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Release Number:33-8992
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SEC Issue Date:
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File Number:
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Details: UBS Securities LLC and UBS Financial Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
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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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Release Number:33-8993, 34-59158
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SEC Issue Date:
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File Number:
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Details: Citigroup Global Markets, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Citigroup Global Markets, Inc. and Its Affiliates)
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Release Number:33-8994
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SEC Issue Date:
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File Number:
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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)
|
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Release Number:33-8993, 34-59158
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SEC Issue Date:
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File Number:
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Details: Citigroup Global Markets, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Citigroup Global Markets, Inc. and Its Affiliates)
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Release Number:33-8955
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SEC Issue Date:
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File Number:
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Details: Prudential Financial, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
|
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Release Number:33-8920
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SEC Issue Date:
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File Number:3-13046
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Details: First Southwest Company (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
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Release Number:33-8914A, 34-57749A
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SEC Issue Date:
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File Number:3-13030
|
Details: Banc of America Investment Services, Inc., and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Corrected Order Under Section 27(A)(B) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(a)(ii) of the Securities Exchange Act of 1934 as to Banc of America Investment Services, Inc., Columbia Management Advisors, LLC, and Their Affiliates)
|
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Release Number:33-8915
|
SEC Issue Date:
|
File Number:3-13030
|
Details: Banc of America Investment Services, Inc. and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Order Under Rule 602(e) of The Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
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Release Number:33-8914A, 34-57749A
|
SEC Issue Date:
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File Number:3-13030
|
Details: Banc of America Investment Services, Inc., and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Corrected Order Under Section 27(A)(B) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(a)(ii) of the Securities Exchange Act of 1934 as to Banc of America Investment Services, Inc., Columbia Management Advisors, LLC, and Their Affiliates)
|
|
Release Number:33-8911, 34-57708
|
SEC Issue Date:
|
File Number:3-13019
|
Details: Gabelli Funds LLC (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
|
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Release Number:33-8911, 34-57708
|
SEC Issue Date:
|
File Number:3-13019
|
Details: Gabelli Funds LLC (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
|
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Release Number:33-8907, 34-57571
|
SEC Issue Date:
|
File Number:3-13000
|
Details: JPMorgan Chase & Co. (Order Under Section 27a(B) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
|
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Release Number:33-8907, 34-57571
|
SEC Issue Date:
|
File Number:3-13000
|
Details: JPMorgan Chase & Co. (Order Under Section 27a(B) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
|
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Release Number:34-57039
|
SEC Issue Date:
|
File Number:
|
Details: JPMorgan Securities Inc. (Order Regarding Alternative Net Capital Computation for JPMorgan Securities Inc.)
|
|
Release Number:33-8853, 34-56570
|
SEC Issue Date:
|
File Number:
|
Details: AIG SunAmerica Life Assurance Company, f/k/a Anchor National Life Insurance Company (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 and Section 21E(b)(1)(A)(ii) of the Exchange Act)
|
|
Release Number:33-8853, 34-56570
|
SEC Issue Date:
|
File Number:
|
Details: AIG SunAmerica Life Assurance Company, f/k/a Anchor National Life Insurance Company (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 and Section 21E(b)(1)(A)(ii) of the Exchange Act)
|
|
Release Number:33-8842, 34-56463
|
SEC Issue Date:
|
File Number:
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Details: Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and 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)
|
|
Release Number:33-8843
|
SEC Issue Date:
|
File Number:
|
Details: Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc. and Wachovia Securities, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
|
|
Release Number:33-8842, 34-56463
|
SEC Issue Date:
|
File Number:
|
