Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
33-8786, 34-55456 4-515 Roundtable on Interactive Data: Creating Interactive Data To Serve Investors
See Also -
Federal Register version (72 FR 12640)
33-8783, 34-55396, IA-2596, IC-27746 S7-07-07 Regulatory Flexibility Agenda
Comments Due: June 30, 2007
33-8783, 34-55396, IA-2596, IC-27746 S7-07-07 Regulatory Flexibility Agenda
Comments Due: June 30, 2007
33-8783, 34-55396, IA-2596, IC-27746 S7-07-07 Regulatory Flexibility Agenda
Comments Due: June 30, 2007
33-8783, 34-55396, IA-2596, IC-27746 S7-07-07 Regulatory Flexibility Agenda
Comments Due: June 30, 2007
33-8782, 34-55350 4-532 Roundtable on International Financial Reporting Standards "Roadmap"
Federal Register version (72 FR 9599)
33-8782, 34-55350 4-532 Roundtable on International Financial Reporting Standards "Roadmap"
Federal Register version (72 FR 9599)
34-55220 Order Cancelling Registrations of Certain Transfer Agents
Federal Register version (72 FR 6623)
34-55207 4-518 Order Approving Amendment To Add the International Securities Exchange, LLC as Participant to National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS
Federal Register version (72 FR 6016)
34-55165 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a de minimis Exemption for Transactions in Certain Exchange-Traded Funds From the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (72 FR 4545)
33-8775 3-12543 Pacific Growth Equities, LLC (Order Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
PA-38 S7-02-07 Privacy Act of 1974: Notice of Alteration to Two Existing Systems of Records
Comments Due: February 16, 2007
Federal Register version (72 FR 2036)
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)
34-55011 NetCoalition Order Granting Petition for Review and Scheduling Filing of Statements.
View Received Comments
See Also - Order Setting Aside Action by Delegated Authority and Approving Proposed Rule Change Relating to NYSE Arca Data, Inc. To Establish Fees for Certain Market Data and Request for Comment, NetCoalition Petition for Commission Review, NYSEArca Response to NetCoalition.com Notice of Intention to Petition for Review of SR-NYSEArca-2006-21
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))
34-54948 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
See Also - Federal Register version, Proposed Rule Release No. 34-54946, Proposed Rule Release No. 34-54947
Federal Register version (71 FR 77557)
34-54920 Extension of Order Regarding Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act
See Also - 34-52909, 34-50020, 34-48281
Federal Register version (71 FR 75779)
33-8757, 34-54865 PCAOB (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2007)
33-8757, 34-54865 PCAOB (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2007)
34-54757 Research Affiliates, LLC : Order Affirming the Denial of Requests for Confidential Treatment
34-54714 Order Granting National Securities Exchanges a Limited Exemption From Rule 612 of Regulation NMS Under the Securities Exchange Act of 1934 To Permit Acceptance by Exchanges of Certain Sub-Penny Orders
Federal Register version (71 FR 66352)
IA-2564 Approval of Investment Adviser Registration Depository Filing Fees Effective Date: November 1, 2006
See Also - 2006
PA-37 S7-17-06 Privacy Act of 1974: Establishment of a New System of Records: Photographic Files (SEC-54)
Comments Due: November 30, 2006
View Received Comments
Federal Register version (71 FR 63810)
34-54633 Notice of Intention To Cancel Registrations of Certain Transfer Agents
Federal Register version (71 FR 62631)
33-8746 3-12442 Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc. (Order Granting Waiver of the Disqualification Provision)
33-8743, 34-54519 4-526 SEC Government-Business Forum on Small Business Capital Formation
Comments Due: October 15, 2006
View Received Comments
Federal Register version (71 FR 58644)
33-8743, 34-54519 4-526 SEC Government-Business Forum on Small Business Capital Formation
Comments Due: October 15, 2006
View Received Comments
Federal Register version (71 FR 58644)
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)
33-8738 S7-15-06 Regulatory Flexibility Agenda Additional
Comments Due: Comments should be received on or before December 29, 2006
34-54396 Philadelphia Stock Exchange Fingerprinting Plan
Federal Register version (71 FR 53141)
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)
34-54308 Order Regarding Alternative Net Capital Computation For Citigroup Global Markets Inc.
34-54240 In the Matter of the Application of the Nasdaq Stock Market, Inc. and the NASDAQ Stock Market LLC for Section 12(b) Registration On Behalf of Certain Issuers
See Also - 12 of the Securities Exchange Act of 1934
Federal Register version (71 FR 45245)
34-54085 10-131 Order Modifying a Condition to Operation as a National Securities Exchange of the Nasdaq Stock Market LLC
Federal Register version (71 FR 38910)
34-54063 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds From the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (71 FR 38433)
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)
34-53908 Fingerprint Plan of the NASDAQ Stock Market LLC
Federal Register version (71 FR 33007)
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)
PA-36 S7-09-06 Privacy Act of 1974: System of Records: Office of Inspector General Investigative Files (SEC-43)
Comments Due: July 3, 2006
Federal Register version (71 FR 31230)
34-53851 600-29 Clearstream Banking, S.A.; Notice of Filing of Application To Continue an Existing Exemption From Clearing Agency Registration
Comments Due: June 21, 2006
Federal Register version (71 FR 30969)
34-53828 Regulation NMS (Order Granting Exemption from Compliance)
See Also - Spotlight on Regulation NMS
33-8683 Morgan Stanley & Co., Inc. (Order Granting Waiver of the Disqualification Provisions)
34-53751 Fingerprint Plan of the National Association of Securities Dealers, Inc.
Federal Register version (71 FR 27299)
33-8681, 34-53737 Order Making Fiscal Year 2007 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 (71 FR 26132)
33-8681, 34-53737 Order Making Fiscal Year 2007 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 (71 FR 26132)
34-53684 Regulation SHO (Order Extending Term of Short Sale Pilot)
33-8676, 34-53641 PCAOB (Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2006)
33-8676, 34-53641 PCAOB (Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2006)
33-8677, 34-53642 FASB (Order Regarding Review of Financial Accounting Standards Board Accounting Support Fee for 2006)
33-8677, 34-53642 FASB (Order Regarding Review of Financial Accounting Standards Board Accounting Support Fee for 2006)
34-53623 4-514 NASDAQ Stock Market LLC
Federal Register version (71 FR 19769)
33-8674, 34-53595 265-23 Advisory Committee on Smaller Public Companies
Comments Due: April 16, 2006
View Received Comments
Federal Register version (71 FR 18122)
33-8674, 34-53595 265-23 Advisory Committee on Smaller Public Companies
Comments Due: April 16, 2006
View Received Comments
Federal Register version (71 FR 18122)
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