| Release No. |
Date |
Details |
| Fourth Quarter |
|
IA-3340 |
Dec. 20, 2011 |
Royal Oak Capital Management, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.: 801-68894
|
|
33-9285 |
Dec. 15, 2011 |
Notice of Meeting of SEC Advisory Committee on Small and Emerging Companies
Other Release No.: 34-65984
File No.: 265-27
Comments Due: January 4, 2012
|
|
33-9284 |
Dec. 15, 2011 |
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release No.: 34-65960, 39-2482, IA-3336, IC-29886
File No.: S7-43-11
Comments Due: January 20, 2012
Comments received
are available.
|
|
IC-29881 |
Dec. 9, 2011 |
Wells Fargo Bank, N.A., et al. (Notice and Temporary Order)
File No.: 812-13987
|
|
33-9283 |
Dec. 9, 2011 |
Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2))
|
|
33-9282 |
Dec. 9, 2011 |
Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger (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.: 34-65932
|
|
34-65765 |
Nov. 16, 2011 |
Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment
File No.: S7-04-09
Comments received
are available.
|
|
33-9279 |
Nov. 16, 2011 |
Morgan Stanley Investment Management 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.: 34-65758
File No.: 3-14628
|
|
33-9278 |
Nov. 16, 2011 |
Morgan Stanley Investment Management Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-14628
|
|
33-9276 |
Nov. 10, 2011 |
UBS Securities 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.: 3-14620
|
|
IA-3306 |
Oct. 24, 2011 |
Creative Investment Research, Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.: 801-35969
|
|
IA-3305 |
Oct. 24, 2011 |
Order Approving Filing Fees for Exempt Reporting Advisers and Private Fund Advisers
File No.: S7-42-11
|
|
33-9269 |
Oct. 21, 2011 |
Credit Suisse Asset 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.: 3-14594
|
|
34-65602 |
Oct. 20, 2011 |
Inaugural Roundtable of the Financial Reporting Series Entitled "Uncertainty in Financial Statements: How Much to Recognize and How Best to Communicate It" (Notice of roundtable discussion; request for comment)
File No.: 4-640
Comments Due: December 8, 2011
Comments received
are available.
|
|
33-9266 |
Oct. 7, 2011 |
Advisory Committee on Small and Emerging Companies
Other Release No.: 34-65512
File No.: 265-27
Comments received
are available
for this proposal.
|
|
34-65511 |
Oct. 7, 2011 |
Public Roundtable on Execution, Clearance and Settlement of Microcap Securities
File No.: 4-639
Comments Due: October 31, 2011
Comments received
are available
for this proposal.
|
|
34-65508 |
Oct. 7, 2011 |
Roundtable on Issues Relating to Conflict Minerals
File No.: S7-40-10
Comments Due: November 1, 2011
Comments received
are available
for this proposal.
|
| Third Quarter |
|
IA-3297 |
Sep. 30, 2011 |
Approval of Filing Fees for Exempt Reporting Advisers and Private Fund Advisers
File No.: S7-39-11
See also:
FINRA letter dated September 28, 2011
|
|
33-9260 |
Sep. 19, 2011 |
Regulatory Flexibility Agenda
Other Release No.: 34-65350, IA-3280, IC-29792
File No.: S7-37-11
Comments Due: December 30, 2011
|
|
34-65339 |
Sep. 14, 2011 |
Kroll Bond Rating Agency, Inc. (Order Granting Temporary Exemption of Kroll Bond Rating Agency, Inc. from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934)
|
|
34-65323 |
Sep. 12, 2011 |
Miles A. Bahl (Order Approving Application for Relief from a Statutory Disqualification)
|
|
33-9258 |
Sep. 12, 2011 |
Advisory Committee on Small and Emerging Companie
Other Release No.: 34-65322
File No.: 265-27
Comments received
are available.
|
|
33-9257 |
Sep. 6, 2011 |
Retrospective Review of Existing Regulations (Request for Information)
Other Release Nos.: 34-65262, 39-2479, IA-3271, IC-29781
File No.: S7-36-11
Comments Due: October 6, 2011
Comments received
are available.
Federal Register version:
PDF
|
Text
|
|
33-9255 |
Aug. 31, 2011 |
Order Making Fiscal Year 2012 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-65231
|
|
34-65153 |
Aug. 18, 2011 |
Acceptance of Public Submissions Regarding the Study of Stable Value Contracts (Request for Comment)
File No.: S7-32-11
See also:
Notice: Rel. No. 34-67927
Comments Due: September 26, 2011
Comments received
are available.
|
|
33-9243 |
Jul. 22, 2011 |
Affiliated Computer Services, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Denying 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 Xerox Corporation)
Other Release No.: 34-64949
|
|
34-64939 |
Jul. 21, 2011 |
Joint Public Roundtable on International Issues relating to the Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Notice of Roundtable Discussion; Request for Comment) [corrected to conform to Federal Register version]
File No.: 4-636
Comments received
are available.
|
|
34-64926 |
Jul. 20, 2011 |
Acceptance of Public Submissions for a Study on International Swap Regulation Mandated by Section 719(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Request for Comment)
File No.: 4-635
Comments Due: 60 days after date of publication in the Federal Register
Comments received
are available.
