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Release Number:33-9439, 34-70122
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SEC Issue Date:
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File Number:3-15407
|
Details: 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 Securities LLC and Its Affiliates)
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Release Number:33-9439, 34-70122
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SEC Issue Date:
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File Number:3-15407
|
Details: 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 Securities LLC and Its Affiliates)
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Release Number:33-9436
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SEC Issue Date:
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File Number:3-15399
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Details: A.R. Schmeidler & Co., Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3)Disqualification Provision)
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Release Number:33-9391
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SEC Issue Date:
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File Number:
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Details: Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, 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 Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC)
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Release Number:33-9392
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SEC Issue Date:
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File Number:
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Details: Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
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Release Number:33-9381, 34-68610
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SEC Issue Date:
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File Number:
|
Details: JPMorgan Chase & Co. (Order Granting Waivers)
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Release Number:33-9381, 34-68610
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SEC Issue Date:
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File Number:
|
Details: JPMorgan Chase & Co. (Order Granting Waivers)
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Release Number:33-9380
|
SEC Issue Date:
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File Number:
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Details: J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, INC., And J.P. Morgan Acceptance Corporation I (Order Granting a Waiver)
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Release Number:33-9369, 34-68273
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SEC Issue Date:
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File Number:
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Details: Credit Suisse Securities (USA), LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities 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)
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Release Number:33-9369, 34-68273
|
SEC Issue Date:
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File Number:
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Details: Credit Suisse Securities (USA), LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities 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)
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Release Number:33-9360
|
SEC Issue Date:
|
File Number:3-15014
|
Details: JP Turner & Company, LLC, and William L. Mello (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
|
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Release Number:33-9346
|
SEC Issue Date:
|
File Number:
|
Details: Mizuho Securities USA, Inc. (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(b)(4) and 602(c)(2) as to Mizuho Securities USA, Inc.)
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Release Number:33-9347, 34-67534
|
SEC Issue Date:
|
File Number:
|
Details: Mizuho Financial Group, 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 Mizuho Financial Group, Inc. and Its Affiliates)
|
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Release Number:33-9347, 34-67534
|
SEC Issue Date:
|
File Number:
|
Details: Mizuho Financial Group, 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 Mizuho Financial Group, Inc. and Its Affiliates)
|
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Release Number:33-9319, 34-66896
|
SEC Issue Date:
|
File Number:
|
Details: UBS Financial Services Inc. of Puerto Rico (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)
|
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Release Number:33-9320
|
SEC Issue Date:
|
File Number:
|
Details: UBS Financial Services Inc. of Puerto Rico (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
|
|
Release Number:33-9319, 34-66896
|
SEC Issue Date:
|
File Number:
|
Details: UBS Financial Services Inc. of Puerto Rico (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:33-9312
|
SEC Issue Date:
|
File Number:
|
Details: Goldman, Sachs & Co (Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Rule 602(C)(3) Disqualification Provision)
|
|
Release Number:33-9282, 34-65932
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
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Release Number:33-9283
|
SEC Issue Date:
|
File Number:
|
Details: 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))
|
|
Release Number:33-9282, 34-65932
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
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Release Number:33-9278
|
SEC Issue Date:
|
File Number:3-14628
|
Details: 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)
|
|
Release Number:33-9279, 34-65758
|
SEC Issue Date:
|
File Number:3-14628
|
Details: 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)
|
|
Release Number:33-9279, 34-65758
|
SEC Issue Date:
|
File Number:3-14628
|
Details: 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)
|
|
Release Number:33-9276
|
SEC Issue Date:
|
File Number:3-14620
|
Details: 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)
|
|
Release Number:33-9269
|
SEC Issue Date:
|
File Number:3-14594
|
Details: 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)
|
|
Release Number:33-9243, 34-64949
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9243, 34-64949
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9233, 34-64854
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9234
|
SEC Issue Date:
|
File Number:
|
Details: 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))
|
|
Release Number:33-9235
|
SEC Issue Date:
|
File Number:3-14459
|
Details: 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)
|
|
Release Number:33-9233, 34-64854
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9230, 34-64774
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9230, 34-64774
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9229
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9226
|
SEC Issue Date:
|
File Number:3-13847
|
Details: 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)
|
|
Release Number:33-9227, 34-64721, IA-3219, IC-29705
|
SEC Issue Date:
|
File Number:3-13847
|
Details: 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)
|
|
Release Number:33-9227, 34-64721, IA-3219, IC-29705
|
SEC Issue Date:
|
File Number:3-13847
|
Details: 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)
|
|
Release Number:33-9227, 34-64721, IA-3219, IC-29705
|
SEC Issue Date:
|
File Number:3-13847
|
Details: 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)
|
|
Release Number:33-9227, 34-64721, IA-3219, IC-29705
|
SEC Issue Date:
|
File Number:3-13847
|
Details: 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)
|
|
Release Number:33-9212, 34-64559
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9213
|
SEC Issue Date:
|
File Number:
|
Details: 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))
|
|
Release Number:33-9212, 34-64559
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9201, 34-64183
|
SEC Issue Date:
|
File Number:3-14320
|
Details: 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)
|
|
Release Number:33-9201, 34-64183
|
SEC Issue Date:
|
File Number:3-14320
|
Details: 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)
|
|
Release Number:33-9185, 34-63867
|
SEC Issue Date:
|
File Number:3-14153
|
Details: 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)
|
|
Release Number:33-9185, 34-63867
|
SEC Issue Date:
|
File Number:3-14153
|
Details: 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)
|
|
Release Number:33-9172, 34-63696
|
SEC Issue Date:
|
File Number:3-14184
|
Details: 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)
|
|
Release Number:33-9173
|
SEC Issue Date:
