Other Commission Orders, Notices,
and Information Archives: 2003

Archive of older SEC Other Commission Orders, Notices, and Information available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No.	Date	Details
Fourth Quarter
33-8352	Dec. 29, 2003	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) Release No. 34-48999
33-8351	Dec. 29, 2003	Canadian Imperial Bank of Commerce (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)
33-8331	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)
33-8329	Oct. 31, 2003	U.S. Bancorp Piper Jaffray Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8328	Oct. 31, 2003	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) Release No.: 34-48729
33-8327	Oct. 31, 2003	UBS Securities LLC, F/K/A, UBS Warburg LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8326	Oct. 31, 2003	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) Release No.: 34-48728
33-8325	Oct. 31, 2003	Morgan Stanley & Co. Inc. (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)
33-8322	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)
33-8321	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) Release No.: 34-48726
33-8320	Oct. 31, 2003	Bear, Stearns & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
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) Release No.: 34-48723
Third Quarter
33-8278	Sep. 4, 2003	Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) under the Securities Act of 1933)
33-8277	Sep. 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) Release No.:  34-48437
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 See also:  34-54920; 34-52909; 34-50020
33-8263	Aug. 1, 2003	FASB Accounting Support Fee (Order for Review under Section 109 of the Sarbanes-Oxley Act of 2002) Release No.:  34-48277
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) Release No.:  34-48276
Second Quarter
34-48063	June 19, 2003	Foreign Issuers (Submitted Information Under the Exemption Relating to Certain Foreign Securities) Release No.:  International Series Release No. 1269
34-47950	May 30, 2003	Exchange-Traded Funds (Order Extending a De Minimis Exemption UnderSection 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder)
34-47778	May 1, 2003	Proxy Rules (Notice of Solicitation of Public Views) File No.: S7-10-03 Comments Due: Comments must be received on or before June 13, 2003. Comments received are available for this notice. See Also: Review of the Proxy Process and Appendix A - Summary of Comments
33-8225	Apr. 30, 2003	Fee Rates (Order Making Annual Adjustments 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) Release No.: 34-47768
33-8223	Apr. 25, 2003	Order Regarding Section 101(d) of the Sarbanes-Oxley Act of 2002 Release No.:  34-47746
33-8222	Apr. 25, 2003	Order Regarding Section 103(a)(3)(B) of the Sarbanes-Oxley Act of 2002 Release No.:  34-47745
PA-33	Apr. 23, 2003	Privacy Act of 1974: Establishment of a New System of Records: Emergency Contingency Plan System (SEC–51) File No.: S7–09–03
34-47683	Apr. 16, 2003	Order Regarding the Collateral Broker-Dealer Must Pledge When Borrowing Customer Securities International Series Release No.: 1268
First Quarter
34-47591	Mar. 28, 2003	Regulation Analyst Certification File No.: S7-30-02 Effective Date: April 14, 2003. See also Final Rule, Rel. No. 33-8193 Proposed Rule, Rel. No. 33-8119 and comments
34-47570	Mar. 26, 2003	Books and Records Requirements for Brokers and Dealers File No.: S7-26-98 Effective Date: May 2, 2003
IA-2117	Mar. 26, 2003	Roundtable Discussions Relating to Hedge Funds File No.: 4-476 Comments Due: Comments must be received on or before April 30, 2003. Comments received are available for this notice.
33-8207	Mar. 17, 2003	Securities Uniformity (Notice of Annual Conference on Uniformity of Securities Laws) File No.:  S7-05-03 Comments Due:   April 3, 2003 Comments received are available for this notice.
33-8206	Mar. 17, 2003	Merrill Lynch & 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 Release No.:  34-47514
33-8205	Mar. 17, 2003	Merrill Lynch & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) Release No.:  34-47513
34-47425	Feb. 28, 2003	Fee Rates (Order Making Adjustment Under Sections 31(b) and (c) of the Securities Exchange Act of 1934)
34-47375	Feb. 19, 2003	Relational Investors LLC (Order Declining to Review the Determination of the Division of Investment Management to Deny Confidential Treatment)
34-47319	Feb. 5, 2003	Options Specialists (Order of Exemption Under Section 11(b) of the Securities Exchange Act of 1934)

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