News and Events from the Fort Worth Regional Office

The Fort Worth Regional Office posts news and events happening in its jurisdiction. You may sign up to receive email updates.

Date Title
Worthless Stock: How to Avoid Doubling Your Losses
Select SEC and Market Data 2004
Report filed by small business investment company (SBIC)
Issuer Delisting; Notice of Application of TransMontaigne Inc. to Withdraw its Common Stock, $.01 par value, from Listing and Registration on the American Stock Exchange LLC
2005 Inventory
Issuer Delisting; Notice of Application of American Power Conversion Corporation to Withdraw its Common Stock, $.01 par value, from Listing and Registration on the Pacific Exchange, Inc.
Self-Regulatory Organizations; Order Granting Application to Strike From Listing and Registration; The New York Stock Exchange, Inc. (Three-Five Systems, Inc., Common Stock, $.01 par value) File No. 1-04373
Issuer Delisting; Order Granting the Application of Campbell Soup Company to Withdraw its Common Stock, $.0375 par value, from Listing and Registration on the Philadelphia Stock Exchange, Inc. File No. 1-03822
Registration statement under the Securities Act of 1933
Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries
Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems
Day Trading: Your Dollars at Risk
"High Yields" and Hot Air
Issuer Delisting; Notice of Application of E-Z-EM, Inc. to Withdraw its Common Stock, $.10 par value, from Listing and Registration on the American Stock Exchange LLC
2006 Performance Budget
Issuer Delisting; Order Granting the Application of Ryder System, Inc. to Withdraw its Common Stock, $.50 par value, from Listing and Registration on the Chicago Stock Exchange, Incorporated File No. 1-04364
Self-Regulatory Organizations; Order Granting Application to Strike from Listing and Registration on the American Stock Exchange LLC (Hanover Direct, Inc., Common Stock, $.66 2/3 par value) File No. 1-08056
Issuer Delisting: Order Granting Application to Strike From Listing and Registration; The New York Stock Exchange, Inc. (TransTechnology Corporation, Common Stock, $.01 par value) File No. 1-07872
Congressional Request FY 2006
Public Company Accounting Oversight Board; Order Approving Proposed Rule and Amendment No. 1 Amending Bylaws
Issuer Delisting; Order Granting the Application of The Ohio Art Company to Withdraw its Common Stock, $1.00 Par Value, from Listing and Registration on the American Stock Exchange LLC
Mutual Fund Proxy Voting Records and Policies
Risky Business: "Pre-IPO [Initial Public Offering]" Investing
2005 Annual Report — Performance and Accountability Report
Notice of Filing and Order Granting Accelerated Approval of Proposed Temporary Transitional Rule Relating to PCAOB Auditing Standard No. 2, "An Audit of Internal Control Over Financial Reporting Performed in Conjunction With an Audit of Financial Statemen
Order Approving Proposed Conforming Amendments to PCAOB Interim Standards Resulting from the Adoption of PCAOB Auditing Standard No. 2, "An Audit Of Internal Control Over Financial Reporting Performed In Conjunction With An Audit of Financial Statements"
Notice of Filing of Proposed Rules on Conforming Amendments to PCAOB Interim Standards Resulting from the Adoption of PCAOB Auditing Standard No. 2, "An Audit Of Internal Control Over Financial Reporting Performed In Conjunction With An Audit of Financial
Order Approving Proposed Rule 3101, Certain Terms Used in Auditing and Related Professional Practice Standards and an Amendment to Rule 1001, Definitions of Terms Employed in Rules
Order Approving Proposed Rules Relating to Oversight of Non-U.S. Registered Public Accounting Firms
Notice of Filing of Proposed Rule 3101, Certain Terms Used in Auditing and Related Professional Practice Standards
Notice of Filing of Proposed Rule 3101, Certain Terms Used in Auditing and Related Professional Practice Standards
Notice of Filing of Proposed Rule 3101, Certain Terms Used in Auditing and Related Professional Practice Standards
2004 Inventory
Order Approving Proposed Auditing Standard No. 2, An Audit of Internal Control Over Financial Reporting Performed in Conjunction with an Audit of Financial Statements ("Auditing Standard No. 2")
Variable Annuities and Variable Life Products: Questions to Ask
Order Approving Proposed Rules Relating to Inspections of Registered Public Accounting Firms
About Settling Trades In Three Days: Introducing T+3
