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Order Regarding Waiver Table

Release Number
Details
Release Number:33-10915 SEC Issue Date: File Number: Details: Tierion, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
Release Number:33-10916 SEC Issue Date: File Number: Details: Prudential Financial, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
Release Number:33-10898 SEC Issue Date: File Number: Details: Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
Release Number:33-10895 SEC Issue Date: File Number: Details: BancWest Investment (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
Release Number:33-10894 SEC Issue Date: File Number: Details: Public Service Company of North Carolina, Incorporated (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii)(A) and (B) Disqualification Provisions)
Release Number:33-10893 SEC Issue Date: File Number: Details: Dominion Energy, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
Release Number:33-10866 SEC Issue Date: File Number: Details: Salt Blockchain Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act Of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
Release Number:33-10864 SEC Issue Date: File Number: Details: Aegon N.V. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
Release Number:33-10846 SEC Issue Date: File Number: Details: Northern Trust Corporation (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver From Being Ineligible Issuer)
Release Number:33-10807 SEC Issue Date: File Number: Details: American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
Release Number:33-10808 SEC Issue Date: File Number: Details: American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
Release Number:33-10798 SEC Issue Date: File Number: Details: Franklin Resources, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
Release Number:33-10784 SEC Issue Date: File Number: Details: Morgan Stanley; and Morgan Stanley Finance LLC (Order Under Rule 405 of the Securities Act of 1933, Granting Waivers From Being Ineligible Issuers)
Release Number:33-10774 SEC Issue Date: File Number: Details: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers from Being Ineligible Issuers)
Release Number:33-10758 SEC Issue Date: File Number: Details: Wells Fargo & Company (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(A) Disqualification Provision)
Release Number:33-10737 SEC Issue Date: File Number: Details: Blockchain of Things, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
Release Number:33-10716 SEC Issue Date: File Number: Details: Nebulous, Inc. (Order Under Rule 506(d)(2)(ii) and Rule 262(b)(2) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) and Rule 262(a)(5)(ii) Disqualification Provisions)
Release Number:33-10712 SEC Issue Date: File Number: Details: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of RegulationCrowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Rule 503(a)(4)(ii) of Regulation Crowdfunding)
Release Number:33-10713 SEC Issue Date: File Number: Details: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 And Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, RULE 503(a)(4)(ii) of Regulation Crowdfunding, and Granting a Waiver From Being an Ineligible Issuer)
Release Number:33-10711, IA-5379 SEC Issue Date: File Number: Details: BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Release Number:33-10711, IA-5379 SEC Issue Date: File Number: Details: BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Release Number:33-10708, IA-5378 SEC Issue Date: File Number: Details: Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Release Number:33-10708, IA-5378 SEC Issue Date: File Number: Details: Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Release Number:33-10690, : 34-86986, IA-5353 SEC Issue Date: File Number:3-19464 Details: Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Release Number:33-10690, : 34-86986, IA-5353 SEC Issue Date: File Number:3-19464 Details: Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Release Number:33-10690, : 34-86986, IA-5353 SEC Issue Date: File Number:3-19464 Details: Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Release Number:33-10685, IA-5347 SEC Issue Date: File Number: Details: Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Release Number:33-10685, IA-5347 SEC Issue Date: File Number: Details: Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Release Number:33-10646 SEC Issue Date: File Number: Details: Certain Existing Funds affiliated with Och-Ziff Capital Management Group LLC and OZ Management LP; Corrected Order Under Rule 506(d)(2)(ii) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iv)(B) And (v) Of Regulation D Disqualification Provisions
Release Number:33-10644 SEC Issue Date: File Number: Details: Deer Park Road Management Company, LP; Order Under Rule 506(d)(2)(ii) of the Securities Act Of 1933 Granting A Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision
Release Number:33-10616 SEC Issue Date: File Number: Details: Wells Fargo Services, LLC (Order Under Rule 506(d)(2)(ii) and Rule 262(b)(2)of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) and Rule 262(a)(2) Disqualification Provisions)
Release Number:33-10613 SEC Issue Date: File Number:3-19100 Details: Deutsche Bank Securities, Inc., RBC Capital Markets, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC (Order Under Rules 262(B)(2), 405, 506(D)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers)
