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Other Commission Orders, Notices, and Information Archives: 2009

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
33-9099 Dec. 22, 2009 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2010
Other Release No.:  34-61212
33-9091 Dec. 16, 2009 Investools 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)
33-9090 Dec. 16, 2009 Investools 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 Investools Inc. and Its Affiliates)
Other Release No.:  34-61182
34-61164 Dec. 14, 2009 Chicago Mercantile Exchange Inc. (Order Extending and Modifying Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments)
File No.:  S7-06-09
34-61152 Dec. 10, 2009 C2 Options Exchange, Incorporated (Findings, Opinion, and Order of the Commission)
File No.:  10-191
See also:  Amendment No. 1; Form 1 Application Notice, Rel. No. 34-61152; comments
IA-2959 Dec. 10, 2009 Approval of Investment Adviser Registration Depository Filing Fees
File No.:  S7-29-09
Comments Due:  February 1, 2010
Effective Date:  January 1, 2010
See also:  FINRA letter dated September 29, 2009
34-61119 Dec. 4, 2009 ICE Trust U.S. LLC (Order Extending and Modifying Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request from ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments)
File No.:  S7-05-09
See also:  ICE Request Letter
Comments received are available.
34-61027 Nov. 19, 2009 Joint Order Modifying the Listing Standards Requirements under Section 6(h) of the Securities Exchange Act of 1934 and the Criteria under Section 2(a)(1) of the Commodity Exchange Act
34-61020 Nov. 17, 2009 Joint Order to Exclude Indexes Composed of Certain Index Options from the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934
Effective Date:  November 17, 2009
See also:  Order: Rel. No. 34-49469
34-60989 Nov. 12, 2009 Chicago Board Options Exchange, Inc. (Order Granting Petition for Review and Scheduling Filing of Statements)
File No.:  SR-ISE-2009-35
See also:  Order: Rel. No. 34-61722
Statements received are available.
34-60988 Nov. 12, 2009 Chicago Board Options Exchange, Inc. (Order Denying International Securities Exchange, LLC's Motion to Lift the Commission Rule 431(e) Automatic Stay of Delegated Action Triggered by Chicago Board Options Exchange, Incorporated's Notice of Intention to Petition for Review)
File No.:  SR-ISE-2009-35
33-9082 Nov. 6, 2009 Regulatory Flexibility Agenda
Other Release Nos.:  34-60955, IA-2947, IC-28992
File No.:  S7-26-09
Comments Due:  December 31, 2009
33-9080 Nov. 4, 2009 J.P. Morgan Securities 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.:  34-60929
File No.:  3-13673
See also:  Administrative Proceeding: Rel. No. 33-9078
33-9079 Nov. 4, 2009 J.P. Morgan Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-13673
See also:  Administrative Proceeding: Rel. No. 33-9078
33-9075 Oct. 22, 2009 Banc of America Investment Services, Inc. (Order Under Rule 602(e) Of The Securities Act of 1933 Granting A Waiver Of The Rule 602(c)(3) Disqualification Provision)
File No.:  3-13664
34-60799 Oct. 8, 2009 Draft 2010-2015 Strategic Plan for Securities and Exchange Commission Submit comments on Draft Strategic Plan
IA-2933 Oct. 7, 2009 Gary L. Pittsford (Order Granting Consent to Associate)
Third Quarter
34-60730 Sep. 29, 2009 David M. Bonrouhi (Order Approving Application for Relief From a Statutory Disqualification)
33-9064 Sep. 15, 2009 Notice of Meeting of SEC Investor Advisory Committee
Other Release No.:  34-60672
File No.:  265-25-02
Comments Due:  September 28, 2009
Comments received are available.
SIPA-168 Sep. 14, 2009 Order Affirming Determination by the Securities Investor Protection Corporation (SIPC) That VPE WertpapierhandelsBank AG Is Not a Member of SIPC
34-60651 Sep. 11, 2009 EDGX Exchange, Inc., and EDGA Exchange, Inc. (Notice of Filing of Applications, as Amended, for Registration as National Securities Exchanges under Section 6 of the Securities Exchange Act of 1934)
File Nos.:  10-193 (EDGX) and 10-194 (EDGA)
Comments Due:  November 2, 2009
Comments received are available for 10-193.
Comments received are available for 10-194.