Order Approving Proposed Rules Relating to Investigations and Adjudications
Order Approving Proposed Auditing Standard No. 1, References in Auditors' Reports to the Standards of the Public Company Accounting Oversight Board ("Auditing Standard No. 1")
Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities
Order Approving Proposed Rule and Application Instructions Governing Withdrawal From Registration
Selective Disclosure (Reg. FD)
PCAOB Rulemaking: Public Company Accounting Oversight Board; Order Approving Proposed Technical Amendments to Interim Standards Rules
PCAOB Rulemaking: Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule and Form Relating to Inspections of Registered Public Accounting Firms
PCAOB Rulemaking: Notice of Filing of Proposed Rule on Auditing Standard No. 2, An Audit of Internal Control Over Financial Reporting Performed in Conjunction with an Audit of Financial Statements
PCAOB Rulemaking: Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule on Auditing Standard No. 2, An Audit of Internal Control Over Financial Reporting Performed in Conjunction with an Audit of Financial Statements
PCAOB Rulemaking: Public Company Accounting Oversight Board; Notice of Filing of Proposed Auditing Standard No. 1, References in Auditors' Reports to the Standards of the Public Company Accounting Oversight Board
Ohio Art Company
PCAOB Rulemaking: Notice of Filing of Proposed Rule and Form Governing Withdrawal From Registration
PCAOB Rulemkaing: Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules Relating to Investigations and Adjudications
Fails-to-Deliver Data
FOCUS Report, Part II Instructions
2004 Annual Report — Performance and Accountability Report
PCAOB Rulemaking: Public Company Accounting Oversight Board; Notice of Filing and Order Granting Accelerated Approval of Proposed Temporary Hearing Rules Relating to Disapproved Registration Applications
PCAOB Rulemaking: Public Company Accounting Oversight Board; Order Approving Proposed Code of Ethics
Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges
PCAOB Rulemaking: Order Approving Proposed Rules Relating to Compliance with Auditing and Related Professional Practice Standards and Advisory Groups
Notification of repurchase offer
Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940
Policy Statement: Business Continuity Planning for Trading Markets
PCAOB Rulemaking: Notice of Filing of Proposed Ethics Code
PCAOB Rulemaking: Proposed Rules Relating to Compliance with Auditing and Related Professional Practice Standards and Advisory Groups
Policy Statement: Reaffirming the Status of the FASB as a Designated Private-Sector Standard Setter
PCAOB Rulemaking: Order Approving Proposed Rules on Funding and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to the Proposed Rules on Funding
PCAOB Rulemaking: Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule on Funding
PCAOB Rulemaking: Order Approving Proposed Rules Relating to Bylaws
PCAOB Rulemaking: Order Approving Proposed Rules Relating to Registration System
PCAOB Rulemaking: Order Approving Proposed Rules Relating to Registration System
2003 Inventory
Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities
PCAOB Rulemaking: Notice of Filing of Proposed Bylaws and Amendment No. 1 Thereto
PCAOB Rulemaking:
FOCUS Report, Part I
Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940
FOCUS Report Part IIa
2003 Annual Report
Registration or exemption from registration as a clearing agency and for amendment to registration
2002 Inventory
FOCUS Report, Part II
All About Auditors
Annual notice of securities sold pursuant to Rule 24-f2
FOCUS Report Part IIa Instructions
2002 Annual Report
Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940
Notification under Regulation E
Policy Statement: Establishment and Improvement of Standards Related to Auditor Independence
2001 Inventory
Report of Change in Membership Status
Missing/Lost/Stolen/Counterfeit Securities Report
Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940
Stock Market Fraud "Survivor" Checklist
2001 Annual Report
2000 Annual Report
A Plain English Handbook: How to Create Clear SEC Disclosure Documents
Application for registration or exemption from registration as a national securities exchange
1999 Annual Report
Policy Statement: Alternative Dispute Resolution
1998 Annual Report
1997 Annual Report
1996 Annual Report
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