Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
33-8817, 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)
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)
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