See also:  EDGX Form 1 Application and Exhibits; EDGA Form 1 Application and Exhibits; Order Granting Conditional Exemptive Application for EDGX Exchange, Inc. and EDGA Exchange, Inc. (Release No. 34-60650)
34-60643 Sep. 10, 2009 Securities Lending and Short Sale Roundtable (Notice of Roundtable Discussion; Request for Comment)
File No.:  4-590
Comments Due:  October 30, 2009
Comments received are available.
PA-40 Sep. 1, 2009 Privacy Act of 1974: Establishment of a System of Records
File No.:  S7-19-09
Comments Due:  October 8, 2009
Comments received are available.
34-60539 Aug. 19, 2009 Joint meetings on Harmonization of Regulation
File No.:  4-588
Comments Due:  September 14, 2009
Comments received are available.
33-9059 Aug. 12, 2009 General Electric Company (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)
34-60473 Aug. 10, 2009 Order Providing NRSROs a Temporary Exemption from the Requirement in Rule 17g-2(d) (Incorporating the Provisions of Rule 17g-2(a)(8)) of the Securities Exchange Act of 1934 that CUSIP Numbers Be Displayed
34-60451 Aug. 5, 2009 Notice Regarding the Requirement to Use eXtensible Business Reporting Language Format to Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act
IA-2909 Jul. 31, 2009 Approval of Investment Adviser Registration Depository Filing Fees
See also:  FINRA letter dated July 8, 2009
33-9056 Jul. 27, 2009 Perry Corp. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-13561
See also:  Administrative Proceeding: Rel. No. 34-60351
33-9055 Jul. 20, 2009 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.:  34-60343
File No.:  3-13558
See also:  Administrative Proceeding: Rel. No. 34-60342
33-9054 Jul. 20, 2009 Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-13558
See also:  Administrative Proceeding: Rel. No. 34-60342
PA-39 Jul. 16, 2009 Privacy Act of 1974: Systems of Records
File No.:  S7-14-09
Effective Date:  August 31, 2009
Comments Due:  August 21, 2009
33-9049 Jul. 8, 2009 Notice of Meeting of SEC Investor Advisory Committee
Other Release No.:  34-60260
File No.:  265-25
Comments Due:  July 19, 2009
Comments received are available.
Second Quarter
34-60194 Jun. 30, 2009 Order under Section 36 of the Securities Exchange Act of 1934 Granting an Exemption from Exchange Act Section 6(h)(1) for Certain Persons Effecting Transactions in Foreign Security Futures and under Exchange Act Section 15(a)(2) and Section 36 Granting Exemptions from Exchange Act Section 15(a)(1) and Certain Other Requirements
Other Release No.:  International Series Release No. 1311
34-60189 Jun. 29, 2009 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 28, 2009
34-60152 Jun. 19, 2009 Order Granting Application for Extension of a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Ownership Interest of International Securities Exchange Holdings, Inc. in an Electronic Communications Network
34-60133 Jun. 17, 2009 Sean P. Brennan (Order Approving Application for Relief From a Statutory Disqualification)
33-9045 Jun. 9, 2009 Deutsche Bank Securities, 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)
33-9044 Jun. 9, 2009 Banc of America Securities, LLC, and Banc of America Investment 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)
33-9043A Jun. 9, 2009 Banc of America Securities, LLC and Banc of America Investment Services, Inc. (Corrected 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 Banc of America Securities LLC, Banc of America Investment Services, Inc., Bank of America Corporation and Their Affiliates)
Other Release No.:  34-60081A
33-9042 Jun. 9, 2009 RBC Capital Markets Corp. (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 Exchange Act of 1934 as to RBC Capital Markets Corp. and Its Affiliates)
Other Release No.:  34-60079
33-9041 Jun. 9, 2009 RBC Capital Markets Corp. (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)
33-9040 Jun. 9, 2009 Deutsche Bank Securities, 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 Exchange Act of 1934)
Other Release No.:  34-60078
33-9039 Jun. 8, 2009 Evergreen Investment Management Company, LLC, and Evergreen Investment Services, 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.:  34-60060
File No.:  3-13507
See also:  Administrative Proceeding: Rel. No. 34-60059
33-9038 Jun. 8, 2009 Evergreen Investment Management Company, LLC, and Evergreen Investment Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-13507
See also:  Administrative Proceeding: Rel. No. 34-60059
33-9037 Jun. 3, 2009 Notice of Federal Advisory Committee Establishment
Other Release Nos.:  34-60032, IC-28757
File No.:  265-25
Comments received are available.
