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
34-51277 Order Making Fiscal 2005 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
Federal Register version (70 FR 10695)
33-8542 Goldman, Sachs & Co. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rules 602(b)(4) and 602(c)(2))
33-8543 Goldman, Sachs & Co. (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 and Section 21E(b)(1)(A)(ii) of the Exchange Act)
34-51124 SR-ODD-2004-03 Canadian Derivatives Clearing Corporation; Order Approving Accelerated Distribution of an Amended Options Disclosure Document
Federal Register version (70 FR 6740)
33-8536 Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)
33-8535, 34-51165 Columbia Management Advisors, Inc. and Columbia Funds Distributor, 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)
33-8540, 34-51169, IA-2357, IC-26758 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8539, 34-51168, IA-2356, IC-26757 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (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)
33-8532 Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rules 602(b)(4) and 602(c)(2))
33-8531 Morgan Stanley & Co. Incorporated (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 and Section 21E(B)(1)(A)(ii) Of The Exchange Act)
34-51115 Richard Kern and Charles Wilkins (Order Denying Motion for Summary Affirmance, Setting Aside Default, and Remanding for Further Proceedings)
34-50925 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Regarding Alternative Net Capital Computation for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Whish Has Elected To Be Supervised on a Consolidated Basis)
33-8514 265-23 Advisory Committee on Smaller Public Companies
Federal Register version (69 FR 76498)
34-50795 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a de minimis Exemption for Transactions in Certain Exchange-Traded Funds from the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (69 FR 71445)
34-50747 Order Delaying Pilot Period for Suspension of the Operation of Short Sale Price Provisions
Comments Due:
View Received Comments
34-50649 Daniel V. Covello (Order Approving Application for Relief from a Statutory Disqualification)
33-8502 Maximum Dynamics, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
34-50489 Raymond L. Grenier, Jr. (Order Approving Application for Relief from a Statutory Disqualification)
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Last Reviewed or Updated: June 28, 2024