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)
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)
33-8916, 34-57766
May 2, 2008
Order Making Fiscal Year 2009 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 (73 FR 25795)
33-8916, 34-57766
May 2, 2008
Order Making Fiscal Year 2009 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 (73 FR 25795)
33-8914A, 34-57749A
May 1, 2008
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
May 1, 2008
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
May 1, 2008
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)
IA-2732
April 30, 2008
Kenneth W. Corba (Order Granting Consent to Associate Pursuant to Section 203(F) of the Investment Advisers Act Of 1940)
33-8911, 34-57708
April 24, 2008
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
April 24, 2008
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)
33-8910, 34-57669
April 15, 2008
265-24
Advisory Committee on Improvements to Financial Reporting. Federal Register version (73 FR 21391)
33-8910, 34-57669
April 15, 2008
265-24
Advisory Committee on Improvements to Financial Reporting. Federal Register version (73 FR 21391)
34-57648
April 11, 2008
SR-NYSEArca-2008-19
Order of Summary Abrogation of a Proposed Rule Change Relating to its "Primary Only" Order Type Rel. No. 34-57377
33-8908, 34-57638
April 9, 2008
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 20073)
33-8908, 34-57638
April 9, 2008
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 20073)
34-57613
April 3, 2008
Boston Stock Exchange Fingerprinting Plan Federal Register version (73 FR 19533)
33-8907, 34-57571
March 27, 2008
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
March 27, 2008
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)
33-8905, 34-57544, IA-2723, IC-29198
March 21, 2008
S7-09-08
Regulatory Flexibility Agenda Comments Due:
33-8905, 34-57544, IA-2723, IC-29198
March 21, 2008
S7-09-08
Regulatory Flexibility Agenda Comments Due:
33-8905, 34-57544, IA-2723, IC-29198
March 21, 2008
S7-09-08
Regulatory Flexibility Agenda Comments Due:
33-8905, 34-57544, IA-2723, IC-29198
March 21, 2008
S7-09-08
Regulatory Flexibility Agenda Comments Due:
34-57407
Feb. 29, 2008
Order Making Fiscal 2008 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934 Federal Register version (73 FR 12228)
33-8897, 34-57364
Feb. 21, 2008
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 10313)
33-8897, 34-57364
Feb. 21, 2008
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 10313)
33-8896, 34-57331
Feb. 14, 2008
265-24
Progress Report of the SEC Advisory Committee on Improvements to Financial Reporting. Comments Due: View Received Comments Federal Register version (73 FR 10897)
33-8896, 34-57331
Feb. 14, 2008
265-24
Progress Report of the SEC Advisory Committee on Improvements to Financial Reporting. Comments Due: View Received Comments Federal Register version (73 FR 10897)
33-8893, 34-57319
Feb. 13, 2008
Order Regarding Review Of FASB Accounting Support Fee for 2008 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-8893, 34-57319
Feb. 13, 2008
Order Regarding Review Of FASB Accounting Support Fee for 2008 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-57322
Feb. 13, 2008
10-182
BATS Exchange, Inc.; Notice of Filing of Application and Amendment No. 1 Thereto 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 Federal Register version (73 FR 9370)
IA-2702
Feb. 11, 2008
Timothy J. Miller (Order Granting Consent to Associate)
34-57300
Feb. 11, 2008
Order Granting Registration Of LACE Financial Corp. As A Nationally Recognized Statistical Rating Organization
34-57301
Feb. 11, 2008
Order Granting Temporary Exemption of LACE Financial Corp. From the Conflict of Interest Prohibition in Rule 17a-5(c)(1) of the Securities Exchange Act of 1934 Federal Register version (73 FR 8721)
34-57308
Feb. 11, 2008
S7-03-08
Notice of Solicitation of Public Views Regarding Practices Being Developed To Deal With the Increasing Number of Senior Investors Comments Due: View Received Comments Federal Register version (73 FR 8922)
34-57235
Jan. 30, 2008
Frederick H. Joseph (Order Approving Application for Relief from a Statutory Disqualification)
33-8882, 34-57162
Jan. 16, 2008
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 4022)
33-8882, 34-57162
Jan. 16, 2008
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (73 FR 4022)
34-57039
Dec. 21, 2007
JPMorgan Securities Inc. (Order Regarding Alternative Net Capital Computation for JPMorgan Securities Inc.)