|
|
IA-3236 |
Jul. 12, 2011 |
Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act of 1940
Effective Date: September 19, 2011
See also:
Proposed Rule: Rel. No. IA-3198
|
|
33-9235 |
Jul. 11, 2011 |
Janney Montgomery Scott 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.: 3-14459
|
|
33-9234 |
Jul. 11, 2011 |
J.P. Morgan Securities LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting J.P. Morgan Securities LLC a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2))
|
|
33-9233 |
Jul. 11, 2011 |
J.P. Morgan 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 No.: 34-64854
|
| Second Quarter |
|
33-9230 |
Jun. 29, 2011 |
JPMorgan Chase & Co. (f/k/a J.P. Morgan Securities 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 JPMorgan Chase & Co. and Its Affiliates)
Other Release No.: 34-64774 |
|
33-9229 |
Jun. 29, 2011 |
J.P. Morgan Securities LLC (f/k/a J.P. Morgan Securities Inc.) (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) & 602(b)(4) Disqualification Provisions)
|
|
33-9227 |
Jun. 22, 2011 |
Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (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 Morgan Asset Management Inc., and Morgan Keegan & Company, Inc. and Their Affiliates)
Other Release Nos.: 34-64721, IA-3219, IC-29705
File No.: 3-13847
|
|
33-9226 |
Jun. 22, 2011 |
Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-13847
|
|
34-64707 |
Jun. 20, 2011 |
Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
File No.: 600-23
Comments Due: July 15, 2011
|
|
Document |
Jun. 16, 2011 |
Analysis of Securities Investor Protection Act Coverage for Stanford Group Company
|
|
34-64638 |
Jun. 9, 2011 |
Joint Public Roundtable on Proposed Dealer and Major Participant Definitions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Notice of roundtable discussion; request for comment.)
File Nos.: 4-633 and S7-39-10
Comments received
are available
for 4-633.
Comments received
are available
for S7-39-10.
|
|
33-9213 |
May 27, 2011 |
UBS Financial Services Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2))
|
|
33-9212 |
May 27, 2011 |
UBS Financial Services 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.: 34-64559
|
|
PA-46 |
May 18, 2011 |
Privacy Act of 1974: Systems of Records (Notice to establish three new systems of records and revise two existing systems of records)
File No.: S7-20-11
Comments Due: June 23, 2011
Effective Date: July 3, 2011, unless further notice is given
|
|
34-64479 |
May 12, 2011 |
Notice of an Application of BF Enterprises, Inc. under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-937
Comments Due: June 16, 2011
See also:
Application
and
Supplemental Letter
Comments received
are available.
|
|
33-9206 |
May 11, 2011 |
Order Directing Funding for the Governmental Accounting Standards Board
Other Release No.: 34-64462
|
|
34-64456 |
May 10, 2011 |
Solicitation of Comment to Assist in Study on Assigned Credit Ratings (Request for Comment)
File No.: 4-629
Comments Due: September 13, 2011
Comments received
are available.
|
|
34-64383 |
May 3, 2011 |
Short Sale Reporting Study Required by Dodd-Frank Act Section 417(a)(2) (Request for Comment)
File No.: 4-627
Comments Due: June 23, 2011
Comments received
are available.
|
|
34-64373 |
Apr. 29, 2011 |
Order Making Fiscal Year 2012 Annual Adjustments to the Fee Rates Applicable under Section 31(c) of the Securities Exchange Act of 1934
|
|
34-64314 |
Apr. 20, 2011 |
Joint Public Roundtable on Issues Related to the Schedule for Implementing Final Rules for Swaps and Security-Based Swaps Under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Request for Comment; Notice of Roundtable Discussion)
File No.: 4-625
Comments received
are available.
|
|
34-64306 |
Apr. 19, 2011 |
Comment Request on Existing Private and Public Efforts to Educate Investors
File No.: 4–626
Comments Due: 60 days after publication in the Federal Register
Comments received
are available.
|
|
33-9201 |
Apr. 5, 2011 |
Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets 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 Wells Fargo Securities and Its Affiliates)
Other Release No.: 34-64183
File No.: 3-14320
|
| First Quarter |
|
34-64102 |
Mar. 21, 2011 |
Order Cancelling Registrations of Certain Transfer Agents
|
|
33-9194 |
Mar. 3, 2011 |
Regulatory Flexibility Agenda
Other Release No.: 34-64021, IA-3168, IC-29593
File No.: S7-09-11
Comments Due: June 30, 2011
|
|
33-9191 |
Feb. 24, 2011 |
FASB (Order Regarding Review of FASB Accounting Support Fee for 2011 under Section 109 of the Sarbanes-Oxley Act of 2002)
Other Release No.: 34-63956
|
|
33-9190 |
Feb. 24, 2011 |
Wave2Wave Communications, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
|
|
33-9185 |
Feb. 8, 2011 |
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 No.: 34-63867
File No.: 3-14153
|
|
34-63798 |
Jan. 31, 2011 |
Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
File No.: 265-26
Comments Due: February 17, 2011
|
|
34-63776 |
Jan. 26, 2011 |
Notice and Opportunity for Hearing: SinoFresh Healthcare, Inc.
File No.: 0-49764
Comments Due: February 16, 2011
Comments received
are available.
Withdrawal of Form 15 Certification
|
|
33-9173 |
Jan. 11, 2011 |
Charles Schwab Investment Management, Charles Schwab & Co., Inc. and Charles Schwab Corporation (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-14184
|
|
33-9172 |
Jan. 11, 2011 |
Charles Schwab Investment Management, Charles Schwab & Co., Inc. and Charles Schwab Corporation (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)
Other Release No.: 34-63696
File No.: 3-14184
|
|
SIPA-170 |
Jan. 10, 2011 |
Securities Investor Protection Corporation; Order Approving a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members
File No.: SIPC-2010-01
See also:
Notice: Rel. No. SIPA-169
|
