Other Commission Orders, Notices, and Information

Archive of other SEC Orders, Notices and Information available include:

Release Number SEC Issue Date File Number Details
33-8918, 34-57819 265-24 Subcommittee Reports of the SEC Advisory Committee on Improvements to Financial Reporting
Comments Due: June 23, 2008
View Received Comments
Federal Register version (73 FR 29808)
33-8916, 34-57766 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 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 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)
IA-2732 Kenneth W. Corba (Order Granting Consent to Associate Pursuant to Section 203(F) of the Investment Advisers Act Of 1940)
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)
33-8910, 34-57669 265-24 Advisory Committee on Improvements to Financial Reporting.
Federal Register version (73 FR 21391)
33-8910, 34-57669 265-24 Advisory Committee on Improvements to Financial Reporting.
Federal Register version (73 FR 21391)
34-57648 SR-NYSEArca-2008-19 Order of Summary Abrogation of a Proposed Rule Change Relating to its "Primary Only" Order Type
See Also - Rel. No. 34-57377
33-8908, 34-57638 265-24 Advisory Committee on Improvements to Financial Reporting
Comments Due: April 25, 2008
View Received Comments
Federal Register version (73 FR 20073)
33-8908, 34-57638 265-24 Advisory Committee on Improvements to Financial Reporting
Comments Due: April 25, 2008
View Received Comments
Federal Register version (73 FR 20073)
34-57613 Boston Stock Exchange Fingerprinting Plan
Federal Register version (73 FR 19533)
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)
33-8905, 34-57544, IA-2723, IC-29198 S7-09-08 Regulatory Flexibility Agenda
Comments Due: June 30, 2008
33-8905, 34-57544, IA-2723, IC-29198 S7-09-08 Regulatory Flexibility Agenda
Comments Due: June 30, 2008
33-8905, 34-57544, IA-2723, IC-29198 S7-09-08 Regulatory Flexibility Agenda
Comments Due: June 30, 2008
33-8905, 34-57544, IA-2723, IC-29198 S7-09-08 Regulatory Flexibility Agenda
Comments Due: June 30, 2008
34-57407 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 265-24 Advisory Committee on Improvements to Financial Reporting
Comments Due: March 6, 2008
View Received Comments
Federal Register version (73 FR 10313)
33-8897, 34-57364 265-24 Advisory Committee on Improvements to Financial Reporting
Comments Due: March 6, 2008
View Received Comments
Federal Register version (73 FR 10313)
33-8896, 34-57331 265-24 Progress Report of the SEC Advisory Committee on Improvements to Financial Reporting.
Comments Due: March 31, 5008
View Received Comments
Federal Register version (73 FR 10897)
33-8896, 34-57331 265-24 Progress Report of the SEC Advisory Committee on Improvements to Financial Reporting.
Comments Due: March 31, 5008
View Received Comments
Federal Register version (73 FR 10897)
33-8893, 34-57319 Order Regarding Review Of FASB Accounting Support Fee for 2008 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-8893, 34-57319 Order Regarding Review Of FASB Accounting Support Fee for 2008 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-57322 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: April 7, 2008
View Received Comments
See Also - Form 1 Application and Exhibits
Federal Register version (73 FR 9370)
IA-2702 Timothy J. Miller (Order Granting Consent to Associate)
34-57300 Order Granting Registration Of LACE Financial Corp. As A Nationally Recognized Statistical Rating Organization
34-57301 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 S7-03-08 Notice of Solicitation of Public Views Regarding Practices Being Developed To Deal With the Increasing Number of Senior Investors
Comments Due: April 1, 2008
View Received Comments
Federal Register version (73 FR 8922)
34-57235 Frederick H. Joseph (Order Approving Application for Relief from a Statutory Disqualification)
33-8882, 34-57162 265-24 Advisory Committee on Improvements to Financial Reporting
Comments Due: February 4, 2008
View Received Comments
Federal Register version (73 FR 4022)
33-8882, 34-57162 265-24 Advisory Committee on Improvements to Financial Reporting
Comments Due: February 4, 2008
View Received Comments
Federal Register version (73 FR 4022)
34-57039 JPMorgan Securities Inc. (Order Regarding Alternative Net Capital Computation for JPMorgan Securities Inc.)
