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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
33-9285, 34-65984	Dec. 15, 2011	265-27	Advisory Committee on Small and Emerging Companies *Comments Due:* January 4, 2012 Submit a Comment on 265-27 Federal Register version (76 FR 79230)
33-9284, 34-65960, 39-2482, IA-3336, IC-29886	Dec. 15, 2011	S7-43-11	List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* January 20, 2012 View Received Comments Submit a Comment on S7-43-11 Federal Register version (76 FR 79141)
33-9283	Dec. 9, 2011		Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2))
33-9282, 34-65932	Dec. 9, 2011		Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger (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)
IC-29881	Dec. 9, 2011	812-13987	Wells Fargo Bank, N.A., et al.; Notice of Application and Temporary Order Federal Register version (76 FR 78052)
34-65765	Nov. 16, 2011	S7-04-09	Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment View Received Comments Submit a Comment on S7-04-09 Federal Register version (76 FR 72227)
33-9278	Nov. 16, 2011	3-14628	Morgan Stanley Investment Management Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9279, 34-65758	Nov. 16, 2011	3-14628	Morgan Stanley Investment Management 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)
33-9276	Nov. 10, 2011	3-14620	UBS Securities LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
IA-3305	Oct. 24, 2011	S7-42-11	Order Approving Filing Fees for Exempt Reporting Advisers and Private Fund Advisers Federal Register version (76 FR 67004)
IA-3306	Oct. 24, 2011	801-35969	Creative Investment Research, Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
33-9269	Oct. 21, 2011	3-14594	Credit Suisse Asset Management, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
34-65602	Oct. 20, 2011	4-640	Inaugural Roundtable of the Financial Reporting Series Entitled "Uncertainty in Financial Statements: How Much To Recognize and How Best To Communicate It" *Comments Due:* December 8, 2011 View Received Comments Submit a Comment on 4-640 Federal Register version (76 FR 66339)
34-65511	Oct. 7, 2011	4-639	Public Roundtable on Execution, Clearance and Settlement of Microcap Securities *Comments Due:* October 31, 2011 View Received Comments Submit a Comment on 4-639 Federal Register version (76 FR 63680)
33-9266, 34-65512	Oct. 7, 2011	265-27	Advisory Committee on Small and Emerging Companies View Received Comments Submit a Comment on 265-27 Federal Register version (76 FR 63679)
34-65508	Oct. 6, 2011	S7-40-10	Roundtable on Issues Relating to Conflict Minerals *Comments Due:* November 1, 2011 View Received Comments Submit a Comment on S7-40-10 Federal Register version (76 FR 63573)
IA-3297	Sept. 30, 2011	S7-39-11	Approval of Filing Fees for Exempt Reporting Advisers and Private Fund Advisers See Also - 2011 Federal Register version (76 FR 62100)
33-9260, 34-65350, IA-3280, IC-29792	Sept. 19, 2011	S7-37-11	Regulatory Flexibility Agenda *Comments Due:* December 30, 2011 Submit a Comment on S7-37-11 Federal Register version (77 FR 8081)

Last Reviewed or Updated: June 28, 2024