33-8319
Oct. 31, 2003
Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8318
Oct. 31, 2003
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
Oct. 31, 2003
Lehman Brothers Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8330
Oct. 31, 2003
J.P. Morgan Securities Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8332
Oct. 31, 2003
Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8324
Oct. 31, 2003
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
Oct. 31, 2003
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)
33-8321
Oct. 31, 2003
Citigroup Global Markets Inc., F/K/A Salomon Smith Barney 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)
33-8322
Oct. 31, 2003
Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8320
Oct. 31, 2003
Bear, Stearns & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8278
Sept. 4, 2003
Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) under the Securities Act of 1933)
33-8277
Sept. 4, 2003
Goldman, Sachs & Co. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
34-48368
Aug. 20, 2003
Berkshire Hathaway Inc. (Order Affirming the Determination of the Division of Investment Management to Deny Confidential Treatment)
34-48281
Aug. 4, 2003
Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act 34-54920 , 34-52909 , 34-50020 Federal Register version (68 FR 47375)
33-8262
Aug. 1, 2003
PCAOB Budget and Accounting Support Fee (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2003)
33-8263
Aug. 1, 2003
FASB Accounting Support Fee (Order for Review under Section 109 of the Sarbanes-Oxley Act of 2002)
34-48063
June 19, 2003
List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities Federal Register version (68 FR 37870)
34-47950
May 30, 2003
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 (68 FR 33748)
34-47778
May 1, 2003
S7-10-03
Notice of Solicitation of Public Views Regarding Possible Changes to the Proxy Rules Comments Due: View Received Comments Review of the Proxy Process and Appendix A - Summary of Comments Federal Register version (68 FR 24530)
33-8225
April 30, 2003
Order Making Fiscal Year 2004 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 Federal Register version (68 FR 24027)
33-8223
April 25, 2003
Order Regarding Section 101(d) of the Sarbanes-Oxley Act of 2002
33-8222
April 25, 2003
Order Regarding Section 103(a)(3)(B) of the Sarbanes-Oxley Act of 2002
PA-33
April 23, 2003
S7-09-03
Privacy Act of 1974: Establishment of a New System of Records: Emergency Contingency Plan System (SEC-51) Federal Register version (68 FR 23168)
34-47683
April 16, 2003
Order Regarding the Collateral Broker-Dealer Must Pledge When Borrowing Customer Securities International Series
34-47591
March 28, 2003
S7-30-02
Regulation Analyst Certification Proposed Rule Rel. No. 33-8119 , and comments Federal Register version (68 FR 16313)