Details: Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and 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)
|
|
Release Number:33-8835, 34-56260
|
SEC Issue Date:
|
File Number:
|
Details: Mercury Interactive, LLC (f/k/a Mercury Interactive 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 and Section 21E(b)(1)(A)(ii) of the Exchange Act as to Hewlett-Packard Company)
|
|
Release Number:33-8835, 34-56260
|
SEC Issue Date:
|
File Number:
|
Details: Mercury Interactive, LLC (f/k/a Mercury Interactive 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 and Section 21E(b)(1)(A)(ii) of the Exchange Act as to Hewlett-Packard Company)
|
|
Release Number:33-8816, 34-55947
|
SEC Issue Date:
|
File Number:3-12664
|
Details: John Hancock Investment Management Services, LLC, John Hancock Distributors LLC, John Hancock Advisers, LLC and John Hancock Funds, LLC (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8816, 34-55947
|
SEC Issue Date:
|
File Number:3-12664
|
Details: John Hancock Investment Management Services, LLC, John Hancock Distributors LLC, John Hancock Advisers, LLC and John Hancock Funds, LLC (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8807
|
SEC Issue Date:
|
File Number:
|
Details: Barclays Bank PLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) Disqualification Provision)
|
|
Release Number:33-8808, 34-55889
|
SEC Issue Date:
|
File Number:
|
Details: Barclays Bank 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)
|
|
Release Number:33-8808, 34-55889
|
SEC Issue Date:
|
File Number:
|
Details: Barclays Bank 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)
|
|
Release Number:33-8801
|
SEC Issue Date:
|
File Number:
|
Details: Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
|
|
Release Number:33-8802, 34-55727
|
SEC Issue Date:
|
File Number:
|
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)
|
|
Release Number:33-8802, 34-55727
|
SEC Issue Date:
|
File Number:
|
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)
|
|
Release Number:33-8799
|
SEC Issue Date:
|
File Number:
|
Details: Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
|
|
Release Number:33-8800, 34-55713
|
SEC Issue Date:
|
File Number:
|
Details: Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order 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:33-8800, 34-55713
|
SEC Issue Date:
|
File Number:
|
Details: Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order 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:33-8796
|
SEC Issue Date:
|
File Number:
|
Details: A.G. Edwards & Sons, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(C)(3))
|
|
Release Number:33-8797, 34-55694
|
SEC Issue Date:
|
File Number:
|
Details: A.G. Edwards & Sons, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934 Granting a Waiver 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:33-8797, 34-55694
|
SEC Issue Date:
|
File Number:
|
Details: A.G. Edwards & Sons, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934 Granting a Waiver 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:33-8792, 34-55649
|
SEC Issue Date:
|
File Number:
|
Details: Tenet Healthcare Corporation (Order Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act)
|
|
Release Number:33-8792, 34-55649
|
SEC Issue Date:
|
File Number:
|
Details: Tenet Healthcare Corporation (Order Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act)
|
|
Release Number:33-8775
|
SEC Issue Date:
|
File Number:3-12543
|
Details: Pacific Growth Equities, LLC (Order Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
|
|
Release Number:33-8770, 34-55066
|
SEC Issue Date:
|
File Number:3-12526
|
Details: Wilmington Trust Company (Order Granting Waiver 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:33-8770, 34-55066
|
SEC Issue Date:
|
File Number:3-12526
|
Details: Wilmington Trust Company (Order Granting Waiver 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:33-8769, 34-55065
|
SEC Issue Date:
|
File Number:3-12526
|
Details: The Bank Of New York (Order Granting Waiver 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:33-8769, 34-55065
|
SEC Issue Date:
|
File Number:3-12526
|
Details: The Bank Of New York (Order Granting Waiver 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:33-8768, 34-55064
|
SEC Issue Date:
|
File Number:3-12526
|
Details: Deutsche Bank Trust Company Americas (Order Granting Waiver 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:33-8768, 34-55064
|
SEC Issue Date:
|
File Number:3-12526
|
Details: Deutsche Bank Trust Company Americas (Order Granting Waiver 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:33-8764
|
SEC Issue Date:
|
File Number:
|
Details: Deutsche Asset Management, Inc., Deutsche Investment Management Americas, Inc., and Deutsche Bank Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
|
|
Release Number:33-8746
|
SEC Issue Date:
|
File Number:3-12442
|
Details: Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc. (Order Granting Waiver of the Disqualification Provision)
|
|
Release Number:33-8742, 34-54513
|
SEC Issue Date:
|
File Number:3-12432
|
Details: BISYS Fund Services, Inc. (Order Granting Waiver of the Disqualification Provisions)
|
|
Release Number:33-8742, 34-54513
|
SEC Issue Date:
|
File Number:3-12432
|
Details: BISYS Fund Services, Inc. (Order Granting Waiver of the Disqualification Provisions)
|
|
Release Number:33-8739
|
SEC Issue Date:
|
File Number:3-12413
|
Details: The Dreyfus Corporation (Order Granting Waiver of the Disqualification Provision)
|
|
Release Number:33-8734
|
SEC Issue Date:
|
File Number:
|
Details: Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8733
|
SEC Issue Date:
|
File Number:
|
Details: Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. (Order Granting a Waiver of the Disqualification Provision)
|
|
Release Number:33-8697
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Wachovia Capital Markets, LLC (Order Granting a Waiver of The Disqualification Provision)
