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
33-8418 Order Making Fiscal Year 2005 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b) and 31(c) of the Securities Exchange Act of 1934
See Also - Appendix A, Appendix B
Federal Register version (69 FR 25632)
34-49511 S7-10-04 Regulation NMS
See Also - Spotlight on Regulation NMS
Federal Register version (69 FR 18145)
34-49408 S7-10-04 Regulation NMS
See Also - Spotlight on Regulation NMS
Federal Register version (69 FR 12876)
35-27811 Stephen Forbes Cooper, LLC PGE Trust; and Enron Corporation (Order Granting Withdrawal)
35-27810 Enron Corp. (Memorandum Opinion and Order Approving Plan of Reorganization Under Section 11(f) and Issuing Report Under Section 11(g))
35-27809 Enron Corp., et al. (Memorandum Opinion and Order Authorizing External and Intrasystem Financing and Related Transactions; Authorizing Service Agreements; and Reserving Jurisdiction)
34-49356 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a De Minimis
Federal Register version (69 FR 11057)
34-49332 Order Making Fiscal 2004 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
Federal Register version (69 FR 10278)
33-8390, 34-49291 PCAOB Budget and Accounting Support Fee (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2004)
33-8389 FASB Accounting Support Fee (Order for Review Under Section 109 of The Sarbanes-Oxley Act of 2002)
33-8382 Wachovia Securities, LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8381 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)
33-8379 UBS Financial Services Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8378 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)
33-8376 Raymond James Financial Services, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8375 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)
33-8370 Legg Mason Wood Walker, Incorporated (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8369 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)
33-8373 Linsco/Private Ledger Corp. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8372 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)
33-8385 H. D. Vest Investment Securities, Inc. (Order Granting Waiver Under the Securities Act of 1933)
33-8384 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)
33-8367 American Express Financial Advisors Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8366 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)
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