Release Number:33-10612 SEC Issue Date: File Number:3-19026 Details: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers)
File Nos.: 3-19026, 3-19027, 3-19028, 3-19029, 3-19030, 3-19031, 3-19032, 3-19033, 3-19034, 3-19035, 3-19036, 3-19037, 3-19038, 3-19039, 3-19040, 3-19041, 3-19042, 3-19043, 3-19044, 3-19045, 3-19046, 3-19047, 3-19048, 3-19049, 3-19050, 3-19051, 3-19052, 3-19053, 3-19054, 3-19055, 3-19056, 3-19057, 3-19058, 3-19059, 3-19060, 3-19061, 3-19062, 3-19063, 3-19064, 3-19065, 3-19066, 3-19067, 3-19068, 3-19069, 3-19070, 3-19071, 3-19072, 3-19073, 3-19074, 3-19075, 3-19076, 3-19077, 3-19078, 3-19079, 3-19080, 3-19081, 3-19082, 3-19083, 3-19084, 3-19085, 3-19086, 3-19087, 3-19088, 3-19089, 3-19090, 3-19091, 3-19092, 3-19093, 3-19094, 3-19095, 3-19096, 3-19097, 3-19098, 3-19099, 3-19100, 3-19101, 3-19102
Release Number:33-10589 SEC Issue Date: File Number: Details: Capital States Capital Markets, LLC (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
Release Number:33-10474, 34-82971 SEC Issue Date: File Number: Details: 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
Release Number:33-10474, 34-82971 SEC Issue Date: File Number: Details: 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
Release Number:33-10475 SEC Issue Date: File Number: Details: Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer
Release Number:33-10466 SEC Issue Date: File Number: Details: Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting A Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
Release Number:33-10464 SEC Issue Date: File Number: Details: Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
Release Number:33-10455 SEC Issue Date: File Number: Details: Wedbush Securities Inc. (Order Under Rule 262(b)(2) and Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 262(a)(4)(ii) and Rule 506(d)(1)(iv)(B) Disqualification Provisions)
Release Number:33-10275 SEC Issue Date: File Number: Details: The Goldman Sachs Group, Inc., and Goldman, Sachs & Co. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iii) Disqualification Provision)
Release Number:33-10271 SEC Issue Date: File Number: Details: Deutsche Bank Aktiengesellschaft (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
Release Number:33-10273 SEC Issue Date: File Number:3-17730 Details: Deutsche Bank Aktiengesellschaft (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Release Number:33-10263 SEC Issue Date: File Number: Details: Stifel, Nicolaus & Co., Inc. (Order Under Rule 506(D)(2)(Ii) and Rule 262(B)(2) of the Securities Act of 1933 Granting a Waiver of the Rule 506(D)(1)(Ii) and Rule 262(A)(2) Disqualification Provisions)
Release Number:33-10224 SEC Issue Date: File Number: Details: SG Americas Securities, LLC (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iii) Disqualification Provision)
Release Number:33-10030 SEC Issue Date: File Number:3-17084 Details: Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Order Under Rules 262(b)(2), 405, 505(b)(2)(iii)(C), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 Granting Waivers of the Disqualification Provisions of Rules 262(a)(4)(ii), 505(b)(2)(iii), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Granting Waivers from Being Ineligible Issuers )
File Nos.: 3-17084, 3-17085, 3-17086, 3-17087, 3-17088, 3-17089, 3-17090, 3-17091, 3-17092, 3-17093, 3-17094, 3-17095, 3-17096, 3-17097
Release Number:33-10011 SEC Issue Date: File Number:3-17077 Details: Barclays Capital Inc. (Order Under Rule 506(d) of The Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
Release Number:33-10012 SEC Issue Date: File Number:3-17077 Details: Barclays PLC and Barclays Bank PLC (Order Under Rule 405 of The Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
Release Number:33-9993 SEC Issue Date: File Number: Details: JPMorgan Chase Bank, N.A. (Waiver Order)
Release Number:33-9956 SEC Issue Date: File Number:3-16853 Details: Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Waiver Order)
Release Number:33-9896 SEC Issue Date: File Number: Details: Citigroup Inc. (Waiver Order)
Release Number:33-9895 SEC Issue Date: File Number: Details: Citigroup Global Markets, Inc. (Waiver Order)
Release Number:33-9894 SEC Issue Date: File Number: Details: Citigroup Inc. (Waiver Order)
Release Number:33-9884 SEC Issue Date: File Number: Details: Guggenheim Partners Investment Management, LLC (Waiver Order)
Release Number:33-9855 SEC Issue Date: File Number: Details: KKR & Co. L.P. (Waiver Order)
Release Number:33-9802 SEC Issue Date: File Number: Details: Archer Daniels Midland Company (Waiver Order)
Release Number:33-9782 SEC Issue Date: File Number: Details: UBS AG (Waiver Order)
Release Number:33-9784, 34-75008 SEC Issue Date: File Number: Details: UBS AG (Waiver Order)
Release Number:33-9787 SEC Issue Date: File Number: Details: UBS AG (Waiver Order)
Release Number:33-9784, 34-75008 SEC Issue Date: File Number: Details: UBS AG (Waiver Order)
Release Number:33-9781 SEC Issue Date: File Number: Details: The Royal Bank of Scotland Group plc (Waiver Order)
Release Number:33-9780 SEC Issue Date: File Number: Details: JPMorgan Chase & Co. (Waiver Order)
Release Number:33-9785, 34-75009 SEC Issue Date: File Number: Details: JPMorgan Chase & Co. (Waiver Order)
Release Number:33-9785, 34-75009 SEC Issue Date: File Number: Details: JPMorgan Chase & Co. (Waiver Order)
Release Number:33-9779 SEC Issue Date: File Number: Details: Citigroup Inc. (Waiver Order)
Release Number:33-9778 SEC Issue Date: File Number: Details: Barclays PLC (Waiver Order)
