Order Regarding Waiver

Quick Links

  • empty
Release Number SEC Issue Date File Number Details
33-8991, 34-59157 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)
33-8992 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, 34-59157 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)
33-8993, 34-59158 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)
33-8994 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, 34-59158 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)
33-8955 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)
33-8920 3-13046 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)
33-8914A, 34-57749A 3-13030 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)
33-8915 3-13030 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)
33-8914A, 34-57749A 3-13030 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)
33-8911, 34-57708 3-13019 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)
33-8911, 34-57708 3-13019 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)
33-8907, 34-57571 3-13000 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)
33-8907, 34-57571 3-13000 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)
34-57039 JPMorgan Securities Inc. (Order Regarding Alternative Net Capital Computation for JPMorgan Securities Inc.)
33-8853, 34-56570 AIG SunAmerica Life Assurance Company, f/k/a Anchor National Life Insurance Company (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)
33-8853, 34-56570 AIG SunAmerica Life Assurance Company, f/k/a Anchor National Life Insurance Company (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)
33-8842, 34-56463 Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and 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)
33-8843 Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc. and Wachovia Securities, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8842, 34-56463 Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and 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)
33-8835, 34-56260 Mercury Interactive, LLC (f/k/a Mercury Interactive 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 and Section 21E(b)(1)(A)(ii) of the Exchange Act as to Hewlett-Packard Company)
33-8835, 34-56260 Mercury Interactive, LLC (f/k/a Mercury Interactive 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 and Section 21E(b)(1)(A)(ii) of the Exchange Act as to Hewlett-Packard Company)
33-8816, 34-55947 3-12664 John Hancock Investment Management Services, LLC, John Hancock Distributors LLC, John Hancock Advisers, LLC and John Hancock 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)
33-8816, 34-55947 3-12664 John Hancock Investment Management Services, LLC, John Hancock Distributors LLC, John Hancock Advisers, LLC and John Hancock 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)
33-8807 Barclays Bank PLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) Disqualification Provision)
33-8808, 34-55889 Barclays Bank 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)
33-8808, 34-55889 Barclays Bank 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)
33-8801 Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8802, 34-55727 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)
33-8802, 34-55727 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)
33-8799 Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8800, 34-55713 Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order 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)
33-8800, 34-55713 Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order 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)
33-8796 A.G. Edwards & Sons, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(C)(3))
33-8797, 34-55694 A.G. Edwards & Sons, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934 Granting a Waiver 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)
33-8797, 34-55694 A.G. Edwards & Sons, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934 Granting a Waiver 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)
33-8792, 34-55649 Tenet Healthcare Corporation (Order 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)
33-8792, 34-55649 Tenet Healthcare Corporation (Order 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)
33-8775 3-12543 Pacific Growth Equities, LLC (Order Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8770, 34-55066 3-12526 Wilmington Trust Company (Order Granting Waiver 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)
33-8770, 34-55066 3-12526 Wilmington Trust Company (Order Granting Waiver 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)
33-8769, 34-55065 3-12526 The Bank Of New York (Order Granting Waiver 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)
33-8769, 34-55065 3-12526 The Bank Of New York (Order Granting Waiver 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)
33-8768, 34-55064 3-12526 Deutsche Bank Trust Company Americas (Order Granting Waiver 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)
33-8768, 34-55064 3-12526 Deutsche Bank Trust Company Americas (Order Granting Waiver 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)
33-8764 Deutsche Asset Management, Inc., Deutsche Investment Management Americas, Inc., and Deutsche Bank Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8746 3-12442 Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc. (Order Granting Waiver of the Disqualification Provision)