|
|
Release Number:33-8710, 34-53901
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Wachovia Capital Markets, LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8710, 34-53901
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Wachovia Capital Markets, LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8711, 34-53902
|
SEC Issue Date:
|
File Number:3-12310
|
Details: SunTrust Capital Markets Inc. and Suntrust Banks, Inc. (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8711, 34-53902
|
SEC Issue Date:
|
File Number:3-12310
|
Details: SunTrust Capital Markets Inc. and Suntrust Banks, Inc. (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8692
|
SEC Issue Date:
|
File Number:3-12310
|
Details: RBC Dain Rauscher (Order Granting a Waiver of The Disqualification Provision)
|
|
Release Number:33-8705, 34-53896
|
SEC Issue Date:
|
File Number:3-12310
|
Details: RBC Dain Rauscher Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8705, 34-53896
|
SEC Issue Date:
|
File Number:3-12310
|
Details: RBC Dain Rauscher Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8696
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Piper Jaffray & Co. (Order Granting a Waiver of The Disqualification Provision)
|
|
Release Number:33-8709, 34-53900
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Piper Jaffray & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8709, 34-53900
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Piper Jaffray & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8704, 34-53895
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Morgan Stanley and Its Subsidiaries and Collective Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8704, 34-53895
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Morgan Stanley and Its Subsidiaries and Collective Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8691
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. (Order Granting a Waiver of The Disqualification Provision)
|
|
Release Number:33-8695
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Morgan Keegan & Company, Inc. (Order Granting a Waiver of The Disqualification Provision)
|
|
Release Number:33-8708, 34-53899
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Morgan Keegan & Company, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8708, 34-53899
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Morgan Keegan & Company, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8690
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Granting a Waiver of The Disqualification Provision)
|
|
Release Number:33-8703, 34-53894
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch, Pierce, Fenner & Smith & Co., Incorporated (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8703, 34-53894
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch, Pierce, Fenner & Smith & Co., Incorporated (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8689
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Lehman Brothers Inc. (Order Granting a Waiver of The Disqualification Provision)
|
|
Release Number:33-8702, 34-53893
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Lehman Brothers Inc. and Lehman Brothers Holdings Inc., and Their Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8702, 34-53893
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Lehman Brothers Inc. and Lehman Brothers Holdings Inc., and Their Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8688
|
SEC Issue Date:
|
File Number:3-12310
|
Details: J.P. Morgan Securities, Inc. (Order Granting a Waiver of The Disqualification Provision)
|
|
Release Number:33-8701, 34-53892
|
SEC Issue Date:
|
File Number:3-12310
|
Details: J.P. Morgan Securities, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8701, 34-53892
|
SEC Issue Date:
|
File Number:3-12310
|
Details: J.P. Morgan Securities, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8700, 34-53891
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Goldman, Sachs & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8700, 34-53891
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Goldman, Sachs & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
|
|
Release Number:33-8687
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Goldman, Sachs & Co. (Order Granting a Waiver of The Disqualification Provision)
|
|
Release Number:33-8686
|
SEC Issue Date:
|
File Number:3-12310
|
Details: Citigroup Global Markets, Inc. (Order Granting a Waiver of The Disqualification Provision)
|
|
Release Number:33-8699, 34-53890
|
SEC Issue Date:
|
File Number:3-12310
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Details: Citigroup Global Markets, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
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Release Number:33-8699, 34-53890
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SEC Issue Date:
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File Number:3-12310
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Details: Citigroup Global Markets, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
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Release Number:33-8685
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SEC Issue Date:
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File Number:3-12310
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Details: Bear, Stearns & Co. Inc. (Order Granting a Waiver of the Disqualification Provision)
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Release Number:33-8698, 34-53889
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SEC Issue Date:
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File Number:3-12310
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Details: Bear, Stearns & Co. Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
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Release Number:33-8698, 34-53889
