Other Commission Orders, Notices,
and Information Archives: 2005

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
34-52909	Dec. 7, 2005	Broker-Dealer Financial Statement Requirements (Extension of Order under Section 17 of the Exchange Act) See also:  34-54920; 34-50020; 34-48281
IA-2458	Dec. 7, 2005	Pilgrim Baxter & Associates, Ltd. (Order Directing Appointment of Tax Administrator) Other Release No.: IC-27181
34-52884	Dec. 5, 2005	Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet (Order Directing Appointment of Tax Administrator)
33-8638	Dec. 1, 2005	American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.) (Order Directing Appointment of Tax Administrator) Other Release No.: 34-52862
IA-2452	Dec. 1, 2005	American Express Financial Corporation (now known as Ameriprise Financial, Inc.) (Order Directing Appointment of Tax Administrator) Other Release No.: IC-27171
34-52857	Nov. 30, 2005	Order Regarding Alternative Net Capital Computation for Bear, Stearns & Co. Inc., Which Has Elected to Be Supervised on a Consolidated Basis
34-52840	Nov. 28, 2005	Order Granting an Application of Global Industries, Ltd. under Section 12(h) of the Securities Exchange Act of 1934 File No.: 81-934 See also:  Notice: Rel. No. 34-52733
33-8635	Nov. 18, 2005	Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.: 34-52800 File No.: 265-23 Comments Due: December 7, 2005
34-52753	Nov. 9, 2005	Order Regarding Alternative Net Capital Computation for Lehman Brothers Inc., which Has Elected to be Supervised on a Consolidated Basis
34-52733	Nov. 4, 2005	Notice of an Application of Global Industries, Ltd. under Section 12(h) of the Securities Exchange Act of 1934 File No.: 81-934 Comments Due: November 25, 2005 See also:  Order: Rel. No. 34-52840
34-52642	Oct. 20, 2005	Janus Capital Management LLC
33-8628	Oct. 18, 2005	Time Change for Meeting of SEC Advisory Committee on Smaller Public Companies File No.: 265-23 Other Release No.: 34-52629 Comments received are available for this notice.
34-52628	Oct. 18, 2005	Miles A. Bahl (Order Approving Application for Relief from a Statutory Disqualification)
34-52611	Oct. 14, 2005	Marshall Spiegel (Order Denying Stay) File Nos.: SR-CBOE-2004-16 and SR-CBOE-2005-19
34-52606	Oct. 13, 2005	REFCO Securities, LLC and REFCO Clearing, LLC (Order Regarding Withdrawals, Unsecured Loans or Advances from REFCO Securities, LLC and REFCO Clearing, LLC)
33-8623	Oct. 7, 2005	Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.: 34-52575 File No.: 265-23
IA-2439	Oct. 7, 2005	Approval of Investment Adviser Registration Depository Filing Fees See also: NASD letter dated September 9, 2005
34-52559	Oct. 4, 2005	The Nasdaq Stock Market, Inc. (Notice of Filing of Amendment Nos. 4 and 5 to its Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934) File No.: 10-131 Comments due:  November 10, 2005 Comments received are available for this notice. See also comments received for initial notice.
Third Quarter
33-8619	Sep. 28, 2005	Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.: 34-52522 File No.: 265-23
IA-2431	Sep. 16, 2005	Gary L. Pittsford (Order Granting Consent to Associate)
33-8613	Sep. 21, 2005	Legg Mason Wood Walker, Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
34-52382	Sep. 6, 2005	Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds from the Trade-Through Provisions of the Intermarket Trading System
33-8608	Sep. 2, 2005	Regulatory Flexibility Agenda File No.: S7-07-05 Other Release No.: 34-52378, 35-28025, 39-2438, IA-2424, IC-27055
IC-27047	Aug. 25, 2005	UBS Securities LLC, UBS Financial Services Inc., UBS Fund Advisor, LLC, UBS Aspen Management, LLC, UBS Willow Management, LLC, UBS Eucalyptus Management, LLC, UBS Tamarack Management, LLC, UBS Juniper Management, LLC, UBS Sequoia Management, LLC (f/k/a UBS Redwood/Sequoia Management, LLC), UBS Global Asset Management (NY) Inc., UBS Global Asset Management (US) Inc., UBS Global Asset Management (Americas) Inc., DSI International Management, Inc., UBS Global Asset Management International Ltd., GAM International Management Ltd., GAM USA Inc., and GAM Services Inc. (Order Pursuant to Section 9(C) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(A) of the Act)
33-8607	Aug. 24, 2005	Advisory Committee on Smaller Public Companies File No.: 265-23 Other Release No.: 34-52329
34-52266	Aug. 15, 2005	Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the CBOE Futures Exchange, LLC File No.: 10-136
33-8599	Aug. 2, 2005	Request for Public Input by Advisory Committee on Smaller Public Companies Other Release No.: 34-52189 File No.: 265-23
34-52145	Jul. 28, 2005	Morgan Stanley & Co. (Order Regarding Alternative Net Capital Computation for Morgan Stanley & Co., which has Elect to be Supervised on a Consolidated Basis)
34-52135	Jul. 27, 2005	Two Sigma Investments, LLC (Order Denying Requests for Confidential Treatment)
34-52134	Jul. 27, 2005	Two Sigma Investments, LLC (Order Denying Requests for Confidential Treatment)
33-8589	Jul. 18, 2005	Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.: 34-52047 File No.: 265-23 Comments received are available for this notice.
