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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
IA-2458, IC-27181	Dec. 7, 2005		Pilgrim Baxter & Associates, Ltd. (Order Directing Appointment of Tax Administrator)
34-52909	Dec. 7, 2005		Extension of Order Regarding Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act See Also - 34-54920, 34-50020, 34-48281 Federal Register version (70 FR 73809)
34-52884	Dec. 5, 2005		Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet (Order Directing Appointment of Tax Administrator)
33-8638, 34-52862	Dec. 1, 2005		American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.) (Order Directing Appointment of Tax Administrator)
IA-2452, IC-27171	Dec. 1, 2005		American Express Financial Corporation (now known as Ameriprise Financial, Inc.) (Order Directing Appointment of Tax Administrator)
34-52857	Nov. 30, 2005		Order Regarding Alternative Net Capital Computation forBear, Stearns & Co. Inc., Which Has Elected to Be Supervised on aConsolidated Basis
34-52840	Nov. 28, 2005		*Comments Due:* View Received Comments Federal Register version (70 FR 72134)
33-8635, 34-52800	Nov. 18, 2005	265-23	Advisory Committee on Smaller Public Companies *Comments Due:* December 7, 2005 Federal Register version (70 FR 71179)
34-52753	Nov. 9, 2005		Order Regarding Alternative Net Capital Computation for Lehman Brothers Inc., which Has Elected to be Supervised on a Consolidated Basis
34-52733	Nov. 4, 2005	81-934	Notice of an Application of Global Industries, Ltd. Under Section 12(h) of the Securities Exchange Act of 1934 *Comments Due:* November 26, 2005 See Also - 34-52840.pdf Federal Register version (70 FR 68115)
34-52642	Oct. 20, 2005		Janus Capital Management LLC
33-8628, 34-52629	Oct. 18, 2005	265-23	Advisory Committee on Smaller Public Companies View Received Comments Federal Register version (70 FR 61478)
34-52628	Oct. 18, 2005		Miles A. Bahl (Order Approving Application for Relief from a Statutory Disqualification)
34-52611	Oct. 14, 2005	SR-CBOE-2004-16	Marshall Spiegel (Order Denying Stay) File Nos.: SR-CBOE-2004-16, SR-CBOE-2005-19
34-52606	Oct. 13, 2005		REFCO Securities, LLC and REFCO Clearing, LLC (Order Regarding Withdrawals, Unsecured Loans or Advances from REFCO Securities, LLC and REFCO Clearing, LLC)
33-8623, 34-52575	Oct. 7, 2005	265-23	Advisory Committee on Smaller Public Companies Federal Register version (70 FR 59790)
IA-2439	Oct. 7, 2005		Approval of Investment Adviser Registration Depository Filing Fees See Also - 2005 Federal Register version (70 FR 59789)
34-52559	Oct. 4, 2005	10-131	The Nasdaq Stock Market Inc., Notice of Filing of Amendment Nos. 4 and 5 to Its Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 *Comments Due:* November 10, 2005 View Received Comments See Also - Comments received electronically are available Federal Register version (70 FR 59097)
33-8619, 34-52522	Sept. 28, 2005	265-23	Advisory Committee on Smaller Public Companies; Meeting Federal Register version (70 FR 57631)

Last Reviewed or Updated: June 28, 2024