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) 34-50138
34-50104
July 28, 2004
Short Sale Price Provisions (Order Suspending Operation for Designated Securities and Time Periods) Additional Pilot Order
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: 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 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:
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 Appendix A , Appendix B Federal Register version (69 FR 25632)
34-49511
March 31, 2004
S7-10-04
Regulation NMS Spotlight on Regulation NMS Federal Register version (69 FR 18145)
34-49408
March 12, 2004
S7-10-04
Regulation NMS 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)
