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Other Commission Orders, Notices, and Information

Archive of other SEC Orders, Notices and Information available include:

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
IA-3340 Dec. 20, 2011 Royal Oak Capital Management, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.:  801-68894
33-9285 Dec. 15, 2011 Notice of Meeting of SEC Advisory Committee on Small and Emerging Companies
Other Release No.:  34-65984
File No.:  265-27
Comments Due:  January 4, 2012
33-9284 Dec. 15, 2011 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release No.:  34-65960, 39-2482, IA-3336, IC-29886
File No.:  S7-43-11
Comments Due:  January 20, 2012
Comments received are available.
IC-29881 Dec. 9, 2011 Wells Fargo Bank, N.A., et al. (Notice and Temporary Order)
File No.:  812-13987
33-9283 Dec. 9, 2011 Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2))
33-9282 Dec. 9, 2011 Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger (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.:  34-65932
34-65765 Nov. 16, 2011 Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment
File No.:  S7-04-09
Comments received are available.
33-9279 Nov. 16, 2011 Morgan Stanley Investment Management 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.:  34-65758
File No.:   3-14628
33-9278 Nov. 16, 2011 Morgan Stanley Investment Management 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.:   3-14628
33-9276 Nov. 10, 2011 UBS Securities 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.:   3-14620
IA-3306 Oct. 24, 2011 Creative Investment Research, Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.:  801-35969
IA-3305 Oct. 24, 2011 Order Approving Filing Fees for Exempt Reporting Advisers and Private Fund Advisers
File No.:  S7-42-11
33-9269 Oct. 21, 2011 Credit Suisse Asset 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.:  3-14594
34-65602 Oct. 20, 2011 Inaugural Roundtable of the Financial Reporting Series Entitled "Uncertainty in Financial Statements: How Much to Recognize and How Best to Communicate It" (Notice of roundtable discussion; request for comment)
File No.:  4-640
Comments Due:  December 8, 2011
Comments received are available.
33-9266 Oct. 7, 2011 Advisory Committee on Small and Emerging Companies
Other Release No.:  34-65512
File No.:  265-27
Comments received are available for this proposal.
34-65511 Oct. 7, 2011 Public Roundtable on Execution, Clearance and Settlement of Microcap Securities
File No.:  4-639
Comments Due:  October 31, 2011
Comments received are available for this proposal.
34-65508 Oct. 7, 2011 Roundtable on Issues Relating to Conflict Minerals
File No.:  S7-40-10
Comments Due:  November 1, 2011
Comments received are available for this proposal.
Third Quarter
IA-3297 Sep. 30, 2011 Approval of Filing Fees for Exempt Reporting Advisers and Private Fund Advisers
File No.:  S7-39-11
See also:  FINRA letter dated September 28, 2011
33-9260 Sep. 19, 2011 Regulatory Flexibility Agenda
Other Release No.:  34-65350, IA-3280, IC-29792
File No.:  S7-37-11
Comments Due:  December 30, 2011
34-65339 Sep. 14, 2011 Kroll Bond Rating Agency, Inc. (Order Granting Temporary Exemption of Kroll Bond Rating Agency, Inc. from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934)
34-65323 Sep. 12, 2011 Miles A. Bahl (Order Approving Application for Relief from a Statutory Disqualification)
33-9258 Sep. 12, 2011 Advisory Committee on Small and Emerging Companie
Other Release No.:  34-65322
File No.:  265-27
Comments received are available.
33-9257 Sep. 6, 2011 Retrospective Review of Existing Regulations (Request for Information)
Other Release Nos.:  34-65262, 39-2479, IA-3271, IC-29781
File No.:  S7-36-11
Comments Due:  October 6, 2011
Comments received are available. Federal Register version: PDF | Text
33-9255 Aug. 31, 2011 Order Making Fiscal Year 2012 Annual Adjustments to Registration Fee Rates
Other Release No.:  34-65231
34-65153 Aug. 18, 2011 Acceptance of Public Submissions Regarding the Study of Stable Value Contracts (Request for Comment)
File No.:  S7-32-11
See also:  Notice: Rel. No. 34-67927
Comments Due:  September 26, 2011
Comments received are available.
33-9243 Jul. 22, 2011 Affiliated Computer Services, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Denying 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 Xerox Corporation)
Other Release No.:  34-64949
34-64939 Jul. 21, 2011 Joint Public Roundtable on International Issues relating to the Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Notice of Roundtable Discussion; Request for Comment) [corrected to conform to Federal Register version]
File No.:  4-636
Comments received are available.
34-64926 Jul. 20, 2011 Acceptance of Public Submissions for a Study on International Swap Regulation Mandated by Section 719(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Request for Comment)
File No.:  4-635
Comments Due:  60 days after date of publication in the Federal Register
Comments received are available.
IA-3236 Jul. 12, 2011 Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act of 1940
Effective Date:  September 19, 2011
See also:  Proposed Rule: Rel. No. IA-3198
33-9235 Jul. 11, 2011 Janney Montgomery Scott 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.:  3-14459