33-8742, 34-54513 3-12432 BISYS Fund Services, Inc. (Order Granting Waiver of the Disqualification Provisions)
33-8742, 34-54513 3-12432 BISYS Fund Services, Inc. (Order Granting Waiver of the Disqualification Provisions)
33-8739 3-12413 The Dreyfus Corporation (Order Granting Waiver of the Disqualification Provision)
33-8734 Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. (Order Granting Waivers of the Disqualification Provisions)
33-8733 Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. (Order Granting a Waiver of the Disqualification Provision)
33-8697 3-12310 Wachovia Capital Markets, LLC (Order Granting a Waiver of The Disqualification Provision)
33-8710, 34-53901 3-12310 Wachovia Capital Markets, LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8710, 34-53901 3-12310 Wachovia Capital Markets, LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8711, 34-53902 3-12310 SunTrust Capital Markets Inc. and Suntrust Banks, Inc. (Order Granting Waivers of the Disqualification Provisions)
33-8711, 34-53902 3-12310 SunTrust Capital Markets Inc. and Suntrust Banks, Inc. (Order Granting Waivers of the Disqualification Provisions)
33-8692 3-12310 RBC Dain Rauscher (Order Granting a Waiver of The Disqualification Provision)
33-8705, 34-53896 3-12310 RBC Dain Rauscher Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8705, 34-53896 3-12310 RBC Dain Rauscher Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8696 3-12310 Piper Jaffray & Co. (Order Granting a Waiver of The Disqualification Provision)
33-8709, 34-53900 3-12310 Piper Jaffray & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8709, 34-53900 3-12310 Piper Jaffray & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8704, 34-53895 3-12310 Morgan Stanley and Its Subsidiaries and Collective Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8704, 34-53895 3-12310 Morgan Stanley and Its Subsidiaries and Collective Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8691 3-12310 Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. (Order Granting a Waiver of The Disqualification Provision)
33-8695 3-12310 Morgan Keegan & Company, Inc. (Order Granting a Waiver of The Disqualification Provision)
33-8708, 34-53899 3-12310 Morgan Keegan & Company, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8708, 34-53899 3-12310 Morgan Keegan & Company, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8690 3-12310 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Granting a Waiver of The Disqualification Provision)
33-8703, 34-53894 3-12310 Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch, Pierce, Fenner & Smith & Co., Incorporated (Order Granting Waivers of the Disqualification Provisions)
33-8703, 34-53894 3-12310 Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch, Pierce, Fenner & Smith & Co., Incorporated (Order Granting Waivers of the Disqualification Provisions)
33-8689 3-12310 Lehman Brothers Inc. (Order Granting a Waiver of The Disqualification Provision)
33-8702, 34-53893 3-12310 Lehman Brothers Inc. and Lehman Brothers Holdings Inc., and Their Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8702, 34-53893 3-12310 Lehman Brothers Inc. and Lehman Brothers Holdings Inc., and Their Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8688 3-12310 J.P. Morgan Securities, Inc. (Order Granting a Waiver of The Disqualification Provision)
33-8701, 34-53892 3-12310 J.P. Morgan Securities, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8701, 34-53892 3-12310 J.P. Morgan Securities, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8700, 34-53891 3-12310 Goldman, Sachs & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8700, 34-53891 3-12310 Goldman, Sachs & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8687 3-12310 Goldman, Sachs & Co. (Order Granting a Waiver of The Disqualification Provision)
33-8686 3-12310 Citigroup Global Markets, Inc. (Order Granting a Waiver of The Disqualification Provision)
33-8699, 34-53890 3-12310 Citigroup Global Markets, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8699, 34-53890 3-12310 Citigroup Global Markets, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8685 3-12310 Bear, Stearns & Co. Inc. (Order Granting a Waiver of the Disqualification Provision)
33-8698, 34-53889 3-12310 Bear, Stearns & Co. Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8698, 34-53889 3-12310 Bear, Stearns & Co. Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8693 3-12310 Banc of America Securities LLC (Order Granting a Waiver of The Disqualification Provision)
33-8706, 34-53897 3-12310 Banc of America Securities LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8706, 34-53897 3-12310 Banc of America Securities LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8694 3-12310 A.G. Edwards & Sons, Inc. (Order Granting a Waiver of The Disqualification Provision)
33-8707, 34-53898 3-12310 A.G. Edwards & Sons, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8707, 34-53898 3-12310 A.G. Edwards & Sons, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
33-8683 Morgan Stanley & Co., Inc. (Order Granting Waiver of the Disqualification Provisions)
33-8661 American International Group, Inc. (Order Granting a Waiver of the Disqualification Provisions)
33-8613 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))
IC-27047 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)
33-8576 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))
33-8577 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)
Displaying 201 - 300 of 376