Other Commission Orders, Notices, and Information

Commission orders, notices, and other information in miscellaneous categories such as whistleblower award claims, fee rates, and specific requests for public comment.

Release Number Issue Date File Number Details
IC-26824 Morgan Stanley Investment Advisors 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)
33-8560, 34-51417 265-23 Advisory Committee on Smaller Public Companies
Comments Due: Comments should be received on or before April 8, 2005
View Received Comments
Federal Register version (70 FR 15669)
34-51421 Goldman, Sachs, & Co. (Order Regarding Alternative Net Capital Computation for Goldman, Sachs, & Co., Which Has Elected To Be Supervised on a Consolidated Basis)
33-8559 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))
33-8558 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)
34-51341 Certain Disgorgement and Fair Funds in Administrative Proceedings (Order Directing Appointment of Tax Administrator)
33-8550 PCAOB (Order Approving Public Company Accounting Oversight Board Revised Budget and Annual Accounting Support Fee for Calendar Year 2005)
33-8549 FASB (Order Regarding Review of FASB Accounting Support Fee for Calendar Year 2005 Under the Sarbanes-Oxley Act of 2002)
34-51277 Order Making Fiscal 2005 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
Federal Register version (70 FR 10695)
33-8542 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))
33-8543 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)
34-51124 SR-ODD-2004-03 Canadian Derivatives Clearing Corporation; Order Approving Accelerated Distribution of an Amended Options Disclosure Document
Federal Register version (70 FR 6740)
33-8536 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)
33-8535, 34-51165 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)
33-8540, 34-51169, IA-2357, IC-26758 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))
33-8539, 34-51168, IA-2356, IC-26757 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)
33-8532 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))
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