34-57031 Egan-Jones Rating Company (Order Granting Registration of Egan-Jones Rating Company as a Nationally Recognized Statistical Rating Organization)
33-8874, 34-56989 265-24 Advisory Committee on Improvements to Financial Reporting
Comments Due: January 4, 2008
Federal Register version (72 FR 73050)
33-8874, 34-56989 265-24 Advisory Committee on Improvements to Financial Reporting
Comments Due: January 4, 2008
Federal Register version (72 FR 73050)
33-8873, 34-56986 Order Approving Public Company Accounting Oversight Board Budget And Annual Accounting Support Fee For Calendar Year 2008
33-8873, 34-56986 Order Approving Public Company Accounting Oversight Board Budget And Annual Accounting Support Fee For Calendar Year 2008
39-2450 22-28859 Grupo Iusacell Celular, S.A. de C.V. (Order Granting Application for Exemption)
34-56779 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: December 17, 2007
View Received Comments
See Also - S Application
Federal Register version (72 FR 64688)
39-2449 22-28859 Application and Opportunity for Hearing: Grupo Iusacell Celular, S.A. de C.V.
See Also - Rel. No. 39-2450
Federal Register version (72 FR 59575)
34-56638 Stephen Anthony Englese (Order Approving Application for Relief From a Statutory Disqualification)
33-8856, 34-56624 265-24 Advisory Committee on Improvements to Financial Reporting
Comments Due: October 26, 2007
View Received Comments
Federal Register version (72 FR 58135)
33-8856, 34-56624 265-24 Advisory Committee on Improvements to Financial Reporting
Comments Due: October 26, 2007
View Received Comments
Federal Register version (72 FR 58135)
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)
34-56534, IA-2658 S7-24-07 Public Alert: Unregistered Soliciting Entities ("Pause") Program
Comments Due: November 1, 2007
Federal Register version (72 FR 56110)
34-56534, IA-2658 S7-24-07 Public Alert: Unregistered Soliciting Entities ("Pause") Program
Comments Due: November 1, 2007
Federal Register version (72 FR 56110)
34-56521 Order Cancelling the Registration of a Transfer Agent
Federal Register version (72 FR 55835)
34-56513 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 Rating and Investment Information, Inc. (Order Granting Registration of Rating and Investment Information, Inc. as a Nationally Recognized Statistical Rating Organization)
34-56511 Moody's Investors Service, Inc. (Order Granting Registration of Moody's Investors Service, Inc. as a Nationally Recognized Statistical Rating Organization)
34-56510 Japan Credit Rating Agency, Ltd. (Order Granting Registration of Japan Credit Rating Agency, Ltd. as a Nationally Recognized Statistical Rating Organization)
34-56509 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 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 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 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)
33-8840, 34- 56387, IA-2645, IC-27967 S7-21-07 Regulatory Flexibility Agenda
Comments Due: December 31, 2007
33-8840, 34- 56387, IA-2645, IC-27967 S7-21-07 Regulatory Flexibility Agenda
Comments Due: December 31, 2007
33-8840, 34- 56387, IA-2645, IC-27967 S7-21-07 Regulatory Flexibility Agenda
Comments Due: December 31, 2007
33-8840, 34- 56387, IA-2645, IC-27967 S7-21-07 Regulatory Flexibility Agenda
Comments Due: December 31, 2007
33-8836, 34-56293 265-24 Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting
Comments Due: September 24, 2007
View Received Comments
See Also - 265-24 Federal Register version
Federal Register version (72 FR 48700)
33-8836, 34-56293 265-24 Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting
Comments Due: September 24, 2007
View Received Comments
See Also - 265-24 Federal Register version
Federal Register version (72 FR 48700)
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)
34-55991 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 265-24 Advisory Committee on Improvements to Financial Reporting
View Received Comments
See Also - 265-24 Federal Register version, Advisory Committee Charter
Federal Register version (72 FR 36077)
33-8817, 34-55969 265-24 Advisory Committee on Improvements to Financial Reporting
View Received Comments
See Also - 265-24 Federal Register version, Advisory Committee Charter
Federal Register version (72 FR 36077)
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)
34-55920 600-23 Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
Comments Due: July 18, 2007
Federal Register version (72 FR 35270)
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)
34-55791 Christopher Lee LaPorte (Order Approving Application for Relief from a Statutory Disqualification)
34-55757 Thomas DeGironimo (Order Approving Application for Relief from a Statutory Disqualification)
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)
34-55691 Laris Milonas (Order Approving Application for Relief from a Statutory Disqualification)
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)
33-8794, 34-55682 Order Making Fiscal Year 2008 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 (72 FR 25809)
33-8794, 34-55682 Order Making Fiscal Year 2008 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 (72 FR 25809)
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)
34-55601 Harry M. Richardson (Order Approving Application for Relief From a Statutory Disqualification)
33-8789, 34-55469 Order Regarding Review of FASB Accounting Support Fee for 2007 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-8789, 34-55469 Order Regarding Review of FASB Accounting Support Fee for 2007 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-8786, 34-55456 4-515 Roundtable on Interactive Data: Creating Interactive Data To Serve Investors
See Also -
Federal Register version (72 FR 12640)
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