34-57031
Dec. 21, 2007
Egan-Jones Rating Company (Order Granting Registration of Egan-Jones Rating Company as a Nationally Recognized Statistical Rating Organization)
33-8874, 34-56989
Dec. 19, 2007
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: Federal Register version (72 FR 73050)
33-8874, 34-56989
Dec. 19, 2007
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: Federal Register version (72 FR 73050)
33-8873, 34-56986
Dec. 18, 2007
Order Approving Public Company Accounting Oversight Board Budget And Annual Accounting Support Fee For Calendar Year 2008
33-8873, 34-56986
Dec. 18, 2007
Order Approving Public Company Accounting Oversight Board Budget And Annual Accounting Support Fee For Calendar Year 2008
39-2450
Nov. 26, 2007
22-28859
Grupo Iusacell Celular, S.A. de C.V. (Order Granting Application for Exemption)
34-56779
Nov. 9, 2007
S7-26-07
Notice of Application of the National Association of Realtors for Exemptive Relief Under Sections 15 and 36 of the Exchange Act and Request for Comment Comments Due: View Received Comments S Application Federal Register version (72 FR 64688)
39-2449
Oct. 15, 2007
22-28859
Application and Opportunity for Hearing: Grupo Iusacell Celular, S.A. de C.V. Rel. No. 39-2450 Federal Register version (72 FR 59575)
34-56638
Oct. 10, 2007
Stephen Anthony Englese (Order Approving Application for Relief From a Statutory Disqualification)
33-8856, 34-56624
Oct. 5, 2007
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (72 FR 58135)
33-8856, 34-56624
Oct. 5, 2007
265-24
Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments Federal Register version (72 FR 58135)
33-8853, 34-56570
Sept. 28, 2007
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
Sept. 28, 2007
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)
34-56534, IA-2658
Sept. 26, 2007
S7-24-07
Public Alert: Unregistered Soliciting Entities ("Pause") Program Comments Due: Federal Register version (72 FR 56110)
34-56534, IA-2658
Sept. 26, 2007
S7-24-07
Public Alert: Unregistered Soliciting Entities ("Pause") Program Comments Due: Federal Register version (72 FR 56110)
34-56521
Sept. 25, 2007
Order Cancelling the Registration of a Transfer Agent Federal Register version (72 FR 55835)
34-56513
Sept. 24, 2007
Securities Exchange Act of 1934; Order Granting Registration of Standard & Poor's Ratings Services as a Nationally Recognized Statistical Rating Organization Federal Register version (72 FR 55260)
34-56512
Sept. 24, 2007
Rating and Investment Information, Inc. (Order Granting Registration of Rating and Investment Information, Inc. as a Nationally Recognized Statistical Rating Organization)
34-56511
Sept. 24, 2007
Moody's Investors Service, Inc. (Order Granting Registration of Moody's Investors Service, Inc. as a Nationally Recognized Statistical Rating Organization)
34-56510
Sept. 24, 2007
Japan Credit Rating Agency, Ltd. (Order Granting Registration of Japan Credit Rating Agency, Ltd. as a Nationally Recognized Statistical Rating Organization)
34-56509
Sept. 24, 2007
Securities Exchange Act of 1934; Order Granting Registration of Fitch, Inc. as a Nationally Recognized Statistical Rating Organization Federal Register version (72 FR 55258)
34-56508
Sept. 24, 2007
Securities Exchange Act Of 1934; Order Granting Registration Of DBRS Limited As A Nationally Recognized Statistical Rating Organization Federal Register version (72 FR 55259)
34-56507
Sept. 24, 2007
Securities Exchange Act of 1934; Order Granting Registration of A.M. Best Company, Inc. as a Nationally Recognized Statistical Rating Organization Federal Register version (72 FR 55258)
33-8842, 34-56463
Sept. 19, 2007
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
Sept. 19, 2007
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
Sept. 19, 2007
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)
33-8840, 34- 56387, IA-2645, IC-27967
Sept. 11, 2007
S7-21-07
Regulatory Flexibility Agenda Comments Due:
33-8840, 34- 56387, IA-2645, IC-27967
Sept. 11, 2007
S7-21-07
Regulatory Flexibility Agenda Comments Due:
33-8840, 34- 56387, IA-2645, IC-27967
Sept. 11, 2007
S7-21-07
Regulatory Flexibility Agenda Comments Due:
33-8840, 34- 56387, IA-2645, IC-27967
Sept. 11, 2007
S7-21-07
Regulatory Flexibility Agenda Comments Due:
33-8836, 34-56293
Aug. 21, 2007
265-24
Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments 265-24 Federal Register version Federal Register version (72 FR 48700)
33-8836, 34-56293
Aug. 21, 2007
265-24
Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting Comments Due: View Received Comments 265-24 Federal Register version Federal Register version (72 FR 48700)
33-8835, 34-56260
Aug. 15, 2007
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
Aug. 15, 2007
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)
34-55991
June 29, 2007
S7-12-01
Order Extending Temporary Exemption of Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934 Federal Register version (72 FR 36742)
33-8817, 34-55969
June 27, 2007
265-24
Advisory Committee on Improvements to Financial Reporting View Received Comments 265-24 Federal Register version , Advisory Committee Charter Federal Register version (72 FR 36077)
