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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
33-8685	May 31, 2006	3-12310	Bear, Stearns & Co. Inc. (Order Granting a Waiver of the Disqualification Provision)
33-8698, 34-53889	May 31, 2006	3-12310	Bear, Stearns & Co. Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8693	May 31, 2006	3-12310	Banc of America Securities LLC (Order Granting a Waiver of The Disqualification Provision)
33-8706, 34-53897	May 31, 2006	3-12310	Banc of America Securities LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8694	May 31, 2006	3-12310	A.G. Edwards & Sons, Inc. (Order Granting a Waiver of The Disqualification Provision)
33-8707, 34-53898	May 31, 2006	3-12310	A.G. Edwards & Sons, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
PA-36	May 24, 2006	S7-09-06	Privacy Act of 1974: System of Records: Office of Inspector General Investigative Files (SEC-43) *Comments Due:* July 3, 2006 Federal Register version (71 FR 31230)
34-53851	May 23, 2006	600-29	Clearstream Banking, S.A.; Notice of Filing of Application To Continue an Existing Exemption From Clearing Agency Registration *Comments Due:* June 21, 2006 Federal Register version (71 FR 30969)
34-53828	May 18, 2006		Regulation NMS (Order Granting Exemption from Compliance) See Also - Spotlight on Regulation NMS
33-8683	May 17, 2006		Morgan Stanley & Co., Inc. (Order Granting Waiver of the Disqualification Provisions)
34-53751	May 2, 2006		Fingerprint Plan of the National Association of Securities Dealers, Inc. Federal Register version (71 FR 27299)
33-8681, 34-53737	April 28, 2006		Order Making Fiscal Year 2007 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 Federal Register version (71 FR 26132)
34-53684	April 20, 2006		Regulation SHO (Order Extending Term of Short Sale Pilot)
33-8676, 34-53641	April 13, 2006		PCAOB (Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2006)
33-8677, 34-53642	April 13, 2006		FASB (Order Regarding Review of Financial Accounting Standards Board Accounting Support Fee for 2006)
34-53623	April 10, 2006	4-514	NASDAQ Stock Market LLC Federal Register version (71 FR 19769)
33-8674, 34-53595	April 4, 2006	265-23	Advisory Committee on Smaller Public Companies *Comments Due:* April 16, 2006 View Received Comments Federal Register version (71 FR 18122)
34-53581	March 31, 2006	81-935	Order Granting an Application of Peoples Financial Corporation Under Section 12(h) of the Securities Exchange Act of 1934 Federal Register version (71 FR 17501)

Last Reviewed or Updated: June 28, 2024