release No.:  34-55456
File No.:  4-515
See also:  Spotlight On: Interactive Data and XBRL Initiatives
33-8783 Mar. 5, 2007 Regulatory Flexibility Agenda
Other Release Nos.:  34-55396, IA-2596, IC-27746
File No.:  S7-07-07
Comments Due:  June 30, 2007
Federal Register version published April 30, 2007.
33-8782 Feb. 26, 2007 Roundtable on International Financial Reporting Standards "Roadmap"
Other Release No.:  34-55350
File No.:  4-532
34-55220 Feb. 1, 2007 Order Cancelling Registrations of Certain Transfer Agents
34-55207 Jan. 31, 2007 Order Approving Amendment to Add the International Securities Exchange LLC as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS
File No.:  4-518
34-55165 Jan. 25, 2007 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)
33-8775 Jan. 23, 2007 Pacific Growth Equities, LLC (Order Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
File No.:  3-12543
See also:  Release No. 34-55148
PA-38 Jan. 11, 2007 Privacy Act of 1974: Notice of Alteration to Two Existing Systems of Records
File No.:  S7-02-07
Effective Date:  February 26, 2007
Comments Due:  February 16, 2007
33-8770 Jan. 9, 2007 Wilmington Trust Company (Order Granting Waiver 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.:  34-55066
File No.:  3-12526
See also:  Release No. 33-8767
33-8769 Jan. 9, 2007 The Bank Of New York (Order Granting Waiver 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.:  34-55065
File No.:  3-12526
See also:  Release No. 33-8767
33-8768 Jan. 9, 2007 Deutsche Bank Trust Company Americas (Order Granting Waiver 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.:  34-55064
File No.:  3-12526
See also:  Release No. 33-8767

 

http://www.sec.gov/rules/other/otherarchive/other2007.shtml


Modified: 05/27/2014