|
File Number:3-14184
|
Details: 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)
|
|
Release Number:33-9172, 34-63696
|
SEC Issue Date:
|
File Number:3-14184
|
Details: 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)
|
|
Release Number:33-9161
|
SEC Issue Date:
|
File Number:3-12495
|
Details: Jefferies & Co., 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:33-9154
|
SEC Issue Date:
|
File Number:
|
Details: Citigroup 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:33-9131
|
SEC Issue Date:
|
File Number:
|
Details: General Electric Company (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)
|
|
Release Number:33-9129
|
SEC Issue Date:
|
File Number:
|
Details: Goldman, Sachs & Co. (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)
|
|
Release Number:33-9130, 34-62556
|
SEC Issue Date:
|
File Number:
|
Details: Goldman, Sachs & 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 as to Goldman, Sachs & Co. And Its Affiliates)
|
|
Release Number:33-9130, 34-62556
|
SEC Issue Date:
|
File Number:
|
Details: Goldman, Sachs & 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 as to Goldman, Sachs & Co. And Its Affiliates)
|
|
Release Number:33-9103, 34-61428
|
SEC Issue Date:
|
File Number:3-13557
|
Details: TD Ameritrade, 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:33-9103, 34-61428
|
SEC Issue Date:
|
File Number:3-13557
|
Details: TD Ameritrade, 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:33-9090, 34-61182
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9091
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9090, 34-61182
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9079
|
SEC Issue Date:
|
File Number:3-13673
|
Details: 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)
|
|
Release Number:33-9080, 34-60929
|
SEC Issue Date:
|
File Number:3-13673
|
Details: 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)
|
|
Release Number:33-9080, 34-60929
|
SEC Issue Date:
|
File Number:3-13673
|
Details: 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)
|
|
Release Number:33-9075
|
SEC Issue Date:
|
File Number:3-13664
|
Details: 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)
|
|
Release Number:33-9059
|
SEC Issue Date:
|
File Number:
|
Details: 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)
|
|
Release Number:33-9056
|
SEC Issue Date:
|
File Number:3-13561
|
Details: Perry Corp. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
|
|
Release Number:33-9054
|
SEC Issue Date:
|
File Number:3-13558
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Details: 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)
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Release Number:33-9055, 34-60343
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SEC Issue Date:
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File Number:3-13558
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Details: 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)
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Release Number:33-9055, 34-60343
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SEC Issue Date:
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File Number:3-13558
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Details: 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)
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Release Number:33-9041
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9042, 34-60079
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9042, 34-60079
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9040, 34-60078
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9045
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9040, 34-60078
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9043A, 34-60081A
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9044
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9043A, 34-60081A
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9038
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SEC Issue Date:
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File Number:3-13507
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Details: 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)
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Release Number:33-9039, 34-60060
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SEC Issue Date:
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File Number:3-13507
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Details: 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)
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Release Number:33-9039, 34-60060
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SEC Issue Date:
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File Number:3-13507
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Details: 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)
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Release Number:33-9034, 34-60006, AAER-2982
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SEC Issue Date:
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File Number:3-13485
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Details: 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)
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Release Number:33-9034, 34-60006, AAER-2982
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SEC Issue Date:
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File Number:3-13485
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Details: 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)
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Release Number:33-9034, 34-60006, AAER-2982
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SEC Issue Date:
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File Number:3-13485
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Details: 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)
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Release Number:33-9028, 34-59780
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9029
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SEC Issue Date:
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File Number:
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Details: 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.)
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Release Number:33-9028, 34-59780
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9019
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9017
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9018
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9016
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9008, 34-59414
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9008, 34-59414
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9007
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SEC Issue Date:
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File Number:
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Details: 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)
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Release Number:33-9003, 34-59330
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SEC Issue Date:
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File Number:3-13357
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Details: 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)
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Release Number:33-9004
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SEC Issue Date:
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File Number:3-13357
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Details: 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)
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Release Number:33-9003, 34-59330
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SEC Issue Date:
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File Number:3-13357
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Details: 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)
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Release Number:33-8997
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SEC Issue Date:
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File Number:3-13332
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Details: 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)
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Release Number:33-8991, 34-59157
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SEC Issue Date:
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File Number:
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Details: 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)
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