33-9320
May 1, 2012
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)
33-9319, 34-66896
May 1, 2012
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)
34-66871
April 27, 2012
10-206
In the Matter of the Application of BOX Options Exchange LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission Form 1 Application and Exhibits , Amendment No. 2 Federal Register version (77 FR 26323)
34-66844
April 24, 2012
Financial Industry Regulatory Authority, Inc. (Order Approving Application for Relief from a Statutory Disqualification)
33-9316, 34-66845, IA-3400, IC-30041
April 23, 2012
S7-4-12
Regulatory Flexibility Agenda Comments Due:
33-9312
April 12, 2012
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)
34-66667
March 28, 2012
The NASDAQ Stock Market LLC (Order Granting Petition for Review and Scheduling Filing of Statements)
PA-48
March 16, 2012
S7-03-12
Privacy Act of 1974: Systems of Records Comments Due: Federal Register version (77 FR 16569)
34-66541
March 8, 2012
81-937
Order Granting an Application of BF Enterprises, Inc. Under the Securities Exchange Act of 1934 Federal Register version (77 FR 15148)
33-9300, 34-66529
March 7, 2012
Order Regarding Review of FASB Accounting Support Fee for 2012 under Section 109 of the Sarbanes-Oxley Act of 2002
34-66514
March 5, 2012
Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC From the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934 Federal Register version (77 FR 14580)
34-66495
March 1, 2012
Order Making Fiscal Year 2012 Mid-Year Adjustments to Transaction Fee Rates Federal Register version (77 FR 13663)
34-66460
Feb. 24, 2012
600-10
Order Cancelling Clearing Agency Registration Federal Register version (77 FR 12897)
34-66459
Feb. 24, 2012
600-11
Order Cancelling Clearing Agency Registration Federal Register version (77 FR 12896)
34-66458
Feb. 24, 2012
600-9
Order Cancelling Clearing Agency Registration Federal Register version (77 FR 12896)
34-66461
Feb. 24, 2012
600-7
Order Cancelling Clearing Agency Registration Federal Register version (77 FR 12898)
34-63899
Feb. 14, 2012
Public Availability of the Securities and Exchange Commission FY 2010 Service Contract Inventory Federal Register version (76 FR 9382)
IA-3369
Feb. 7, 2012
801-71579
Gravity Capital Partners, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-66242
Jan. 26, 2012
10-206
BOX Options Exchange LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: Form 1 Application and Exhibits , Amendment No. 2 Federal Register version (77 FR 4841)
34-66241
Jan. 26, 2012
Order Granting Application by BOX Options Exchange LLC for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a-1 and 6a-2 Under the Exchange Act Federal Register version (77 FR 4845)