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SEC Issue Date:
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File Number:3-12310
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Details: Bear, Stearns & Co. Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
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Release Number:33-8693
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SEC Issue Date:
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File Number:3-12310
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Details: Banc of America Securities LLC (Order Granting a Waiver of The Disqualification Provision)
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Release Number:33-8706, 34-53897
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SEC Issue Date:
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File Number:3-12310
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Details: Banc of America Securities LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
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Release Number:33-8706, 34-53897
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SEC Issue Date:
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File Number:3-12310
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Details: Banc of America Securities LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
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Release Number:33-8694
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SEC Issue Date:
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File Number:3-12310
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Details: A.G. Edwards & Sons, Inc. (Order Granting a Waiver of The Disqualification Provision)
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Release Number:33-8707, 34-53898
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SEC Issue Date:
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File Number:3-12310
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Details: A.G. Edwards & Sons, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
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Release Number:33-8707, 34-53898
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SEC Issue Date:
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File Number:3-12310
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Details: A.G. Edwards & Sons, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
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Release Number:33-8683
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SEC Issue Date:
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File Number:
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Details: Morgan Stanley & Co., Inc. (Order Granting Waiver of the Disqualification Provisions)
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Release Number:33-8661
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SEC Issue Date:
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File Number:
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Details: American International Group, Inc. (Order Granting a Waiver of the Disqualification Provisions)
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Release Number:33-8613
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SEC Issue Date:
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File Number:
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Details: Legg Mason Wood Walker, Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
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Release Number:IC-27047
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SEC Issue Date:
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File Number:
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Details: UBS Securities LLC, UBS Financial Services Inc., UBS Fund Advisor, LLC, UBS Aspen Management, LLC, UBS Willow Management, LLC, UBS Eucalyptus Management, LLC, UBS Tamarack Management, LLC, UBS Juniper Management, LLC, UBS Sequoia Management, LLC (f/k/a UBS Redwood/Sequoia Management, LLC), UBS Global Asset Management (NY) Inc., UBS Global Asset Management (US) Inc., UBS Global Asset Management (Americas) Inc., DSI International Management, Inc., UBS Global Asset Management International Ltd., GAM International Management Ltd., GAM USA Inc., and GAM Services Inc. (Order Pursuant to Section 9(C) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(A) of the Act)
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Release Number:33-8576
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SEC Issue Date:
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File Number:
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Details: Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
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Release Number:33-8577
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SEC Issue Date:
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File Number:
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Details: Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (Order Under Section 27A(B) of the Securities Act of 1933 and Section 21E(B) of the Securities Exchange Act of 1934 Granting Waivers of the Disqualification Provisions of Section 27A(B)(1)(A)(II) of the Securities Act Of 1933 and Section 21E(B)(1)(A)(Ii) of the Securities Exchange Act of 1934)
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Release Number:IC-26827
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SEC Issue Date:
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File Number:
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Details: Credit Suisse First Boston LLC (Order Pursuant to Section 9(c) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(a) of the Act)
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