Second Quarter
34-51893	Jun. 21, 2005	Foreign Issuers (List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities) Other Release No.:   International Series Release No. 1291
33-8577	May 31, 2005	Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (Order Under Section 27A(B) of the Securities Act of 1933 and Section 21E(B) of the Securities Exchange Act of 1934 Granting Waivers of the Disqualification Provisions of Section 27A(B)(1)(A)(II) of the Securities Act Of 1933 and Section 21E(B)(1)(A)(Ii) of the Securities Exchange Act of 1934)
33-8576	May 31, 2005	Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8575	May 24, 2005	Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.:   34-51730 Requests and Statements Due:   Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005.
34-51697	May 16, 2005	Neurotech Development Corp. (Order Withdrawing Application and Dismissing Review Proceedings and Notice that Initial Decision has become Final) See also: Initial Decision
IC-26867	May 13, 2005	Mutual Fund Redemption Fees: Notice of OMB Approval of Collections of Information File No.: S7-11-04
33-8572	Apr. 29, 2005	Order Making Fiscal Year 2006 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 Other Release No.: 34-51631 See also: Fee Rates FY 2006 Tables
33-8571	Apr. 26, 2005	Summary of Proposed Committee Agenda of Advisory Committee on Smaller Public Companies Other Release No.:   34-51610 Comments Due:   Comments should be received on or before May 31, 2005. Comments received are available for this notice.
IC-26838	Apr. 21, 2005	The PNC Financial Services Group, Inc. (Notice of Application for a Permanent Order Under Section 9(c) of the Investment Company Act of 1940) File No.:   812-13182 Hearing Requests Due:   May 12, 2005
IC-26827	Apr. 1, 2005	Credit Suisse First Boston LLC (Order Pursuant to Section 9(c) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(a) of the Act)
First Quarter
33-8561	Mar. 31, 2005	Regulatory Flexibility Agenda Other Release Nos.: 34-51444; 35-27952; 39-2435; IA-2373; IC-26825 File No.:   S7-02-05
IC-26824	Mar. 29, 2005	Morgan Stanley Investment Advisors Inc. (Order Pursuant to Section 9(c) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(a) of the Act)
34-51421	Mar. 23, 2005	Goldman, Sachs, & Co. (Order Regarding Alternative Net Capital Computation for Goldman, Sachs, & Co., Which Has Elected To Be Supervised on a Consolidated Basis)
33-8560	Mar. 23, 2005	Notice of First Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.:   34-51417 File No.:   265-23 Comments Due:   Comments should be received on or before April 8, 2005. Comments received are available for this notice.
33-8559	Mar. 23, 2005	Citigroup Global Markets, Inc. (Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(C)(3))
33-8558	Mar. 23, 2005	Citigroup Global Markets, Inc. (Order Under Section 27A(B) of the Securities Act of 1933 and Section 21E(B) of the Securities Exchange Act Of 1934 Granting Waivers of the Disqualification Provisions of Section 27A(B)(1)(A)(II) of the Securities Act and Section 21E(B)(1)(A)(II) of the Exchange Act)
34-51341	Mar. 9, 2005	Certain Disgorgement and Fair Funds in Administrative Proceedings (Order Directing Appointment of Tax Administrator)
33-8550	Mar. 3, 2005	PCAOB (Order Approving Public Company Accounting Oversight Board Revised Budget and Annual Accounting Support Fee for Calendar Year 2005)
33-8549	Mar. 3, 2005	FASB (Order Regarding Review of FASB Accounting Support Fee for Calendar Year 2005 Under the Sarbanes-Oxley Act of 2002)
34-51277	Feb. 28, 2005	Fee Rates (Order Making Fiscal 2005 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934)
33-8543	Feb. 25, 2005	Goldman, Sachs & Co. (Order Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act)
33-8542	Feb. 25, 2005	Goldman, Sachs & Co. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rules 602(b)(4) and 602(c)(2))
34-51124	Feb. 10, 2005	Canadian Derivatives Clearing Corporation (Order Approving Accelerated Distribution of an Amended Options Disclosure Document) File No. SR-ODD-2004-03
33-8540	Feb. 9, 2005	Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3)) Other Release Nos.:   34-51169; IA-2357; IC-26758
33-8539	Feb. 9, 2005	Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release Nos.:   34-51168; IA-2356; IC-26757
33-8536	Feb. 9, 2005	Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)
33-8535	Feb. 9, 2005	Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:   34-51165
33-8532	Feb. 7, 2005	Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rules 602(b)(4) and 602(c)(2))
33-8531	Feb. 7, 2005	Morgan Stanley & Co. Incorporated (Order Under Section 27A(B) of the Securities Act of 1933, And Section 21E(B) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(B)(1)(A)(ii) Of The Securities Act and Section 21E(B)(1)(A)(ii) Of The Exchange Act)
34-51115	Feb. 1, 2005	Richard Kern and Charles Wilkins (Order Denying Motion for Summary Affirmance, Setting Aside Default, and Remanding for Further Proceedings)

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