Other Commission Orders, Notices,
and Information Archives: 2008

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

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Additional Archives

2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995

Release No.	Date	Details
Fourth Quarter
34-59165	Dec. 24, 2008	Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps (Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions from Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps) Comments received are available.
34-59164	Dec. 24, 2008	LIFFE Administration and Management and LCH.Clearnet Ltd. (Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of LIFFE Administration and Management and LCH.Clearnet Ltd. Related to Central Clearing Of Credit Default Swaps, and Request for Comments) See also:  Exemptive Order Release No. 34-59164 and Request for Exemptive Relief
33-8994	Dec. 23, 2008	Citigroup Global Markets, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
33-8993	Dec. 23, 2008	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 as to Citigroup Global Markets, Inc. and Its Affiliates) Other Release No.:  34-59158
33-8992	Dec. 23, 2008	UBS Securities LLC and UBS Financial Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
33-8991	Dec. 23, 2008	UBS Financial Services, Inc. and UBS 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 as to UBS Financial Services, Inc. and UBS Securities LLC) Other Release No.:  34-59157
33-8989	Dec. 17, 2008	Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2009 Other Release No.:  34-59113
34-59056	Dec. 4, 2008	Order Granting Registration of Egan-Jones Rating Company to Add Two Additional Classes of Credit Ratings
34-59039	Dec. 2, 2008	Order Setting Aside Action by Delegated Authority and Approving Proposed Rule Change Relating to NYSE Arca Data See also:  Orders: Rel. No. 34-54597 and 34-55011; and Notice: Rel. No. 34-53952
IA-2806	Oct. 30, 2008	Approval of Investment Adviser Registration Depository Filing Fees (Order) See also:  FINRA letter dated October 10, 2008
33-8980	Oct. 20, 2008	Roundtable on Mark-to-Market Accounting Other Release No.:  34-58813 File No.:  4-573 Comments Due:  October 28, 2008 Comments received are available.
34-58807	Oct. 17, 2008	Order Approving Minor Rule Violation Plan for BATS Exchange, Inc. File No.:  File No. 4-568 See also:  Notice: Rel. No. 34-58485
33-8977	Oct. 15, 2008	Resubmission of Comment Letters Other Release Nos.:  34-58788; IC-28438; IA-2798 Comments Due:  October 29, 2008
33-8975	Oct. 8, 2008	SEC Study of Mark to Market Accounting Other Release No.:  34-58747 File No.:  4-573 Comments Due:  November 13, 2008 Comments received are available.
33-8974	Oct. 2, 2008	Regulatory Flexibility Agenda Other Release Nos.:  34-58715, IA-2796, IC-28432 File No.:  S7-28-08 Comments Due:  December 31, 2008 Comments received are available for this notice.
34-58724	Oct. 2, 2008	Order Amending and Extending Emergency Order Requiring Institutional Money Managers to Report New Short Sales File No.:  S7-24-08 See also:  Form SH (revised October 2, 2008) [ Microsoft Word version], and Form SH Instructions (revised October 2, 2008) Comments received are available.
34-58723	Oct. 2, 2008	Order Extending Emergency Order Halting Short Selling in Financial Stocks File No.:  S7-26-08 Comments received are available.
34-58711	Oct. 1, 2008	Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments File No.:  S7-25-08 Comments received are available.
34-58703	Oct. 1, 2008	Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
Third Quarter
33-8962	Sep. 26, 2008	Roundtable on Modernizing the SEC's Disclosure System Other Release No.:  34-58657 File No.:  4-567 Comments received are available for this notice.
34-58612	Sep. 22, 2008	Order Granting Temporary, Conditional Relief From The Net Capital Rule For Barclays Capital, Inc.
34-58611	Sep. 21, 2008	Amendment to Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments Comments received are available.
34-58591A	Sep. 21, 2008	Amendment to Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments See also:  Guidance Regarding Disclosure of Short Selling, Form SH (revised) [ Microsoft Word version], and Form SH Instructions (revised) Comments received are available.
