Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-52559 10-131 The Nasdaq Stock Market Inc., Notice of Filing of Amendment Nos. 4 and 5 to Its Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: November 10, 2005
View Received Comments
See Also - Comments received electronically are available
Federal Register version (70 FR 59097)
33-8619, 34-52522 265-23 Advisory Committee on Smaller Public Companies; Meeting
Federal Register version (70 FR 57631)
33-8619, 34-52522 265-23 Advisory Committee on Smaller Public Companies; Meeting
Federal Register version (70 FR 57631)
33-8613 Legg Mason Wood Walker, Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
IA-2431 Gary L. Pittsford (Order Granting Consent to Associate)
34-52382 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis
Federal Register version (70 FR 53695)
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055 S7-07-05 Regulatory Flexibility Agenda
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055 S7-07-05 Regulatory Flexibility Agenda
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055 S7-07-05 Regulatory Flexibility Agenda
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055 S7-07-05 Regulatory Flexibility Agenda
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055 S7-07-05 Regulatory Flexibility Agenda
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055 S7-07-05 Regulatory Flexibility Agenda
IC-27047 UBS Securities LLC, UBS Financial Services Inc., UBS Fund Advisor, LLC, UBS Aspen Management, LLC, UBS Willow Management, LLC, UBS Eucalyptus Management, LLC, UBS Tamarack Management, LLC, UBS Juniper Management, LLC, UBS Sequoia Management, LLC (f/k/a UBS Redwood/Sequoia Management, LLC), UBS Global Asset Management (NY) Inc., UBS Global Asset Management (US) Inc., UBS Global Asset Management (Americas) Inc., DSI International Management, Inc., UBS Global Asset Management International Ltd., GAM International Management Ltd., GAM USA Inc., and GAM Services Inc. (Order Pursuant to Section 9(C) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(A) of the Act)
33-8607, 34-52329 265-23 Advisory Committee on Smaller Public Companies
Federal Register version (70 FR 51388)
33-8607, 34-52329 265-23 Advisory Committee on Smaller Public Companies
Federal Register version (70 FR 51388)
34-52266 10-136 Acknowledgment of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the CBOE Futures Exchange, LLC
Federal Register version (70 FR 48990)
33-8599, 34-52189 265-23 Advisory Committee on Smaller Public Companies
Federal Register version (70 FR 45446)
33-8599, 34-52189 265-23 Advisory Committee on Smaller Public Companies
Federal Register version (70 FR 45446)
34-52145 Morgan Stanley & Co. (Order Regarding Alternative Net Capital Computation for Morgan Stanley & Co., which has Elect to be Supervised on a Consolidated Basis)
34-52134 Two Sigma Investments, LLC (Order Denying Requests for Confidential Treatment)
34-52135 Two Sigma Investments, LLC (Order Denying Requests for Confidential Treatment)
33-8589, 34-52047 265-23 Advisory Committee on Smaller Public Companies
View Received Comments
Federal Register version (70 FR 42117)
33-8589, 34-52047 265-23 Advisory Committee on Smaller Public Companies
View Received Comments
Federal Register version (70 FR 42117)
34-51893 List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (70 FR 37128)
33-8576 Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8577 Smith Barney Fund Management LLC and 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)
33-8575, 34-51730 Requests and Statements Due: Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005. 265-23 Advisory Committee on Smaller Public Companies.
Federal Register version (70 FR 30978)
33-8575, 34-51730 Requests and Statements Due: Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005. 265-23 Advisory Committee on Smaller Public Companies.
Federal Register version (70 FR 30978)
33-8575, 34-51730 Requests and Statements Due: Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005. 265-23 Advisory Committee on Smaller Public Companies.
Federal Register version (70 FR 30978)
33-8575, 34-51730 Requests and Statements Due: Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005. 265-23 Advisory Committee on Smaller Public Companies.
