33-8613
Sept. 21, 2005
Legg Mason Wood Walker, Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
IA-2431
Sept. 16, 2005
Gary L. Pittsford (Order Granting Consent to Associate)
34-52382
Sept. 6, 2005
Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis Federal Register version (70 FR 53695)
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055
Sept. 2, 2005
S7-07-05
Regulatory Flexibility Agenda
IC-27047
Aug. 25, 2005
UBS Securities LLC, UBS Financial Services Inc., UBS Fund Advisor, LLC, UBS Aspen Management, LLC, UBS Willow Management, LLC, UBS Eucalyptus Management, LLC, UBS Tamarack Management, LLC, UBS Juniper Management, LLC, UBS Sequoia Management, LLC (f/k/a UBS Redwood/Sequoia Management, LLC), UBS Global Asset Management (NY) Inc., UBS Global Asset Management (US) Inc., UBS Global Asset Management (Americas) Inc., DSI International Management, Inc., UBS Global Asset Management International Ltd., GAM International Management Ltd., GAM USA Inc., and GAM Services Inc. (Order Pursuant to Section 9(C) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(A) of the Act)
33-8607, 34-52329
Aug. 24, 2005
265-23
Advisory Committee on Smaller Public Companies Federal Register version (70 FR 51388)
34-52266
Aug. 15, 2005
10-136
Acknowledgment of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the CBOE Futures Exchange, LLC Federal Register version (70 FR 48990)
33-8599, 34-52189
Aug. 2, 2005
265-23
Advisory Committee on Smaller Public Companies Federal Register version (70 FR 45446)
34-52145
July 28, 2005
Morgan Stanley & Co. (Order Regarding Alternative Net Capital Computation for Morgan Stanley & Co., which has Elect to be Supervised on a Consolidated Basis)
34-52135
July 27, 2005
Two Sigma Investments, LLC (Order Denying Requests for Confidential Treatment)
34-52134
July 27, 2005
Two Sigma Investments, LLC (Order Denying Requests for Confidential Treatment)
33-8589, 34-52047
July 18, 2005
265-23
Advisory Committee on Smaller Public Companies View Received Comments Federal Register version (70 FR 42117)
34-51893
June 21, 2005
List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities Federal Register version (70 FR 37128)
33-8576
May 31, 2005
Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8577
May 31, 2005
Smith Barney Fund Management LLC and Citigroup Global Markets, 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)
33-8575, 34-51730 Requests and Statements Due: Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005.
May 24, 2005
265-23
Advisory Committee on Smaller Public Companies. Federal Register version (70 FR 30978)
