33-9233, 34-64854
July 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)
33-9234
July 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))
33-9235
July 11, 2011
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
July 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)
33-9230, 34-64774
June 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)
33-9230, 34-64774
June 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)
33-9229
June 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)
33-9226
June 22, 2011
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
June 22, 2011
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
June 22, 2011
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
June 22, 2011
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
June 22, 2011
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)
34-64707
June 20, 2011
600-23
Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency Comments Due: Federal Register version (76 FR 37165)
Document
June 16, 2011
Agency Information Collection Request; 60-Day Public Comment Request; Correction Federal Register version (87 FR 75058)
34-64638
June 9, 2011
S7-39-10
Joint Public Roundtable on Proposed Dealer and Major Participant Definitions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: View Received Comments Federal Register version (76 FR 34667)
33-9212, 34-64559
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)
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, 34-64559
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)
PA-46
May 18, 2011
S7-20-11
Privacy Act of 1974: Systems of Records Comments Due: Federal Register version (76 FR 30213)
34-64479
May 12, 2011
81-937
Notice of an Application of BF Enterprises, Inc. Under Section 12(h) of the Securities Exchange Act of 1934 Comments Due: View Received Comments Application , and Supplemental Letter Federal Register version (76 FR 28482)
33-9206, 34-64462
May 11, 2011
Order Directing Funding for the Governmental Accounting Standards Board
33-9206, 34-64462
May 11, 2011
Order Directing Funding for the Governmental Accounting Standards Board
34-64456
May 10, 2011
4-629
Solicitation of Comment To Assist in Study on Assigned Credit Ratings Comments Due: View Received Comments Federal Register version (76 FR 28265)
34-64383
May 3, 2011
4-627
Short Sale Reporting Study Required by Dodd-Frank Act Section 417(a)(2) Comments Due: View Received Comments Federal Register version (76 FR 26787)
34-64373
April 29, 2011
Order Making Fiscal Year 2012 Annual Adjustments to Section 31 Fee Rates Federal Register version (76 FR 26324)
34-64314
April 20, 2011
4-625
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 View Received Comments Federal Register version (76 FR 23221)
34-64306
April 19, 2011
4-626
Comment Request on Existing Private and Public Efforts To Educate Investors Comments Due: View Received Comments Federal Register version (76 FR 22740)
33-9201, 34-64183
April 5, 2011
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
April 5, 2011
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)
34-64102
March 21, 2011
Order Cancelling Registrations of Certain Transfer Agents Federal Register version (76 FR 16843)
33-9194, 34-64021, IA-3168, IC-29593
March 3, 2011
S7-09-11
Regulatory Flexibility Agenda Comments Due: Federal Register version (76 FR 40208)
33-9194, 34-64021, IA-3168, IC-29593
March 3, 2011
S7-09-11
Regulatory Flexibility Agenda Comments Due: Federal Register version (76 FR 40208)
33-9194, 34-64021, IA-3168, IC-29593
March 3, 2011
S7-09-11
Regulatory Flexibility Agenda Comments Due: Federal Register version (76 FR 40208)
33-9194, 34-64021, IA-3168, IC-29593
March 3, 2011
S7-09-11
Regulatory Flexibility Agenda Comments Due: Federal Register version (76 FR 40208)
33-9190
Feb. 24, 2011
Wave2Wave Communications, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
33-9191, 34-63956
Feb. 24, 2011
FASB (Order Regarding Review of FASB Accounting Support Fee for 2011 under Section 109 of the Sarbanes-Oxley Act of 2002)
33-9191, 34-63956
Feb. 24, 2011
FASB (Order Regarding Review of FASB Accounting Support Fee for 2011 under Section 109 of the Sarbanes-Oxley Act of 2002)
33-9185, 34-63867
Feb. 8, 2011
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
Feb. 8, 2011
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)
34-63798
Jan. 31, 2011
265-26
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Comments Due: Federal Register version (76 FR 6120)
34-63776
Jan. 26, 2011
0-49764
Notice and Opportunity for Hearing: SinoFresh Healthcare, Inc. Comments Due: View Received Comments . Submit comments on 0-49764 Withdrawal of Form 15 Certification Federal Register version (76 FR 5626)