Federal Register version (70 FR 30978)
34-51697 Neurotech Development Corp. (Order Withdrawing Application and Dismissing Review Proceedings and Notice that Initial Decision has become Final)
See Also - Initial Decision
IC-26867 S7-11-04 Mutual Fund Redemption Fees
Federal Register version (70 FR 28965)
33-8572, 34-51631 Order Making Fiscal Year 2006 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
See Also - Fee Rates FY 2006 Tables
Federal Register version (70 FR 23271)
33-8572, 34-51631 Order Making Fiscal Year 2006 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
See Also - Fee Rates FY 2006 Tables
Federal Register version (70 FR 23271)
33-8571, 34-51610 265-23 Summary of Proposed Committee Agenda of Advisory Committee on Smaller Public Companies
Comments Due: Comments should be received on or before May 31, 2005
View Received Comments
Federal Register version (70 FR 22378)
33-8571, 34-51610 265-23 Summary of Proposed Committee Agenda of Advisory Committee on Smaller Public Companies
Comments Due: Comments should be received on or before May 31, 2005
View Received Comments
Federal Register version (70 FR 22378)
IC-26838 812-13182 The PNC Financial Services Group, Inc., et al.; Notice of Application
Federal Register version (70 FR 21829)
IC-26827 Credit Suisse First Boston LLC (Order Pursuant to Section 9(c) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(a) of the Act)
33-8561, 34-51444, 35-27952, 39-2435, IA-2373, IC-26825 S7-02-05 Regulatory Flexibility Agenda
33-8561, 34-51444, 35-27952, 39-2435, IA-2373, IC-26825 S7-02-05 Regulatory Flexibility Agenda
33-8561, 34-51444, 35-27952, 39-2435, IA-2373, IC-26825 S7-02-05 Regulatory Flexibility Agenda
33-8561, 34-51444, 35-27952, 39-2435, IA-2373, IC-26825 S7-02-05 Regulatory Flexibility Agenda
33-8561, 34-51444, 35-27952, 39-2435, IA-2373, IC-26825 S7-02-05 Regulatory Flexibility Agenda
33-8561, 34-51444, 35-27952, 39-2435, IA-2373, IC-26825 S7-02-05 Regulatory Flexibility Agenda
IC-26824 Morgan Stanley Investment Advisors Inc. (Order Pursuant to Section 9(c) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(a) of the Act)
33-8560, 34-51417 265-23 Advisory Committee on Smaller Public Companies
Comments Due: Comments should be received on or before April 8, 2005
View Received Comments
Federal Register version (70 FR 15669)
33-8560, 34-51417 265-23 Advisory Committee on Smaller Public Companies
Comments Due: Comments should be received on or before April 8, 2005
View Received Comments
Federal Register version (70 FR 15669)
34-51421 Goldman, Sachs, & Co. (Order Regarding Alternative Net Capital Computation for Goldman, Sachs, & Co., Which Has Elected To Be Supervised on a Consolidated Basis)
33-8558 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 and Section 21E(B)(1)(A)(II) of the Exchange Act)
33-8559 Citigroup Global Markets, Inc. (Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(C)(3))
34-51341 Certain Disgorgement and Fair Funds in Administrative Proceedings (Order Directing Appointment of Tax Administrator)
33-8550 PCAOB (Order Approving Public Company Accounting Oversight Board Revised Budget and Annual Accounting Support Fee for Calendar Year 2005)
33-8549 FASB (Order Regarding Review of FASB Accounting Support Fee for Calendar Year 2005 Under the Sarbanes-Oxley Act of 2002)
34-51277 Order Making Fiscal 2005 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
Federal Register version (70 FR 10695)
33-8542 Goldman, Sachs & Co. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rules 602(b)(4) and 602(c)(2))
33-8543 Goldman, Sachs & 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 and Section 21E(b)(1)(A)(ii) of the Exchange Act)
34-51124 SR-ODD-2004-03 Canadian Derivatives Clearing Corporation; Order Approving Accelerated Distribution of an Amended Options Disclosure Document
Federal Register version (70 FR 6740)
33-8535, 34-51165 Columbia Management Advisors, Inc. and Columbia Funds Distributor, 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)
33-8536 Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)
33-8535, 34-51165 Columbia Management Advisors, Inc. and Columbia Funds Distributor, 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)
33-8539, 34-51168, IA-2356, IC-26757 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America 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)
33-8540, 34-51169, IA-2357, IC-26758 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8539, 34-51168, IA-2356, IC-26757 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America 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)
