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Other Commission Orders, Notices,
and Information Archives: 2008

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
34-59165 Dec. 24, 2008 Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps (Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions from Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps)
Comments received are available.
34-59164 Dec. 24, 2008 LIFFE Administration and Management and LCH.Clearnet Ltd. (Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of LIFFE Administration and Management and LCH.Clearnet Ltd. Related to Central Clearing Of Credit Default Swaps, and Request for Comments)
See also:  Exemptive Order Release No. 34-59164 and Request for Exemptive Relief
33-8994 Dec. 23, 2008 Citigroup Global Markets, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
33-8993 Dec. 23, 2008 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 as to Citigroup Global Markets, Inc. and Its Affiliates)
Other Release No.:  34-59158
33-8992 Dec. 23, 2008 UBS Securities LLC and UBS Financial Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
33-8991 Dec. 23, 2008 UBS Financial Services, Inc. and UBS 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 as to UBS Financial Services, Inc. and UBS Securities LLC)
Other Release No.:  34-59157
33-8989 Dec. 17, 2008 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2009
Other Release No.:  34-59113
34-59056 Dec. 4, 2008 Order Granting Registration of Egan-Jones Rating Company to Add Two Additional Classes of Credit Ratings
34-59039 Dec. 2, 2008 Order Setting Aside Action by Delegated Authority and Approving Proposed Rule Change Relating to NYSE Arca Data
See also:  Orders: Rel. No. 34-54597 and 34-55011; and Notice: Rel. No. 34-53952
IA-2806 Oct. 30, 2008 Approval of Investment Adviser Registration Depository Filing Fees (Order)
See also:  FINRA letter dated October 10, 2008
33-8980 Oct. 20, 2008 Roundtable on Mark-to-Market Accounting
Other Release No.:  34-58813
File No.:  4-573
Comments Due:  October 28, 2008
Comments received are available.
34-58807 Oct. 17, 2008 Order Approving Minor Rule Violation Plan for BATS Exchange, Inc.
File No.:  File No. 4-568
See also:  Notice: Rel. No. 34-58485
33-8977 Oct. 15, 2008 Resubmission of Comment Letters
Other Release Nos.:  34-58788; IC-28438; IA-2798
Comments Due:  October 29, 2008
33-8975 Oct. 8, 2008 SEC Study of Mark to Market Accounting
Other Release No.:  34-58747
File No.:  4-573
Comments Due:  November 13, 2008
Comments received are available.
33-8974 Oct. 2, 2008 Regulatory Flexibility Agenda
Other Release Nos.:  34-58715, IA-2796, IC-28432
File No.:  S7-28-08
Comments Due:  December 31, 2008
Comments received are available for this notice.
34-58724 Oct. 2, 2008 Order Amending and Extending Emergency Order Requiring Institutional Money Managers to Report New Short Sales
File No.:  S7-24-08
See also:  Form SH (revised October 2, 2008) [ Microsoft Word version], and Form SH Instructions (revised October 2, 2008)
Comments received are available.
34-58723 Oct. 2, 2008 Order Extending Emergency Order Halting Short Selling in Financial Stocks
File No.:  S7-26-08
Comments received are available.
34-58711 Oct. 1, 2008 Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
File No.:  S7-25-08
Comments received are available.
34-58703 Oct. 1, 2008 Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
Third Quarter
33-8962 Sep. 26, 2008 Roundtable on Modernizing the SEC's Disclosure System
Other Release No.:  34-58657
File No.:  4-567
Comments received are available for this notice.
34-58612 Sep. 22, 2008 Order Granting Temporary, Conditional Relief From The Net Capital Rule For Barclays Capital, Inc.
34-58611 Sep. 21, 2008 Amendment to Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
Comments received are available.
34-58591A Sep. 21, 2008 Amendment to Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
See also:  Guidance Regarding Disclosure of Short Selling, Form SH (revised) [ Microsoft Word version], and Form SH Instructions (revised)
Comments received are available.
34-58592 Sep. 18, 2008 Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
Comments received are available.
34-58591 Sep. 18, 2008 Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
See also:  Guidance Regarding Disclosure of Short Selling, Form SH (revised) [ Microsoft Word version], and Form SH Instructions (revised)
Comments received are available.
34-58588 Sep. 18, 2008 Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
34-58572 Sep. 17, 2008 Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
See also:  Guidance Regarding Temporary Rule 204T
Comments received are available.
34-58485 Sep. 8, 2008 Notice of Filing of Proposed Minor Rule Violation Plan
File No.:  4-568
Comments Due:  October 16, 2008
See also:  Order: Rel. No. 34-58807
33-8955 Sep. 5, 2008 Prudential Financial, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
34-58375 Aug. 18, 2008 BATS Exchange, Inc. (Findings, Opinion, and Order of the Commission)
File No.:  10-182
See also:  Notice: Rel. No. 34-57322
33-8947 Jul. 29, 2008 Roundtable on International Financial Reporting Standards
Other Release No.:  34-58236
File No.:  4-564
Comments Due:  August 11, 2008
Comments received are available for this notice.
34-58248 Jul. 29, 2008 Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
34-58190 Jul. 18, 2008 Amendment to Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
File No.:  S7-20-08
See also:  Guidance Regarding Emergency Order
Comments received are available for this notice.
34-58172 Jul. 16, 2008 Canadian Derivatives Clearing Corporation (Order Approving Accelerated Distribution of an Amended Options Disclosure Document)
File No.:  SR-ODD-2008-03
34-58166 Jul. 15, 2008 Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
33-8942 Jul. 11, 2008 Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.:  34-58146