33-9172, 34-63696
Jan. 11, 2011
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
Jan. 11, 2011
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
Jan. 11, 2011
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)
SIPA-170
Jan. 10, 2011
SIPC-2010-01
Securities Investor Protection Corporation; Order Approving a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members Rel. No. SIPA-169 Federal Register version (76 FR 2728)
33-9168, 34-63596
Dec. 22, 2010
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2011 Federal Register version (75 FR 81684)
33-9168, 34-63596
Dec. 22, 2010
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2011 Federal Register version (75 FR 81684)
IA-3126
Dec. 22, 2010
Order Approving Investment Adviser Registration Depository Filing Fees Federal Register version (75 FR 82097)
34-63573
Dec. 17, 2010
4-622
Credit Rating Standardization Study Comments Due: View Received Comments Federal Register version (75 FR 80866)
33-9162, 34-63526
Dec. 10, 2010
Order Approving Public Company Accounting Oversight Board Supplemental Budget Request to Establish an Office of Outreach and Small Business Liaison in 2010
33-9162, 34-63526
Dec. 10, 2010
Order Approving Public Company Accounting Oversight Board Supplemental Budget Request to Establish an Office of Outreach and Small Business Liaison in 2010
33-9161
Dec. 9, 2010
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)
34-63435
Dec. 6, 2010
4-621
Joint Public Roundtable on Issues Related to Capital and Margin Requirements for Swaps and Security-Based Swaps Federal Register version (75 FR 76705)
34-63423
Dec. 3, 2010
4-620
Acceptance of Public Submissions on a Study Mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 719(b) Comments Due: View Received Comments Federal Register version (75 FR 76706)
IA-3119
Dec. 2, 2010
S7-38-10
Approval of Investment Adviser Registration Depository Filing Fees 2010 Federal Register version (75 FR 76499)
SIPA-169
Nov. 30, 2010
SIPC-2010-01
Securities Investor Protection Corporation; Notice of Filing of a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members Comments Due: Federal Register version (75 FR 75711)
IC-29497
Nov. 3, 2010
4-619
President's Working Group Report on Money Market Fund Reform Comments Due: View Received Comments and Gallagher Federal Register version (75 FR 68636)
34-63211
Oct. 29, 2010
Notice of Intention To Cancel Registrations of Certain Transfer Agents Federal Register version (75 FR 68012)
34-63174
Oct. 25, 2010
4-617
Study on Extraterritorial Private Rights of Action Comments Due: View Received Comments Federal Register version (75 FR 66822)
34-63169
Oct. 25, 2010
265-26
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Comments Due: Federal Register version (75 FR 66362)
33-9154
Oct. 20, 2010
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)
34-63113
Oct. 15, 2010
4-616
Order Approving Minor Rule Violation Plan for BATS Y-Exchange, Inc. Federal Register version (75 FR 64771)
34-63112
Oct. 15, 2010
4-615
Joint Public Roundtable on Issues Related to the Clearing of Credit Default Swaps Federal Register version (75 FR 64710)
34-63108
Oct. 14, 2010
S7-29-10
Study Required by Section 989G(b) of the Dodd-Frank Act Regarding Compliance With Section 404(b) of the Sarbanes-Oxley Act Comments Due: View Received Comments Federal Register version (75 FR 64773)
33-9149, 34-63031, IC-29456
Oct. 4, 2010
S7-10-09
In the Matter of the Motion of the Business Roundtable and the Chamber of Commerce of the United States of America for Stay of Effect of Commission's Facilitating Shareholder Director Nominations Rules (Order Granting Stay) FR Notice of Stay of Effective and Compliance Dates , Proposed Rule Release No. 33-9086 , Proposed Rule Release No. 33-9046
33-9149, 34-63031, IC-29456
Oct. 4, 2010
S7-10-09
In the Matter of the Motion of the Business Roundtable and the Chamber of Commerce of the United States of America for Stay of Effect of Commission's Facilitating Shareholder Director Nominations Rules (Order Granting Stay) FR Notice of Stay of Effective and Compliance Dates , Proposed Rule Release No. 33-9086 , Proposed Rule Release No. 33-9046
33-9149, 34-63031, IC-29456
Oct. 4, 2010
S7-10-09
In the Matter of the Motion of the Business Roundtable and the Chamber of Commerce of the United States of America for Stay of Effect of Commission's Facilitating Shareholder Director Nominations Rules (Order Granting Stay) FR Notice of Stay of Effective and Compliance Dates , Proposed Rule Release No. 33-9086 , Proposed Rule Release No. 33-9046
34-62924
Sept. 16, 2010
4-616
Notice of Filing of Proposed Minor Rule Violation Plan Comments Due: Federal Register version (75 FR 58011)
33-9141, 34-62881, IA-3081, IC-29414
