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Release Number:34-51421
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SEC Issue Date:
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File Number:
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Details: Goldman, Sachs, & Co. (Order Regarding Alternative Net Capital Computation for Goldman, Sachs, & Co., Which Has Elected To Be Supervised on a Consolidated Basis)
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Release Number:33-8558
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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 and Section 21E(B)(1)(A)(II) of the Exchange Act)
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Release Number:33-8559
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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 Disqualification Provision of Rule 602(C)(3))
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Release Number:33-8542
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SEC Issue Date:
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File Number:
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Details: Goldman, Sachs & Co. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rules 602(b)(4) and 602(c)(2))
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Release Number:33-8543
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SEC Issue Date:
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File Number:
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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 and Section 21E(b)(1)(A)(ii) of the Exchange Act)
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Release Number:33-8535, 34-51165
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SEC Issue Date:
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File Number:
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Details: Columbia Management Advisors, Inc. and Columbia Funds Distributor, 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:33-8536
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SEC Issue Date:
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File Number:
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Details: Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)
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Release Number:33-8535, 34-51165
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SEC Issue Date:
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File Number:
|
Details: Columbia Management Advisors, Inc. and Columbia Funds Distributor, 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:33-8539, 34-51168, IA-2356, IC-26757
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SEC Issue Date:
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File Number:
|
Details: Banc of America Capital Management, LLC, BACAP Distributors, LLC, and 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)
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|
Release Number:33-8540, 34-51169, IA-2357, IC-26758
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SEC Issue Date:
|
File Number:
|
Details: Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (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:33-8539, 34-51168, IA-2356, IC-26757
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SEC Issue Date:
|
File Number:
|
Details: Banc of America Capital Management, LLC, BACAP Distributors, LLC, and 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)
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|
Release Number:33-8540, 34-51169, IA-2357, IC-26758
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SEC Issue Date:
|
File Number:
|
Details: Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (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:33-8539, 34-51168, IA-2356, IC-26757
|
SEC Issue Date:
|
File Number:
|
Details: Banc of America Capital Management, LLC, BACAP Distributors, LLC, and 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:33-8540, 34-51169, IA-2357, IC-26758
|
SEC Issue Date:
|
File Number:
|
Details: Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (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:33-8539, 34-51168, IA-2356, IC-26757
|
SEC Issue Date:
|
File Number:
|
Details: Banc of America Capital Management, LLC, BACAP Distributors, LLC, and 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:33-8540, 34-51169, IA-2357, IC-26758
|
SEC Issue Date:
|
File Number:
|
Details: Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (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:33-8531
|
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 and Section 21E(B)(1)(A)(ii) Of The Exchange Act)
|
|
Release Number:33-8532
|
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 Rules 602(b)(4) and 602(c)(2))
|
|
Release Number:34-50925
|
SEC Issue Date:
|
File Number:
|
Details: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Regarding Alternative Net Capital Computation for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Whish Has Elected To Be Supervised on a Consolidated Basis)
|
|
Release Number:33-8494
|
SEC Issue Date:
|
File Number:
|
Details: Thomas Weisel Partners LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8495
|
SEC Issue Date:
|
File Number:
|
Details: Thomas Weisel Partners LLC (Order Granting Waiver Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8492
|
SEC Issue Date:
|
File Number:
|
Details: Deutsche Bank Securities Inc (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8493
|
SEC Issue Date:
|
File Number:
|
Details: Deutsche Bank Securities Inc (Order Granting Waiver Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8488, 34-50371
|
SEC Issue Date:
|
File Number:
|
Details: Dean Foods Company (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8488, 34-50371
|
SEC Issue Date:
|
File Number:
|
Details: Dean Foods Company (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8478
|
SEC Issue Date:
|
File Number:
|
Details: Donaldson, Lufkin & Jenrette Securities Corp., predecessor in interest to Credit Suisse First Boston LLC (Order Granting Waiver Under Rule 602(e) the Securities Act of 1933)
|
|
Release Number:33-8473
|
SEC Issue Date:
|
File Number:
|
Details: SG Cowen & Co., LLC, F/K/A SG Cowen Securities Corporation (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8470, 34-50249
|
SEC Issue Date:
|
File Number:
|
Details: Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act)
