SEC.gov | Other Commission Orders, Notices, and Information

Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

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
33-8451, 34-50094, 35-27877, 39-2422, IA-2268, IC-26521	July 27, 2004	S7-31-04	List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* Comments should be received on or before September 1, 2004 Federal Register version (69 FR 46117)
34-50039	July 20, 2004		Putnam Investment Management, LLC
34-50020	July 14, 2004		Extension of Order Regarding Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act See Also - 34-54920, 34-52909, 34-48281 Federal Register version (69 FR 43482)
34-49859	June 15, 2004		Order Temporarily Exempting Standardized Options and Security Futures From Rule 12d2-2 Under the Securities Exchange Act of 1934 Federal Register version (69 FR 34409)
34-49846	June 10, 2004		List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities Federal Register version (69 FR 33948)
SIPA-165	May 26, 2004		Swift Trade Securities USA Inc. (Order Affirming SIPC Determination)
33-8421	May 14, 2004	S7-23-04	Regulatory Flexibility Agenda *Comments Due:* Comments should be submitted on or before June 30, 2004
33-8418	April 30, 2004		Order Making Fiscal Year 2005 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 See Also - Appendix A, Appendix B Federal Register version (69 FR 25632)
34-49511	March 31, 2004	S7-10-04	Regulation NMS See Also - Spotlight on Regulation NMS Federal Register version (69 FR 18145)
34-49408	March 12, 2004	S7-10-04	Regulation NMS See Also - Spotlight on Regulation NMS Federal Register version (69 FR 12876)
35-27811	March 9, 2004		Stephen Forbes Cooper, LLC PGE Trust; and Enron Corporation (Order Granting Withdrawal)
35-27810	March 9, 2004		Enron Corp. (Memorandum Opinion and Order Approving Plan of Reorganization Under Section 11(f) and Issuing Report Under Section 11(g))
35-27809	March 9, 2004		Enron Corp., et al. (Memorandum Opinion and Order Authorizing External and Intrasystem Financing and Related Transactions; Authorizing Service Agreements; and Reserving Jurisdiction)
34-49356	March 3, 2004		Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a De Minimis Federal Register version (69 FR 11057)
34-49332	Feb. 27, 2004		Order Making Fiscal 2004 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934 Federal Register version (69 FR 10278)
33-8390, 34-49291	Feb. 20, 2004		PCAOB Budget and Accounting Support Fee (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2004)
33-8389	Feb. 20, 2004		FASB Accounting Support Fee (Order for Review Under Section 109 of The Sarbanes-Oxley Act of 2002)
33-8382	Feb. 12, 2004		Wachovia Securities, LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8381	Feb. 12, 2004		Wachovia Securities, LLC (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)

Last Reviewed or Updated: June 28, 2024