Sept. 10, 2010
S7-21-10
Regulatory Flexibility Agenda Comments Due: Federal Register version (75 FR 79937)
33-9141, 34-62881, IA-3081, IC-29414
Sept. 10, 2010
S7-21-10
Regulatory Flexibility Agenda Comments Due: Federal Register version (75 FR 79937)
33-9141, 34-62881, IA-3081, IC-29414
Sept. 10, 2010
S7-21-10
Regulatory Flexibility Agenda Comments Due: Federal Register version (75 FR 79937)
33-9141, 34-62881, IA-3081, IC-29414
Sept. 10, 2010
S7-21-10
Regulatory Flexibility Agenda Comments Due: Federal Register version (75 FR 79937)
34-62863
Sept. 8, 2010
4-611
Joint Public Roundtable To Discuss Data for Swaps and Security-Based Swaps, Swap Data Repositories, Security-Based Swap Data Repositories, and Real-Time Public Reporting View Received Comments Federal Register version (75 FR 55575)
34-62864
Sept. 8, 2010
4-612
Joint Public Roundtable on Swap Execution Facilities and Security-Based Swap Execution Facilities View Received Comments Federal Register version (75 FR 55574)
34-62853
Sept. 7, 2010
4-610
State of the Municipal Securities Market Field Hearings View Received Comments Federal Register version (75 FR 55392)
33-9138, 34-62841, 39-2470, IA-3078, IC-29408
Sept. 3, 2010
S7-20-10
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (75 FR 55295)
33-9138, 34-62841, 39-2470, IA-3078, IC-29408
Sept. 3, 2010
S7-20-10
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (75 FR 55295)
33-9138, 34-62841, 39-2470, IA-3078, IC-29408
Sept. 3, 2010
S7-20-10
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (75 FR 55295)
33-9138, 34-62841, 39-2470, IA-3078, IC-29408
Sept. 3, 2010
S7-20-10
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (75 FR 55295)
33-9138, 34-62841, 39-2470, IA-3078, IC-29408
Sept. 3, 2010
S7-20-10
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (75 FR 55295)
34-62784
Aug. 27, 2010
Notice Regarding the Requirement To Use eXtensible Business Reporting Language Format To Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act Federal Register version (75 FR 53988)
PA-44A
Aug. 19, 2010
S7-17-10
Privacy Act of 1974: Systems of Records Comments Due: Federal Register version (75 FR 54662)
34-62725
Aug. 16, 2010
4-609
Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps and Security-Based Swaps Federal Register version (75 FR 51305)
34-62716
Aug. 13, 2010
10-198
In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission Federal Register version (75 FR 51295)
34-62717
Aug. 13, 2010
S7-16-10
Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act Comments Due: View Received Comments for this notice Federal Register version Federal Register version (75 FR 51429)
33-9133, 34-62699
Aug. 12, 2010
4-607
Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers Comments Due: View Received Comments Federal Register version (75 FR 51148)
33-9134, 34-62700
Aug. 12, 2010
4-608
Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers Comments Due: View Received Comments Federal Register version (75 FR 51150)
33-9133, 34-62699
Aug. 12, 2010
4-607
Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers Comments Due: View Received Comments Federal Register version (75 FR 51148)
33-9134, 34-62700
Aug. 12, 2010
4-608
Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers Comments Due: View Received Comments Federal Register version (75 FR 51150)
33-9131
Aug. 2, 2010
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)
34-62577, IA-3058
July 27, 2010
4-606
Study Regarding Obligations of Brokers, Dealers, and Investment Advisers Comments Due: View Received Comments Federal Register version (75 FR 44996)
34-62577, IA-3058
July 27, 2010
4-606
Study Regarding Obligations of Brokers, Dealers, and Investment Advisers Comments Due: View Received Comments Federal Register version (75 FR 44996)
34-62552
July 23, 2010
265-26
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Comments Due: View Received Comments Federal Register version (75 FR 44781)
33-9129
July 22, 2010
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
July 22, 2010
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
July 22, 2010
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)
34-62348
June 22, 2010
600-23
Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency Comments Due: Federal Register version (75 FR 36723)
PA-43
June 17, 2010
S7-13-10
Privacy Act of 1974: Systems of Records Comments Due: View Received Comments Federal Register version (75 FR 35853)
34-62266
June 10, 2010
265-26
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Comments Due: View Received Comments Federal Register version (75 FR 34704)
34-62115
May 18, 2010
4-602
Market Structure Roundtable Comments Due: View Received Comments Federal Register version (75 FR 28667)