|
|
Release Number:33-8471
|
SEC Issue Date:
|
File Number:
|
Details: Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8470, 34-50249
|
SEC Issue Date:
|
File Number:
|
Details: Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act)
|
|
Release Number:33-8467
|
SEC Issue Date:
|
File Number:
|
Details: Morgan Keegan & Co., Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8468
|
SEC Issue Date:
|
File Number:
|
Details: Morgan Keegan & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8476
|
SEC Issue Date:
|
File Number:
|
Details: Janney Montgomery Scott LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8464, 34-50245
|
SEC Issue Date:
|
File Number:
|
Details: Friedman, Billings, Ramsey & Co., Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, And Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8465
|
SEC Issue Date:
|
File Number:
|
Details: Friedman, Billings, Ramsey & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8464, 34-50245
|
SEC Issue Date:
|
File Number:
|
Details: Friedman, Billings, Ramsey & Co., Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, And Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8462
|
SEC Issue Date:
|
File Number:
|
Details: Adams Harkness, Inc. f/k/a/ Adams, Harness & Hill, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8463, 34-50244
|
SEC Issue Date:
|
File Number:
|
Details: Adams Harkness, Inc. f/k/a Adams, Harkness & Hill, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act Of 1933, and Section 21E(b) of the Securities Exchange Act Of 1934)
|
|
Release Number:33-8463, 34-50244
|
SEC Issue Date:
|
File Number:
|
Details: Adams Harkness, Inc. f/k/a Adams, Harkness & Hill, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act Of 1933, and Section 21E(b) of the Securities Exchange Act Of 1934)
|
|
Release Number:33-8453
|
SEC Issue Date:
|
File Number:
|
Details: Fidelity Brokerage Services, LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
See Also -
34-50138
|
|
Release Number:33-8381
|
SEC Issue Date:
|
File Number:
|
Details: Wachovia Securities, LLC (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8382
|
SEC Issue Date:
|
File Number:
|
Details: Wachovia Securities, LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8378
|
SEC Issue Date:
|
File Number:
|
Details: UBS Financial Services Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8379
|
SEC Issue Date:
|
File Number:
|
Details: UBS Financial Services Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8375
|
SEC Issue Date:
|
File Number:
|
Details: Raymond James Financial Services, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8376
|
SEC Issue Date:
|
File Number:
|
Details: Raymond James Financial Services, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8369
|
SEC Issue Date:
|
File Number:
|
Details: Legg Mason Wood Walker, Incorporated (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8370
|
SEC Issue Date:
|
File Number:
|
Details: Legg Mason Wood Walker, Incorporated (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8372
|
SEC Issue Date:
|
File Number:
|
Details: Linsco/Private Ledger Corp. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8373
|
SEC Issue Date:
|
File Number:
|
Details: Linsco/Private Ledger Corp. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8384
|
SEC Issue Date:
|
File Number:
|
Details: H. D. Vest Investment Securities, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8385
|
SEC Issue Date:
|
File Number:
|
Details: H. D. Vest Investment Securities, Inc. (Order Granting Waiver Under the Securities Act of 1933)
|
|
Release Number:33-8366
|
SEC Issue Date:
|
File Number:
|
Details: American Express Financial Advisors Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8367
|
SEC Issue Date:
|
File Number:
|
Details: American Express Financial Advisors Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8351
|
SEC Issue Date:
|
File Number:
|
Details: Canadian Imperial Bank of Commerce (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8352
|
SEC Issue Date:
|
File Number:
|
Details: Canadian Imperial Bank of Commerce (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8326
|
SEC Issue Date:
|
File Number:
|
Details: UBS Securities LLC, F/K/A, UBS Warburg LLC (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8327
|
SEC Issue Date:
|
File Number:
|
Details: UBS Securities LLC, F/K/A, UBS Warburg LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8328
|
SEC Issue Date:
|
File Number:
|
Details: U.S. Bancorp Piper Jaffray Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8329
|
SEC Issue Date:
|
File Number:
|
Details: U.S. Bancorp Piper Jaffray Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8325
|
SEC Issue Date:
|
File Number:
|
Details: Morgan Stanley & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8319
|
SEC Issue Date:
|
File Number:
|
Details: Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8318
|
SEC Issue Date:
|
File Number:
|
Details: Merrill Lynch, Pierce, Fenner & Smith Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8331
|
SEC Issue Date:
|
File Number:
|
Details: Lehman Brothers Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8330
|
SEC Issue Date:
|
File Number:
|
Details: J.P. Morgan Securities Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8332
|
SEC Issue Date:
|
File Number:
|
Details: Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8323
|
SEC Issue Date:
|
File Number:
|
Details: Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8324
|
SEC Issue Date:
|
File Number:
|
Details: Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8321
|
SEC Issue Date:
|
File Number:
|
Details: Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8322
|
SEC Issue Date:
|
File Number:
|
Details: Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8320
|
SEC Issue Date:
|
File Number:
|
Details: Bear, Stearns & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8277
|
SEC Issue Date:
|
File Number:
|
Details: Goldman, Sachs & Co. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
|
|
Release Number:33-8278
|
SEC Issue Date:
|
File Number:
|
Details: Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) under the Securities Act of 1933)
|
|
Release Number:33-8205
|
SEC Issue Date:
|
File Number:
|
Details: Merrill Lynch & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
|
|
Release Number:33-8206
|
SEC Issue Date:
|
File Number:
|
Details: Merrill Lynch & Co., Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934
|
