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
34-49211 S7-19-03 Security Holder Director Nominations
Comments Due: Must be received from March 10, 2004 until March 31, 2004
See Also - Proposed Rule: Security Holder Director Nominations, Commission Notice: Roundtable Discussion on Security Holder Director Nominations
Federal Register version (69 FR 6928)
35-27793 3-11373 Public Utility Holding Company Act of 1935; Application of Stephen Forbes Cooper, LLC, PGE Trust, and Enron Corporation for Exemption Under the Public Utility Holding Company Act of 1935 (No. 70-10190); Notice of and Order Scheduling Hearing Regarding Request for Order Exempting Holding Companies from Registration Under the Public Utility Holding Company Act of 1935
See Also - Federal Register PDF
Federal Register version (69 FR 2637)
33-8351 Canadian Imperial Bank of Commerce (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8352 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)
33-8326 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)
33-8327 UBS Securities LLC, F/K/A, UBS Warburg LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8328 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)
33-8329 U.S. Bancorp Piper Jaffray Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8325 Morgan Stanley & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8319 Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8318 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)
33-8331 Lehman Brothers Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8330 J.P. Morgan Securities Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8332 Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8324 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)
33-8323 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)
33-8321 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)
33-8322 Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8320 Bear, Stearns & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8278 Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) under the Securities Act of 1933)
33-8277 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)
34-48368 Berkshire Hathaway Inc. (Order Affirming the Determination of the Division of Investment Management to Deny Confidential Treatment)
34-48281 Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act
See Also - 34-54920, 34-52909, 34-50020
Federal Register version (68 FR 47375)
33-8262 PCAOB Budget and Accounting Support Fee (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2003)
33-8263 FASB Accounting Support Fee (Order for Review under Section 109 of the Sarbanes-Oxley Act of 2002)
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