33-9234 Jul. 11, 2011 J.P. Morgan Securities LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting J.P. Morgan Securities LLC a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2))
33-9233 Jul. 11, 2011 J.P. Morgan 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.:  34-64854
Second Quarter
33-9230 Jun. 29, 2011 JPMorgan Chase & Co. (f/k/a 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 as to JPMorgan Chase & Co. and Its Affiliates)
Other Release No.:  34-64774
33-9229 Jun. 29, 2011 J.P. Morgan Securities LLC (f/k/a J.P. Morgan Securities Inc.) (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) & 602(b)(4) Disqualification Provisions)
33-9227 Jun. 22, 2011 Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (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 Morgan Asset Management Inc., and Morgan Keegan & Company, Inc. and Their Affiliates)
Other Release Nos.:  34-64721, IA-3219, IC-29705
File No.:  3-13847
33-9226 Jun. 22, 2011 Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-13847
34-64707 Jun. 20, 2011 Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
File No.:  600-23
Comments Due:  July 15, 2011
Document Jun. 16, 2011 Analysis of Securities Investor Protection Act Coverage for Stanford Group Company
34-64638 Jun. 9, 2011 Joint Public Roundtable on Proposed Dealer and Major Participant Definitions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Notice of roundtable discussion; request for comment.)
File Nos.:  4-633 and S7-39-10
Comments received are available for 4-633.
Comments received are available for S7-39-10.
33-9213 May 27, 2011 UBS Financial Services Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2))
33-9212 May 27, 2011 UBS Financial 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.:  34-64559
PA-46 May 18, 2011 Privacy Act of 1974: Systems of Records (Notice to establish three new systems of records and revise two existing systems of records)
File No.:  S7-20-11
Comments Due:  June 23, 2011
Effective Date:  July 3, 2011, unless further notice is given
34-64479 May 12, 2011 Notice of an Application of BF Enterprises, Inc. under Section 12(h) of the Securities Exchange Act of 1934
File No.:  81-937
Comments Due:  June 16, 2011
See also:  Application and Supplemental Letter
Comments received are available.
33-9206 May 11, 2011 Order Directing Funding for the Governmental Accounting Standards Board
Other Release No.:  34-64462
34-64456 May 10, 2011 Solicitation of Comment to Assist in Study on Assigned Credit Ratings (Request for Comment)
File No.:  4-629
Comments Due:  September 13, 2011
Comments received are available.
34-64383 May 3, 2011 Short Sale Reporting Study Required by Dodd-Frank Act Section 417(a)(2) (Request for Comment)
File No.:  4-627
Comments Due:  June 23, 2011
Comments received are available.
34-64373 Apr. 29, 2011 Order Making Fiscal Year 2012 Annual Adjustments to the Fee Rates Applicable under Section 31(c) of the Securities Exchange Act of 1934
34-64314 Apr. 20, 2011 Joint Public Roundtable on Issues Related to the Schedule for Implementing Final Rules for Swaps and Security-Based Swaps Under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Request for Comment; Notice of Roundtable Discussion)
File No.:  4-625
Comments received are available.
34-64306 Apr. 19, 2011 Comment Request on Existing Private and Public Efforts to Educate Investors
File No.:  4626
Comments Due:  60 days after publication in the Federal Register
Comments received are available.
33-9201 Apr. 5, 2011 Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets 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 Wells Fargo Securities and Its Affiliates)
Other Release No.:  34-64183
File No.:  3-14320
First Quarter
34-64102 Mar. 21, 2011 Order Cancelling Registrations of Certain Transfer Agents
33-9194 Mar. 3, 2011 Regulatory Flexibility Agenda
Other Release No.:  34-64021, IA-3168, IC-29593
File No.:  S7-09-11
Comments Due:  June 30, 2011
33-9191 Feb. 24, 2011 FASB (Order Regarding Review of FASB Accounting Support Fee for 2011 under Section 109 of the Sarbanes-Oxley Act of 2002)
Other Release No.:  34-63956
33-9190 Feb. 24, 2011 Wave2Wave Communications, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
33-9185 Feb. 8, 2011 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 No.:  34-63867
File No.:  3-14153
34-63798 Jan. 31, 2011 Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
File No.:  265-26
Comments Due:  February 17, 2011
34-63776 Jan. 26, 2011 Notice and Opportunity for Hearing: SinoFresh Healthcare, Inc.
File No.:  0-49764
Comments Due:  February 16, 2011
Comments received are available. Withdrawal of Form 15 Certification
33-9173 Jan. 11, 2011 Charles Schwab Investment Management, Charles Schwab & Co., Inc. and Charles Schwab Corporation (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-14184
33-9172 Jan. 11, 2011 Charles Schwab Investment Management, Charles Schwab & Co., Inc. and Charles Schwab 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)
Other Release No.:  34-63696
File No.:  3-14184
SIPA-170 Jan. 10, 2011 Securities Investor Protection Corporation; Order Approving a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members
File No.:  SIPC-2010-01
See also:  Notice: Rel. No. SIPA-169

 

http://www.sec.gov/rules/other/otherarchive/other2011.shtml


Modified: 05/01/2014