Order Regarding Waiver

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Release Number SEC Issue Date File Number Details
33-9487, 34-70949 The Royal Bank of Scotland Group plc (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 the Royal Bank of Scotland Group plc and Its Affiliates)
33-9439, 34-70122 3-15407 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 Securities LLC and Its Affiliates)
33-9439, 34-70122 3-15407 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 Securities LLC and Its Affiliates)
33-9436 3-15399 A.R. Schmeidler & Co., Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3)Disqualification Provision)
33-9391 Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, 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 Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC)
33-9392 Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9381, 34-68610 JPMorgan Chase & Co. (Order Granting Waivers)
33-9381, 34-68610 JPMorgan Chase & Co. (Order Granting Waivers)
33-9380 J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, INC., And J.P. Morgan Acceptance Corporation I (Order Granting a Waiver)
33-9369, 34-68273 Credit Suisse Securities (USA), LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities 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 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)
33-9369, 34-68273 Credit Suisse Securities (USA), LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities 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 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)
33-9360 3-15014 JP Turner & Company, LLC, and William L. Mello (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9346 Mizuho Securities USA, Inc. (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(b)(4) and 602(c)(2) as to Mizuho Securities USA, Inc.)
33-9347, 34-67534 Mizuho Financial Group, 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 Mizuho Financial Group, Inc. and Its Affiliates)
33-9347, 34-67534 Mizuho Financial Group, 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 Mizuho Financial Group, Inc. and Its Affiliates)
33-9319, 34-66896 UBS Financial Services Inc. of Puerto Rico (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)
33-9320 UBS Financial Services Inc. of Puerto Rico (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9319, 34-66896 UBS Financial Services Inc. of Puerto Rico (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)
33-9312 Goldman, Sachs & Co (Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Rule 602(C)(3) Disqualification Provision)
33-9282, 34-65932 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)
33-9283 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, 34-65932 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)
33-9278 3-14628 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)
33-9279, 34-65758 3-14628 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)
33-9279, 34-65758 3-14628 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)
33-9276 3-14620 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)
33-9269 3-14594 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)
33-9243, 34-64949 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)
33-9243, 34-64949 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)
33-9233, 34-64854 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)
33-9234 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))
33-9235 3-14459 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)
33-9233, 34-64854 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)
33-9230, 34-64774 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)
33-9230, 34-64774 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)
33-9229 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)
33-9226 3-13847 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)
33-9227, 34-64721, IA-3219, IC-29705 3-13847 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)
33-9227, 34-64721, IA-3219, IC-29705 3-13847 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)
33-9227, 34-64721, IA-3219, IC-29705 3-13847 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)
33-9227, 34-64721, IA-3219, IC-29705 3-13847 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)
33-9212, 34-64559 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)
33-9213 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, 34-64559 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)
33-9201, 34-64183 3-14320 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)
33-9201, 34-64183 3-14320 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)
33-9185, 34-63867 3-14153 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)
33-9185, 34-63867 3-14153 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)
33-9172, 34-63696 3-14184 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)
33-9173 3-14184 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)
33-9172, 34-63696 3-14184 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)
33-9161 3-12495 Jefferies & Co., Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9154 Citigroup 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)
33-9131 General Electric Company (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)
33-9129 Goldman, Sachs & Co. (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)
33-9130, 34-62556 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 of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Goldman, Sachs & Co. And Its Affiliates)
33-9130, 34-62556 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 of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Goldman, Sachs & Co. And Its Affiliates)
33-9103, 34-61428 3-13557 TD Ameritrade, 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)
33-9103, 34-61428 3-13557 TD Ameritrade, 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)
33-9090, 34-61182 Investools 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 Investools Inc. and Its Affiliates)
33-9091 Investools 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)
33-9090, 34-61182 Investools 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 Investools Inc. and Its Affiliates)
33-9079 3-13673 J.P. Morgan Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9080, 34-60929 3-13673 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)
33-9080, 34-60929 3-13673 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)
33-9075 3-13664 Banc of America Investment Services, Inc. (Order Under Rule 602(e) Of The Securities Act of 1933 Granting A Waiver Of The Rule 602(c)(3) Disqualification Provision)
33-9059 General Electric Company (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)
33-9056 3-13561 Perry Corp. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9054 3-13558 Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9055, 34-60343 3-13558 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 of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
33-9055, 34-60343 3-13558 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 of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
33-9041 RBC Capital Markets Corp. (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)
33-9042, 34-60079 RBC Capital Markets Corp. (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 Exchange Act of 1934 as to RBC Capital Markets Corp. and Its Affiliates)
33-9042, 34-60079 RBC Capital Markets Corp. (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 Exchange Act of 1934 as to RBC Capital Markets Corp. and Its Affiliates)
33-9040, 34-60078 Deutsche Bank 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 Exchange Act of 1934)
33-9045 Deutsche Bank Securities, 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)
33-9040, 34-60078 Deutsche Bank 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 Exchange Act of 1934)
33-9043A, 34-60081A Banc of America Securities, LLC and Banc of America Investment Services, Inc. (Corrected 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 Banc of America Securities LLC, Banc of America Investment Services, Inc., Bank of America Corporation and Their Affiliates)
33-9044 Banc of America Securities, LLC, and Banc of America Investment 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)
33-9043A, 34-60081A Banc of America Securities, LLC and Banc of America Investment Services, Inc. (Corrected 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 Banc of America Securities LLC, Banc of America Investment Services, Inc., Bank of America Corporation and Their Affiliates)
33-9038 3-13507 Evergreen Investment Management Company, LLC, and Evergreen Investment Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9039, 34-60060 3-13507 Evergreen Investment Management Company, LLC, and Evergreen Investment 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)
33-9039, 34-60060 3-13507 Evergreen Investment Management Company, LLC, and Evergreen Investment 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)
33-9034, 34-60006, AAER-2982 3-13485 CSK Auto 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 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)
33-9034, 34-60006, AAER-2982 3-13485 CSK Auto 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 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)
33-9034, 34-60006, AAER-2982 3-13485 CSK Auto 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 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)
33-9028, 34-59780 American Skandia Investment 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 As To American Skandia Investment Services, Inc., And Its Affiliates)
33-9029 American Skandia Investment Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting A Waiver of the Rule 602(c)(3) Disqualification Provision.)
33-9028, 34-59780 American Skandia Investment 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 As To American Skandia Investment Services, Inc., And Its Affiliates)
33-9019 UBS AG (Order Under Rule 602(e) under the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
33-9017 Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC (Corrected Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9018 Automated Trading Desk Specialists, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and Rule 602(c)(2) Disqualification Provisions)
33-9016 Merrill Lynch, Pierce, Fenner, and Smith Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9008, 34-59414 Wachovia 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 Wachovia Securities, LLC and Its Affiliates)
33-9008, 34-59414 Wachovia 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 Wachovia Securities, LLC and Its Affiliates)
33-9007 Wachovia Securities, LLC (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)
33-9003, 34-59330 3-13357 Merrill Lynch, Pierce, Fenner & Smith 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)
33-9004 3-13357 Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9003, 34-59330 3-13357 Merrill Lynch, Pierce, Fenner & Smith 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)
33-8997 3-13332 Gabelli Funds, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Gabelli Funds, LLC, Waiver of the Rule 602(c)(3) Disqualification Provision)
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