Release Number:33-9783, 34-75007 SEC Issue Date: File Number: Details: Barclays PLC (Waiver Order)
Release Number:33-9786 SEC Issue Date: File Number: Details: Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc. (Waiver Order)
Release Number:33-9783, 34-75007 SEC Issue Date: File Number: Details: Barclays PLC (Waiver Order)
Release Number:33-9764 SEC Issue Date: File Number: Details: Deutsche Bank AG (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
Release Number:33-9712 SEC Issue Date: File Number:3-16361 Details: Oppenheimer & Co. Inc. (Corrected Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
Release Number:33-9698, 34-74061 SEC Issue Date: File Number:3-16338 Details: UBS AG: Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer
Release Number:33-9698, 34-74061 SEC Issue Date: File Number:3-16338 Details: UBS AG: Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer
Release Number:33-9682 SEC Issue Date: File Number: Details: Bank of America, N.A. and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
Release Number:33-9657 SEC Issue Date: File Number: Details: Citigroup Global Markets, Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
Release Number:33-9658 SEC Issue Date: File Number: Details: Citigroup Inc. (Order Under Rule 405 of the Securities Act Of 1933, Granting a Waiver From Being an Ineligible Issuer)
Release Number:33-9650 SEC Issue Date: File Number:3-16154 Details: Barclays PLC (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
Release Number:33-9652, 34-73185 SEC Issue Date: File Number:3-16154 Details: Barclays Capital 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 Barclays Capital Inc.)
Release Number:33-9652, 34-73185 SEC Issue Date: File Number:3-16154 Details: Barclays Capital 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 Barclays Capital Inc.)
Release Number:33-9651 SEC Issue Date: File Number: Details: Barclays Capital Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
Release Number:33-9649 SEC Issue Date: File Number:3-16153 Details: Wells Fargo Advisors, LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
Release Number:33-9626, 34-72780 SEC Issue Date: File Number: Details: Citigroup 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 Inc. and Its Affiliates)
Release Number:33-9626, 34-72780 SEC Issue Date: File Number: Details: Citigroup 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 Inc. and Its Affiliates)
Release Number:33-9627 SEC Issue Date: File Number: Details: 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)
Release Number:33-9619 SEC Issue Date: File Number: Details: Dominick & Dominick LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
Release Number:IC-31051 SEC Issue Date: File Number: Details: Credit Suisse Asset Management, LLC, et al.; Notice of Application and Temporary Order
See Also - Order Granting Permanent Exemption
Federal Register version (79 FR 29826)
Release Number:33-9589 SEC Issue Date: File Number: Details: Certain Current Funds, Third Party Issuers and Portfolio Companies affiliated with Credit Suisse AG (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(i) Disqualification Provision)
See Also - Incoming Letter
Release Number:33-9578, 34-72032 SEC Issue Date: File Number: Details: The Royal Bank Of Scotland Group, plc (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
See Also - related no-action letter and incoming letter, Incoming Letter
Release Number:33-9578, 34-72032 SEC Issue Date: File Number: Details: The Royal Bank Of Scotland Group, plc (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
See Also - related no-action letter and incoming letter, Incoming Letter
Release Number:33-9558 SEC Issue Date: File Number: Details: Jefferies LLC, (formerly known as Jefferies & Company, Inc.) (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
Release Number:33-9550 SEC Issue Date: File Number: Details: Credit Suisse Group AG (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
Release Number:33-9505, 34-71192 SEC Issue Date: File Number: Details: Nomura Holdings, 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)
Release Number:33-9505, 34-71192 SEC Issue Date: File Number: Details: Nomura Holdings, 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)
Release Number:33-9504 SEC Issue Date: File Number: Details: Instinet, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
Release Number:33-9494 SEC Issue Date: File Number: Details: Merrill Lynch, Pierce, Fenner & Smith 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 as to Bank of America Corporation and Its Affiliates)
Release Number:33-9491, 34-70984 SEC Issue Date: File Number: Details: Fifth Third Bancorp (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)
Release Number:33-9491, 34-70984 SEC Issue Date: File Number: Details: Fifth Third Bancorp (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)
Release Number:33-9489 SEC Issue Date: File Number: Details: RBS Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) & 602(c)(2) Disqualification Provisions)
Release Number:33-9487, 34-70949 SEC Issue Date: File Number: Details: The Royal Bank of Scotland Group 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 as to the Royal Bank of Scotland Group plc and Its Affiliates)
Release Number:33-9487, 34-70949 SEC Issue Date: File Number: Details: The Royal Bank of Scotland Group 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 as to the Royal Bank of Scotland Group plc and Its Affiliates)
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