Other Commission Orders, Notices,
and Information Archives: 2004

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
34-50925	Dec. 23, 2004	Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Regarding Alternative Net Capital Computation for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Whish Has Elected To Be Supervised on a Consolidated Basis)
33-8514	Dec. 16, 2004	Advisory Committee on Smaller Public Companies (Notice of establishment of the Advisory Committee on Smaller Public Companies)
34-50795	Dec. 3, 2004	Exchange-Traded Funds (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)
34-50747	Nov. 30, 2004	Order Delaying Pilot Period for Suspension of the Operation of Short Sale Price Provisions
34-50649	Nov. 9, 2004	Daniel V. Covello (Order Approving Application for Relief from a Statutory Disqualification)
33-8502	Nov. 5, 2004	Maximum Dynamics, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
34-50489	Oct. 5, 2004	Raymond L. Grenier, Jr. (Order Approving Application for Relief from a Statutory Disqualification)
Third Quarter
33-8491	Sep. 24, 2004	Regulatory Flexibility Agenda Other Release Nos.:   34-50445, 35-27893, 39-2427, IA-2306, IC-26621 File No.:   S7-34-04 Comments Due:   Comments should be received on or before December 30, 2004.
33-8495	Sep. 24, 2004	Thomas Weisel Partners LLC (Order Granting Waiver Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934)
33-8494	Sep. 24, 2004	Thomas Weisel Partners LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8493	Sep. 24, 2004	Deutsche Bank Securities Inc (Order Granting Waiver Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8492	Sep. 24, 2004	Deutsche Bank Securities Inc (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8488	Sep. 14, 2004	Dean Foods Company (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934) Other Release No.: 34-50371
33-8478	Aug. 26, 2004	Donaldson, Lufkin & Jenrette Securities Corp., predecessor in interest to Credit Suisse First Boston LLC (Order Granting Waiver Under Rule 602(e) the Securities Act of 1933)
33-8476	Aug. 25, 2004	Janney Montgomery Scott LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8473	Aug. 25, 2004	SG Cowen & Co., LLC, F/K/A SG Cowen Securities Corporation (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8471	Aug. 25, 2004	Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8470	Aug. 25, 2004	Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act) Other Release No.: 34-50249
33-8468	Aug. 25, 2004	Morgan Keegan & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8467	Aug. 25, 2004	Morgan Keegan & 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)
33-8465	Aug. 25, 2004	Friedman, Billings, Ramsey & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8464	Aug. 25, 2004	Friedman, Billings, Ramsey & 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) Other Release No.: 34-50245
33-8463	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 yhe Securities Exchange Act Of 1934) Other Release No.: 34-50244
33-8462	Aug. 25, 2004	Adams Harkness, Inc. f/k/a/ Adams, Harness & Hill, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
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) See also:  34-50138
34-50104	Jul. 28, 2004	Short Sale Price Provisions (Order Suspending Operation for Designated Securities and Time Periods) See also:  Final Rule Release No. 34-50103; Release No. 34-50747
33-8451	Jul. 27, 2004	Regulatory Flexibility Act (Rules to Be Reviewed) Other Release Nos.:  34-50094, 35-27877, 39-2422, IA-2268, IC-26521 File No.:  File No. S7-31-04 Comments Due:   Comments should be received on or before September 1, 2004.
34-50039	Jul. 20, 2004	Putnam Investment Management, LLC
34-50020	Jul. 14, 2004	Broker-Dealer Financial Statement Requirements (Extension of Order under Section 17 of the Exchange Act) See also:  34-54920; 34-52909; 34-48281
Second Quarter
34-49859	Jun. 15, 2004	Standardized Options and Security Futures (Order Temporarily Exempting from Rule 12d2-2 under the Securities Exchange Act of 1934)
34-49846	Jun. 10, 2004	Foreign Issuers (Submitting Information Under Exemption) Other No.: International Series Release No. 1277
SIPA-165	May 26, 2004	Swift Trade Securities USA Inc. (Order Affirming SIPC Determination)
33-8421	May 14, 2004	Regulatory Flexibility Agenda File No.: S7-23-04 Comments due: Comments should be submitted on or before June 30, 2004.
33-8418	Apr. 30, 2004	Fee Rates Adjustments (Order Making Fiscal Year 2005 Annual Adjustments 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) Release No.:   34-49634 See also: Appendix A and Appendix B
First Quarter
34-49511	Mar. 31, 2004	Regulation NMS: Change in Hearing Schedule File No.: S7-10-04 Hearing Date: April 21, 2004 See also: Spotlight on Regulation NMS
34-49408	Mar. 12, 2004	Regulation NMS: Notice of Hearings File No.: S7-10-04 Requests to Testify Due: on or before March 22, 2004 Testimony Submissions Due: on or before March 26, 2004 Requests to testify are available for this notice. See also: Spotlight on Regulation NMS
35-27811	Mar. 9, 2004	Stephen Forbes Cooper, LLC PGE Trust; and Enron Corporation (Order Granting Withdrawal)
35-27810	Mar. 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	Mar. 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	Mar. 3, 2004	Exchange-Traded Funds (Order Extending a De Minimis Exemption Under Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder)
34-49332	Feb. 27, 2004	Fee Rates (Order Making Adjustment Under Sections 31(b) and (c) of the Securities Exchange Act of 1934)
33-8390	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) Other Release No.:  34-49291
33-8389	Feb. 20, 2004	FASB Accounting Support Fee (Order for Review Under Section 109 of The Sarbanes-Oxley Act of 2002)
33-8385	Feb. 12, 2004	H. D. Vest Investment Securities, Inc. (Order Granting Waiver Under the Securities Act of 1933)
33-8384	Feb. 12, 2004	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) Release No.: 34-49250
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) Release No.: 34-49238
33-8379	Feb. 12, 2004	UBS Financial Services Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8378	Feb. 12, 2004	UBS 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) Release No.: 34-49237
33-8376	Feb. 12, 2004	Raymond James Financial Services, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8375	Feb. 12, 2004	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) Release No.: 34-49235
33-8373	Feb. 12, 2004	Linsco/Private Ledger Corp. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8372	Feb. 12, 2004	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) Release No.: 34-49233
33-8370	Feb. 12, 2004	Legg Mason Wood Walker, Incorporated (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8369	Feb. 12, 2004	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) Release No.: 34-49231
33-8367	Feb. 12, 2004	American Express Financial Advisors Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8366	Feb. 12, 2004	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) Release No.: 34-49228
34-49211	Feb. 9, 2004	Security Holder Director Nominations (Notice of Roundtable Discussion and Request for Comment) File No.: S7-19-03 Comments Due: Comments will be accepted from March 10, 2004 until March 31, 2004
35-27793	Jan. 14, 2004	Stephen Forbes Cooper, LLC, PGE Trust, and Enron Corporation (Notice of and Order Scheduling Hearing for Exemption Under the Public Utility Holding Company Act of 1935 (No. 70-10190)) Federal Register PDF

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