33-9034 May 29, 2009 CSK Auto 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 of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
Other Release Nos.:  34-60006, AAER-2982
File No.:  3-13485
See also:  Administrative Proceeding: Rel. No. 33-9032
IC-28725 May 19, 2009 Hearing on Target Date Funds and Similar Investment Options
File No.:  4-582
Submissions Due:  June 5, 2009
Comments received are available.
Comments received by DOL are available.
34-59855 May 1, 2009 Roundtable on Short Selling Price Test Restrictions and Short Sale Circuit Breakers (Notice of Roundtable Discussion; Request for Comment)
File No.:  4-581
Comments Due:  June 19, 2009
Comments received are available.
33-9030 Apr. 30, 2009 Fee Rates (Order Making Fiscal Year 2010 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.:  34-59850
33-9029 Apr. 17, 2009 American Skandia Investment Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting A Waiver of the Rule 602(c)(3) Disqualification Provision.)
See also:  Administrative Proceeding: Rel. No. IA-2867
33-9028 Apr. 17, 2009 American Skandia Investment Services, 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 American Skandia Investment Services, Inc., And Its Affiliates)
Other Release No.:  34-59780
See also:  Administrative Proceeding: Rel. No. IA-2867
33-9025 Apr. 13, 2009 PCAOB Support Fee (Order Approving Increase to Public Company Accounting Oversight Board Annual Accounting Support Fee for Calendar Year 2009)
Other Release No.:  34-59759
34-59753 Apr. 13, 2009 Roundtable on Oversight of Credit Rating Agencies (Notice of Roundtable Discussion; Request for Comment)
File Nos.:  4-579 and S7-04-09
Comments Due:  May 15, 2009
Comments received are available for 4-579.
First Quarter
33-9020 Mar. 26, 2009 Regulatory Flexibility Agenda
Other Release Nos.:  34-59634, IA-2858, IC-28679
File No.:  S7-07-09
Comments Due:  July 31, 2009
33-9019 Mar. 20, 2009 UBS AG (Order Under Rule 602(e) under the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
IA-2853 Mar. 17, 2009 William M. Ennis (Order Granting Consent to Associate)
33-9018 Mar. 17, 2009 Automated Trading Desk Specialists, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and Rule 602(c)(2) Disqualification Provisions)
33-9017 Mar. 17, 2009 Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC (Corrected Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9016 Mar. 16, 2009 Merrill Lynch, Pierce, Fenner, and Smith Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
34-59578 Mar. 13, 2009 Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. and Citadel Investment Group, L.L.C. Related to Central Clearing of Credit Default Swaps, and Request for Comments
* 
See also:  Request for Exemptive Relief
34-59527 Mar. 6, 2009 Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of ICE US Trust LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments
See also:  Request for Exemptive Relief
33-9010 Mar. 3, 2009 Order Regarding Review of FASB Accounting Support Fee for 2009 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.:  34-59487
34-59477 Feb. 27, 2009 Order Making Fiscal Year 2009 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
34-59441 Feb. 24, 2009 C2 Options Exchange, Incorporated (Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.:  10-191
Comments Due:  45 days after publication in the Federal Register
See also:  Form 1 Application and Exhibits; Amendment No. 1; Order, Release No. 34-61152
Comments received are available.
33-9008 Feb. 18, 2009 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 as to Wachovia Securities, LLC and Its Affiliates)
Other Release No.:  34-59414
33-9007 Feb. 17, 2009 Wachovia Securities, LLC (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)
33-9004 Jan. 30, 2009 Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-13357
33-9003 Jan. 30, 2009 Merrill Lynch, Pierce, Fenner & Smith 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.:  34-59330
File No.:  3-13357
33-9000 Jan. 14, 2009 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos.:  34-59248, 39-2460, IC-28600, IA-2830
File No.:  S7-03-09
Comments Due:  February 25, 2009
33-8997 Jan. 12, 2009 Gabelli Funds, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Gabelli Funds, LLC, Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-13332

 

http://www.sec.gov/rules/other/otherarchive/other2009.shtml


Modified: 10/16/2014