33-9034, 34-60006, AAER-2982
May 29, 2009
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)
IC-28725
May 19, 2009
4-582
Hearing on Target Date Funds and Similar Investment Options View Received Comments Federal Register version (74 FR 24052)
34-59855
May 1, 2009
4-581
Roundtable on Short Selling Price Test Restrictions and Short Sale Circuit Breakers Comments Due: View Received Comments Federal Register version (74 FR 21423)
33-9030, 34-59850
April 30, 2009
Order Making Fiscal Year 2010 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 Federal Register version (74 FR 21018)
33-9030, 34-59850
April 30, 2009
Order Making Fiscal Year 2010 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 Federal Register version (74 FR 21018)
33-9028, 34-59780
April 17, 2009
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
April 17, 2009
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
April 17, 2009
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)
34-59753
April 13, 2009
S7-04-09
Roundtable on Oversight of Credit Rating Agencies File Nos.: Comments Due: View Received Comments Federal Register version (74 FR 17698)
33-9025, 34-59759
April 13, 2009
PCAOB Support Fee (Order Approving Increase to Public Company Accounting Oversight Board Annual Accounting Support Fee for Calendar Year 2009)
33-9025, 34-59759
April 13, 2009
PCAOB Support Fee (Order Approving Increase to Public Company Accounting Oversight Board Annual Accounting Support Fee for Calendar Year 2009)
33-9020, 34-59634, IA-2858, IC-28679
March 26, 2009
S7-07-09
[No title available] File Nos.: Comments Due: Federal Register version (74 FR 22073)
33-9020, 34-59634, IA-2858, IC-28679
March 26, 2009
S7-07-09
[No title available] File Nos.: Comments Due: Federal Register version (74 FR 22073)
33-9020, 34-59634, IA-2858, IC-28679
March 26, 2009
S7-07-09
[No title available] File Nos.: Comments Due: Federal Register version (74 FR 22073)
33-9020, 34-59634, IA-2858, IC-28679
March 26, 2009
S7-07-09
[No title available] File Nos.: Comments Due: Federal Register version (74 FR 22073)
33-9019
March 20, 2009
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)
IA-2853
March 17, 2009
William M. Ennis (Order Granting Consent to Associate)
33-9017
March 17, 2009
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
March 17, 2009
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
March 16, 2009
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)
34-59578
March 13, 2009
S7-06-09
Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of Chicago Mercantile Exchange Inc. and Citadel Investment Group, L.L.C. Related to Central Clearing of Credit Default Swaps, and Request for Comments Request for Exemptive Relief Federal Register version (74 FR 11781)
34-59527
March 6, 2009
S7-05-09
Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of ICE U.S. Trust LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments Request for Exemptive Relief Federal Register version (74 FR 10791)
33-9010, 34-59487
March 3, 2009
Order Regarding Review of FASB Accounting Support Fee for 2009 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-9010, 34-59487
March 3, 2009
Order Regarding Review of FASB Accounting Support Fee for 2009 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-59477
Feb. 27, 2009
Order Making Fiscal Year 2009 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934 Federal Register version (74 FR 9644)
34-59441
Feb. 24, 2009
10-191
C2 Options Exchange, Incorporated; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: View Received Comments Form 1 Application and Exhibits , Amendment No. 1 Federal Register version (74 FR 9322)
33-9008, 34-59414
Feb. 18, 2009
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
Feb. 18, 2009
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
Feb. 17, 2009
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
Jan. 30, 2009
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
Jan. 30, 2009
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
Jan. 30, 2009
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)
33-9000, 34-59248, 39-2460, IC-28600, IA-2830
Jan. 14, 2009
S7-03-09
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (74 FR 4357)
33-9000, 34-59248, 39-2460, IC-28600, IA-2830
Jan. 14, 2009
S7-03-09
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (74 FR 4357)
33-9000, 34-59248, 39-2460, IC-28600, IA-2830
Jan. 14, 2009
S7-03-09
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (74 FR 4357)
33-9000, 34-59248, 39-2460, IC-28600, IA-2830
Jan. 14, 2009
S7-03-09
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (74 FR 4357)
33-9000, 34-59248, 39-2460, IC-28600, IA-2830
Jan. 14, 2009
S7-03-09
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (74 FR 4357)
33-8997
Jan. 12, 2009
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)
34-59164
Dec. 24, 2008
S7-34-08
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 and Request for Exemptive Relief , Exemptive Order Release No. 34-59164 Federal Register version (74 FR 139)
34-59165
Dec. 24, 2008
S7-35-08
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 View Received Comments Federal Register version (74 FR 133)
33-8991, 34-59157
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)
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, 34-59157
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)
33-8993, 34-59158
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)
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, 34-59158
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)
33-8989, 34-59113
Dec. 17, 2008
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2009
33-8989, 34-59113
Dec. 17, 2008
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2009
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 View Received Comments Rel. No. 34-54597 , Rel. No. 34-53952 , 34-55011 Federal Register version (73 FR 74770)
IA-2806
Oct. 30, 2008
Approval of Investment Adviser Registration Depository Filing Fees 2008 Federal Register version (73 FR 65900)
33-8980, 34-58813
Oct. 20, 2008
4-573
Roundtable on Mark-to-Market Accounting Comments Due: View Received Comments Federal Register version (73 FR 63527)
33-8980, 34-58813
Oct. 20, 2008
4-573
Roundtable on Mark-to-Market Accounting Comments Due: View Received Comments Federal Register version (73 FR 63527)
