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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
33-8491, 34-50445, 35-27893, 39-2427, IA-2306, IC-26621	Sept. 24, 2004	S7-34-04	Regulatory Flexibility Agenda *Comments Due:* Comments should be received on or before December 30, 2004
33-8492	Sept. 24, 2004		Deutsche Bank Securities Inc (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8493	Sept. 24, 2004		Deutsche Bank Securities Inc (Order Granting Waiver Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8488, 34-50371	Sept. 14, 2004		Dean Foods Company (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8478	Aug. 26, 2004		Donaldson, Lufkin & Jenrette Securities Corp., predecessor in interest to Credit Suisse First Boston LLC (Order Granting Waiver Under Rule 602(e) the Securities Act of 1933)
33-8473	Aug. 25, 2004		SG Cowen & Co., LLC, F/K/A SG Cowen Securities Corporation (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8471	Aug. 25, 2004		Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8470, 34-50249	Aug. 25, 2004		Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act)
33-8467	Aug. 25, 2004		Morgan Keegan & Co., Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934)
33-8468	Aug. 25, 2004		Morgan Keegan & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8476	Aug. 25, 2004		Janney Montgomery Scott LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8465	Aug. 25, 2004		Friedman, Billings, Ramsey & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8464, 34-50245	Aug. 25, 2004		Friedman, Billings, Ramsey & Co., Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, And Section 21E(b) of the Securities Exchange Act of 1934)
33-8462	Aug. 25, 2004		Adams Harkness, Inc. f/k/a/ Adams, Harness & Hill, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8463, 34-50244	Aug. 25, 2004		Adams Harkness, Inc. f/k/a Adams, Harkness & Hill, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act Of 1933, and Section 21E(b) of the Securities Exchange Act Of 1934)
34-50206	Aug. 17, 2004		Berkshire Hathaway Inc. (Order Denying Requests for Confidential Treatment)
33-8453	Aug. 3, 2004		Fidelity Brokerage Services, LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) See Also - 34-50138
34-50104	July 28, 2004		Short Sale Price Provisions (Order Suspending Operation for Designated Securities and Time Periods) See Also - Additional Pilot Order

Last Reviewed or Updated: June 28, 2024