33-8540, 34-51169, IA-2357, IC-26758 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8539, 34-51168, IA-2356, IC-26757 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America 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)
33-8540, 34-51169, IA-2357, IC-26758 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8539, 34-51168, IA-2356, IC-26757 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America 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)
33-8540, 34-51169, IA-2357, IC-26758 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8531 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 and Section 21E(B)(1)(A)(ii) Of The Exchange Act)
33-8532 Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rules 602(b)(4) and 602(c)(2))
34-51115 Richard Kern and Charles Wilkins (Order Denying Motion for Summary Affirmance, Setting Aside Default, and Remanding for Further Proceedings)
34-50925 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Regarding Alternative Net Capital Computation for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Whish Has Elected To Be Supervised on a Consolidated Basis)
33-8514 265-23 Advisory Committee on Smaller Public Companies
Federal Register version (69 FR 76498)
34-50795 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) 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 (69 FR 71445)
34-50747 Order Delaying Pilot Period for Suspension of the Operation of Short Sale Price Provisions
34-50649 Daniel V. Covello (Order Approving Application for Relief from a Statutory Disqualification)
33-8502 Maximum Dynamics, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
34-50489 Raymond L. Grenier, Jr. (Order Approving Application for Relief from a Statutory Disqualification)
33-8494 Thomas Weisel Partners LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8495 Thomas Weisel Partners LLC (Order Granting Waiver Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934)
33-8491, 34-50445, 35-27893, 39-2427, IA-2306, IC-26621 S7-34-04 Regulatory Flexibility Agenda
Comments Due: Comments should be received on or before December 30, 2004
33-8491, 34-50445, 35-27893, 39-2427, IA-2306, IC-26621 S7-34-04 Regulatory Flexibility Agenda
Comments Due: Comments should be received on or before December 30, 2004
33-8491, 34-50445, 35-27893, 39-2427, IA-2306, IC-26621 S7-34-04 Regulatory Flexibility Agenda
Comments Due: Comments should be received on or before December 30, 2004
33-8491, 34-50445, 35-27893, 39-2427, IA-2306, IC-26621 S7-34-04 Regulatory Flexibility Agenda
Comments Due: Comments should be received on or before December 30, 2004
33-8491, 34-50445, 35-27893, 39-2427, IA-2306, IC-26621 S7-34-04 Regulatory Flexibility Agenda
Comments Due: Comments should be received on or before December 30, 2004
33-8491, 34-50445, 35-27893, 39-2427, IA-2306, IC-26621 S7-34-04 Regulatory Flexibility Agenda
Comments Due: Comments should be received on or before December 30, 2004
33-8492 Deutsche Bank Securities Inc (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8493 Deutsche Bank Securities Inc (Order Granting Waiver Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8488, 34-50371 Dean Foods Company (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8488, 34-50371 Dean Foods Company (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8478 Donaldson, Lufkin & Jenrette Securities Corp., predecessor in interest to Credit Suisse First Boston LLC (Order Granting Waiver Under Rule 602(e) the Securities Act of 1933)
33-8473 SG Cowen & Co., LLC, F/K/A SG Cowen Securities Corporation (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8470, 34-50249 Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act)
33-8471 Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8470, 34-50249 Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act)
33-8467 Morgan Keegan & Co., Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934)
33-8468 Morgan Keegan & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8476 Janney Montgomery Scott LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8464, 34-50245 Friedman, Billings, Ramsey & Co., Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, And Section 21E(b) of the Securities Exchange Act of 1934)
33-8465 Friedman, Billings, Ramsey & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
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