34-58807
Oct. 17, 2008
4-568
Order Approving Minor Rule Violation Plan for BATS Exchange, Inc. Federal Register version (73 FR 63219)
33-8977, 34-58788, IC-28438, IA-2798
Oct. 15, 2008
Resubmission of Comment Letters Comments Due: Federal Register version (73 FR 62576)
33-8977, 34-58788, IC-28438, IA-2798
Oct. 15, 2008
Resubmission of Comment Letters Comments Due: Federal Register version (73 FR 62576)
33-8977, 34-58788, IC-28438, IA-2798
Oct. 15, 2008
Resubmission of Comment Letters Comments Due: Federal Register version (73 FR 62576)
33-8977, 34-58788, IC-28438, IA-2798
Oct. 15, 2008
Resubmission of Comment Letters Comments Due: Federal Register version (73 FR 62576)
33-8975, 34-58747
Oct. 8, 2008
4-573
SEC Study of Mark to Market Accounting Comments Due: View Received Comments Federal Register version (73 FR 60737)
33-8975, 34-58747
Oct. 8, 2008
4-573
SEC Study of Mark to Market Accounting Comments Due: View Received Comments Federal Register version (73 FR 60737)
33-8974, 34-58715, IA-2796, IC-28432
Oct. 2, 2008
S7-28-08
Regulatory Flexibility Agenda Comments Due: View Received Comments
33-8974, 34-58715, IA-2796, IC-28432
Oct. 2, 2008
S7-28-08
Regulatory Flexibility Agenda Comments Due: View Received Comments
33-8974, 34-58715, IA-2796, IC-28432
Oct. 2, 2008
S7-28-08
Regulatory Flexibility Agenda Comments Due: View Received Comments
33-8974, 34-58715, IA-2796, IC-28432
Oct. 2, 2008
S7-28-08
Regulatory Flexibility Agenda Comments Due: View Received Comments
34-58723
Oct. 2, 2008
S7-26-08
Order Extending Emergency Order Halting Short Selling in Financial Stocks View Received Comments
34-58724
Oct. 2, 2008
S7-24-08
Order Amending and Extending Emergency Order Requiring Institutional Money Managers to Report New Short Sales View Received Comments Form SH , and Form SH Instructions
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
34-58711
Oct. 1, 2008
S7-25-08
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 View Received Comments
33-8962, 34-58657
Sept. 26, 2008
4-567
Roundtable on Modernizing the SEC's Disclosure System View Received Comments Federal Register version (73 FR 57167)
33-8962, 34-58657
Sept. 26, 2008
4-567
Roundtable on Modernizing the SEC's Disclosure System View Received Comments Federal Register version (73 FR 57167)
34-58612
Sept. 22, 2008
Order Granting Temporary, Conditional Relief From The Net Capital Rule For Barclays Capital, Inc.
34-58591A
Sept. 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 View Received Comments Guidance Regarding Disclosure of Short Selling , Form SH , and Form SH Instructions
34-58611
Sept. 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 View Received Comments
34-58588
Sept. 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 Federal Register version (73 FR 55174)
34-58591
Sept. 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 View Received Comments Guidance Regarding Disclosure of Short Selling , Form SH , and Form SH Instructions
34-58592
Sept. 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 View Received Comments
34-58572
Sept. 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 View Received Comments Guidance Regarding Temporary Rule 204T Federal Register version (73 FR 54875)
34-58485
Sept. 8, 2008
4-568
Notice of Filing of Proposed Minor Rule Violation Plan Comments Due: Federal Register version (73 FR 53468)
33-8955
Sept. 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
10-182
In the Matter of the Application of BATS Exchange, Inc. for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission Comments Due: View Received Comments Federal Register version (73 FR 49498)
33-8947, 34-58236
July 29, 2008
4-564
Roundtable on International Financial Reporting Standards Comments Due: View Received Comments Federal Register version (73 FR 45257)
33-8947, 34-58236
July 29, 2008
4-564
Roundtable on International Financial Reporting Standards Comments Due: View Received Comments Federal Register version (73 FR 45257)
34-58248
July 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
July 18, 2008
S7-20-08
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 View Received Comments Guidance Regarding Emergency Order
34-58172
July 16, 2008
SR-ODD-2008-03
Canadian Derivatives Clearing Corporation; Order Approving Accelerated Distribution of an Amended Options Disclosure Document Federal Register version (73 FR 42840)
34-58166
July 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, 34-58146
July 11, 2008
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 41138)
33-8942, 34-58146
July 11, 2008
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 41138)
33-8941
July 3, 2008
4-560
Roundtable on Fair Value Accounting Standards View Received Comments Federal Register version (73 FR 39349)
No release number 7
June 27, 2008
Certification of Questions of Law Arising From Rule 14a-8 Proposal by Shareholder of CA, Inc. Attachment A , Attachment B , Attachment C
34-58001
June 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 Federal Register version (73 FR 36362)
34-58000
June 23, 2008
Order Granting Registration of Realpoint LLC as a Nationally Recognized Statistical Rating Organization
33-8932, 34-57990
June 19, 2008
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 35715)
33-8932, 34-57990
June 19, 2008
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 35715)
34-57949
June 11, 2008
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 (73 FR 34808)
33-8927, 34-57929
June 5, 2008
4-559
International Roundtable on Interactive Data for Public Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 33120)
33-8927, 34-57929
June 5, 2008
4-559
International Roundtable on Interactive Data for Public Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 33120)
34-57917
June 4, 2008
Notice of Proposed Order Approving Proposal by NYSE Arca, Inc. To Establish Fees for Certain Market Data and Request for Comment Comments Due: View Received Comments NetCoalition Petition for Commission Review , NYSEArca Response to NetCoalition.com Notice of Intention to Petition for Review of SR-NYSEArca-2006-21 Federal Register version (73 FR 32751)
33-8920
May 27, 2008
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)
33-8918, 34-57819
May 15, 2008
265-24
Subcommittee Reports of the SEC Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 29808)