File No.:  265-24
Comments Due:  July 22, 2008
Comments received are available for this notice.
33-8941 Jul. 3, 2008 Notice: Roundtable on Fair Value Accounting Standards
Comments received are available for this notice.
Second Quarter
No Number Jun. 27, 2008 Certification of Questions of Law Arising From Rule 14a-8 Proposal by Shareholder of CA, Inc.
See also: Attachment A, Attachment B, Attachment C
34-58001 Jun. 23, 2008 Order Granting Temporary Exemption of Realpoint LLC from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) under the Securities Exchange Act of 1934
34-58000 Jun. 23, 2008 Order Granting Registration of Realpoint LLC as a Nationally Recognized Statistical Rating Organization
33-8932 Jun. 19, 2008 Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.:  34-57990
File No.:  265-24
Comments Due:  July 3, 2008
Comments received are available for this notice.
34-57949 Jun. 11, 2008 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 9, 2008
33-8927 Jun. 5, 2008 International Roundtable on Interactive Data for Public Financial Reporting
Other Release No.:  34-57929
File No.:  4-559
Comments Due:  August 1, 2008
Comments received are available for this notice.
34-57917 Jun. 4, 2008 NYSE Arca, Inc. (Notice of Proposed Order Approving Proposal by NYSE Arca, Inc. To Establish Fees for Certain Market Data and Request for Comment)
Comments Due:  July 10, 2008
Comments received are available for this notice.
Additional Materials:
33-8920 May 27, 2008 First Southwest Company (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-13046
33-8918 May 15, 2008 Subcommittee Reports of the SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.:  34-57819
File No.:  265-24
Comments Due:  June 23, 2008
Comments received are available for this notice.
33-8916 May 2, 2008 Order Making Fiscal Year 2009 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.:  34-57766
33-8915 May 1, 2008 Banc of America Investment Services, Inc. and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Order Under Rule 602(e) of The Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-13030
33-8914A May 1, 2008 Banc of America Investment Services, Inc., and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Corrected Order Under Section 27(A)(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 as to Banc of America Investment Services, Inc., Columbia Management Advisors, LLC, and Their Affiliates)
Other Release No.:  34-57749A
File No.:  3-13030
IA-2732 Apr. 30, 2008 Kenneth W. Corba (Order Granting Consent to Associate Pursuant to Section 203(F) of the Investment Advisers Act Of 1940)
33-8911 Apr. 24, 2008 Gabelli 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.:  34-57708
File No.:  3-13019
33-8910 Apr. 15, 2008 Room Change for Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.:  34-57669
File No.:  265-24
34-57648 Apr. 11, 2008 Order of Summary Abrogation of a Proposed Rule Change Relating to its “Primary Only” Order Type
File No.:  SR-NYSEArca-2008-19
See also:  Notice: Rel. No. 34-57377
33-8908 Apr. 9, 2008 Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.:  34-57638
File No.:  265-24
Comments Due:  April 25, 2008
Comments received are available for this notice.
34-57613 Apr. 3, 2008 Boston Stock Exchange (Declaration of Effectiveness of the Boston Stock Exchange Fingerprinting Plan)
First Quarter
33-8907 Mar. 27, 2008 JPMorgan Chase & 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 of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
Other Release No.:  34-57571
File No.:  3-13000
33-8905 Mar. 21, 2008 Regulatory Flexibility Agenda
Other Release Nos.:  34-57544, IA-2723, IC-29198
File No.:  S7-09-08
Comments Due:  June 30, 2008
34-57407 Feb. 29, 2008 Fee Rate Adjustment (Order Making Fiscal 2008 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934)
33-8897 Feb. 21, 2008 Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.:  34-57364
File No.:  265-24
Comments Due:  March 6, 2008
Comments received are available for this notice.
33-8896 Feb. 14, 2008 Progress Report of the SEC Advisory Committee on Improvements to Financial Reporting (Request for Comments)
Other Release No.:  34-57331
File No.:  265-24
Comments Due:  March 31, 5008
Comments received are available for this notice.
34-57322 Feb. 13, 2008 BATS Exchange, Inc. (Notice of Filing of Application and Amendment No. 1 Thereto for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934)
File No.:  10-182
Comments Due:  April 7, 2008
See also:  Order: Rel. No. 34-58375; Form 1 Application and Exhibits
Comments received are available for this notice.
33-8893 Feb. 13, 2008 Order Regarding Review Of FASB Accounting Support Fee for 2008 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.:  34-57319
34-57308 Feb. 11, 2008 Notice of Solicitation of Public Views Regarding Practices Being Developed to Deal with the Increasing Number of Senior Investors
File No.:  S7-03-08
Comments Due:  April 1, 2008
Comments received are available for this notice.
IA-2702 Feb. 11, 2008 Timothy J. Miller (Order Granting Consent to Associate)
34-57301 Feb. 11, 2008 Order Granting Temporary Exemption of LACE Financial Corp. from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) of the Securities Exchange Act of 1934
See also:  Release No. 34-57300
34-57300 Feb. 11, 2008 Order Granting Registration Of LACE Financial Corp. As A Nationally Recognized Statistical Rating Organization
See also:  Release No. 34-57301
34-57235 Jan. 30, 2008 Frederick H. Joseph (Order Approving Application for Relief from a Statutory Disqualification)
33-8882 Jan. 16, 2008 Advisory Committee on Improvements to Financial Reporting (Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting)
Other Release No.:  34-57162
File No.:  265-24
Comments Due:  February 4, 2008
Comments received are available for this notice.

 

http://www.sec.gov/rules/other/otherarchive/other2008.shtml


Modified: 10/16/2014