34-58592	Sep. 18, 2008	Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments Comments received are available.
34-58591	Sep. 18, 2008	Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments See also:  Guidance Regarding Disclosure of Short Selling, Form SH (revised) [ Microsoft Word version], and Form SH Instructions (revised) Comments received are available.
34-58588	Sep. 18, 2008	Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
34-58572	Sep. 17, 2008	Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments See also:  Guidance Regarding Temporary Rule 204T Comments received are available.
34-58485	Sep. 8, 2008	Notice of Filing of Proposed Minor Rule Violation Plan File No.:  4-568 Comments Due:  October 16, 2008 See also:  Order: Rel. No. 34-58807
33-8955	Sep. 5, 2008	Prudential Financial, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
34-58375	Aug. 18, 2008	BATS Exchange, Inc. (Findings, Opinion, and Order of the Commission) File No.:  10-182 See also:  Notice: Rel. No. 34-57322
33-8947	Jul. 29, 2008	Roundtable on International Financial Reporting Standards Other Release No.:  34-58236 File No.:  4-564 Comments Due:  August 11, 2008 Comments received are available for this notice.
34-58248	Jul. 29, 2008	Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
34-58190	Jul. 18, 2008	Amendment to Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments File No.:  S7-20-08 See also:  Guidance Regarding Emergency Order Comments received are available for this notice.
34-58172	Jul. 16, 2008	Canadian Derivatives Clearing Corporation (Order Approving Accelerated Distribution of an Amended Options Disclosure Document) File No.:  SR-ODD-2008-03
34-58166	Jul. 15, 2008	Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
33-8942	Jul. 11, 2008	Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-58146 File No.:  265-24 Comments Due:  July 22, 2008 Comments received are available for this notice.
33-8941	Jul. 3, 2008	Notice: Roundtable on Fair Value Accounting Standards Comments received are available for this notice.
Second Quarter
No Number	Jun. 27, 2008	Certification of Questions of Law Arising From Rule 14a-8 Proposal by Shareholder of CA, Inc. See also: Attachment A, Attachment B, Attachment C
34-58001	Jun. 23, 2008	Order Granting Temporary Exemption of Realpoint LLC from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) under the Securities Exchange Act of 1934
34-58000	Jun. 23, 2008	Order Granting Registration of Realpoint LLC as a Nationally Recognized Statistical Rating Organization
33-8932	Jun. 19, 2008	Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-57990 File No.:  265-24 Comments Due:  July 3, 2008 Comments received are available for this notice.
34-57949	Jun. 11, 2008	Fixed Income Clearing Corporation (Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency) File No.:  600-23 Comments Due:  July 9, 2008
33-8927	Jun. 5, 2008	International Roundtable on Interactive Data for Public Financial Reporting Other Release No.:  34-57929 File No.:  4-559 Comments Due:  August 1, 2008 Comments received are available for this notice.
34-57917	Jun. 4, 2008	NYSE Arca, Inc. (Notice of Proposed Order Approving Proposal by NYSE Arca, Inc. To Establish Fees for Certain Market Data and Request for Comment) Comments Due:  July 10, 2008 Comments received are available for this notice. Additional Materials: Order Granting Petition for Review and Scheduling Filing of Statements (December 27, 2006) NetCoalition Petition for Commission Review (November 14, 2006) NYSEArca Response to NetCoalition.com Notice of Intention to Petition for Review of SR-NYSEArca-2006-21 (November 8, 2006)
33-8920	May 27, 2008	First Southwest Company (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Rule 602(c)(3) Disqualification Provision) File No.:  3-13046
33-8918	May 15, 2008	Subcommittee Reports of the SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-57819 File No.:  265-24 Comments Due:  June 23, 2008 Comments received are available for this notice.
