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
33-8375 Raymond James Financial Services, 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)
33-8370 Legg Mason Wood Walker, Incorporated (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8369 Legg Mason Wood Walker, Incorporated (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8373 Linsco/Private Ledger Corp. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8372 Linsco/Private Ledger Corp. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8385 H. D. Vest Investment Securities, Inc. (Order Granting Waiver Under the Securities Act of 1933)
33-8384 H. D. Vest Investment Securities, 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)
33-8367 American Express Financial Advisors Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8366 American Express Financial Advisors 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)
34-49211 S7-19-03 Security Holder Director Nominations
Comments Due: Must be received from March 10, 2004 until March 31, 2004
See Also - Proposed Rule: Security Holder Director Nominations, Commission Notice: Roundtable Discussion on Security Holder Director Nominations
Federal Register version (69 FR 6928)
35-27793 3-11373 Public Utility Holding Company Act of 1935; Application of Stephen Forbes Cooper, LLC, PGE Trust, and Enron Corporation for Exemption Under the Public Utility Holding Company Act of 1935 (No. 70-10190); Notice of and Order Scheduling Hearing Regarding Request for Order Exempting Holding Companies from Registration Under the Public Utility Holding Company Act of 1935
See Also - Federal Register PDF
Federal Register version (69 FR 2637)
33-8351 Canadian Imperial Bank of Commerce (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8352 Canadian Imperial Bank of Commerce (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8326 UBS Securities LLC, F/K/A, UBS Warburg LLC (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8327 UBS Securities LLC, F/K/A, UBS Warburg LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8328 U.S. Bancorp Piper Jaffray Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8329 U.S. Bancorp Piper Jaffray Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8325 Morgan Stanley & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8319 Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8318 Merrill Lynch, Pierce, Fenner & Smith Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8331 Lehman Brothers Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8330 J.P. Morgan Securities Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8332 Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8324 Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8323 Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
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Last Reviewed or Updated: June 28, 2024