33-8916	May 2, 2008	Order Making Fiscal Year 2009 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.:  34-57766
33-8915	May 1, 2008	Banc of America Investment Services, Inc. and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Order Under Rule 602(e) of The Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision) File No.:  3-13030
33-8914A	May 1, 2008	Banc of America Investment Services, Inc., and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Corrected Order Under Section 27(A)(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 as to Banc of America Investment Services, Inc., Columbia Management Advisors, LLC, and Their Affiliates) Other Release No.:  34-57749A File No.:  3-13030
IA-2732	Apr. 30, 2008	Kenneth W. Corba (Order Granting Consent to Associate Pursuant to Section 203(F) of the Investment Advisers Act Of 1940)
33-8911	Apr. 24, 2008	Gabelli Funds 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 No.:  34-57708 File No.:  3-13019
33-8910	Apr. 15, 2008	Room Change for Meeting of SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-57669 File No.:  265-24
34-57648	Apr. 11, 2008	Order of Summary Abrogation of a Proposed Rule Change Relating to its “Primary Only” Order Type File No.:  SR-NYSEArca-2008-19 See also:  Notice: Rel. No. 34-57377
33-8908	Apr. 9, 2008	Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-57638 File No.:  265-24 Comments Due:  April 25, 2008 Comments received are available for this notice.
34-57613	Apr. 3, 2008	Boston Stock Exchange (Declaration of Effectiveness of the Boston Stock Exchange Fingerprinting Plan)
First Quarter
33-8907	Mar. 27, 2008	JPMorgan Chase & 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 of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-57571 File No.:  3-13000
33-8905	Mar. 21, 2008	Regulatory Flexibility Agenda Other Release Nos.:  34-57544, IA-2723, IC-29198 File No.:  S7-09-08 Comments Due:  June 30, 2008
34-57407	Feb. 29, 2008	Fee Rate Adjustment (Order Making Fiscal 2008 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934)
33-8897	Feb. 21, 2008	Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-57364 File No.:  265-24 Comments Due:  March 6, 2008 Comments received are available for this notice.
33-8896	Feb. 14, 2008	Progress Report of the SEC Advisory Committee on Improvements to Financial Reporting (Request for Comments) Other Release No.:  34-57331 File No.:  265-24 Comments Due:  March 31, 5008 Comments received are available for this notice.
34-57322	Feb. 13, 2008	BATS Exchange, Inc. (Notice of Filing of Application and Amendment No. 1 Thereto for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934) File No.:  10-182 Comments Due:  April 7, 2008 See also:  Order: Rel. No. 34-58375; Form 1 Application and Exhibits Comments received are available for this notice.
33-8893	Feb. 13, 2008	Order Regarding Review Of FASB Accounting Support Fee for 2008 Under Section 109 of the Sarbanes-Oxley Act of 2002 Other Release No.:  34-57319
34-57308	Feb. 11, 2008	Notice of Solicitation of Public Views Regarding Practices Being Developed to Deal with the Increasing Number of Senior Investors File No.:  S7-03-08 Comments Due:  April 1, 2008 Comments received are available for this notice.
IA-2702	Feb. 11, 2008	Timothy J. Miller (Order Granting Consent to Associate)
34-57301	Feb. 11, 2008	Order Granting Temporary Exemption of LACE Financial Corp. from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) of the Securities Exchange Act of 1934 See also:  Release No. 34-57300
34-57300	Feb. 11, 2008	Order Granting Registration Of LACE Financial Corp. As A Nationally Recognized Statistical Rating Organization See also:  Release No. 34-57301
34-57235	Jan. 30, 2008	Frederick H. Joseph (Order Approving Application for Relief from a Statutory Disqualification)
33-8882	Jan. 16, 2008	Advisory Committee on Improvements to Financial Reporting (Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting) Other Release No.:  34-57162 File No.:  265-24 Comments Due:  February 4, 2008 Comments received are available for this notice.

http://www.sec.gov/rules/other/otherarchive/other2008.shtml