Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
33-8542 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)
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)
33-8462 Adams Harkness, Inc. f/k/a/ Adams, Harness & Hill, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8463, 34-50244 Adams Harkness, Inc. f/k/a Adams, Harkness & Hill, 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)
33-8463, 34-50244 Adams Harkness, Inc. f/k/a Adams, Harkness & Hill, 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)
34-50206 Berkshire Hathaway Inc. (Order Denying Requests for Confidential Treatment)
33-8453 Fidelity Brokerage Services, LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
See Also - 34-50138
34-50104 Short Sale Price Provisions (Order Suspending Operation for Designated Securities and Time Periods)
See Also - Additional Pilot Order
33-8451, 34-50094, 35-27877, 39-2422, IA-2268, IC-26521 S7-31-04 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: Comments should be received on or before September 1, 2004
Federal Register version (69 FR 46117)
33-8451, 34-50094, 35-27877, 39-2422, IA-2268, IC-26521 S7-31-04 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: Comments should be received on or before September 1, 2004
Federal Register version (69 FR 46117)
33-8451, 34-50094, 35-27877, 39-2422, IA-2268, IC-26521 S7-31-04 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: Comments should be received on or before September 1, 2004
Federal Register version (69 FR 46117)
33-8451, 34-50094, 35-27877, 39-2422, IA-2268, IC-26521 S7-31-04 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: Comments should be received on or before September 1, 2004
Federal Register version (69 FR 46117)
33-8451, 34-50094, 35-27877, 39-2422, IA-2268, IC-26521 S7-31-04 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: Comments should be received on or before September 1, 2004
Federal Register version (69 FR 46117)
33-8451, 34-50094, 35-27877, 39-2422, IA-2268, IC-26521 S7-31-04 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: Comments should be received on or before September 1, 2004
Federal Register version (69 FR 46117)
34-50039 Putnam Investment Management, LLC
34-50020 Extension of Order Regarding Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act
See Also - 34-54920, 34-52909, 34-48281
Federal Register version (69 FR 43482)
34-49859 Order Temporarily Exempting Standardized Options and Security Futures From Rule 12d2-2 Under the Securities Exchange Act of 1934
Federal Register version (69 FR 34409)
34-49846 List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (69 FR 33948)
SIPA-165 Swift Trade Securities USA Inc. (Order Affirming SIPC Determination)
33-8421 S7-23-04 Regulatory Flexibility Agenda
Comments Due: Comments should be submitted on or before June 30, 2004
33-8418 Order Making Fiscal Year 2005 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 - Appendix A, Appendix B
Federal Register version (69 FR 25632)
34-49511 S7-10-04 Regulation NMS
See Also - Spotlight on Regulation NMS
Federal Register version (69 FR 18145)
34-49408 S7-10-04 Regulation NMS
See Also - Spotlight on Regulation NMS
Federal Register version (69 FR 12876)
35-27811 Stephen Forbes Cooper, LLC PGE Trust; and Enron Corporation (Order Granting Withdrawal)
35-27809 Enron Corp., et al. (Memorandum Opinion and Order Authorizing External and Intrasystem Financing and Related Transactions; Authorizing Service Agreements; and Reserving Jurisdiction)
35-27810 Enron Corp. (Memorandum Opinion and Order Approving Plan of Reorganization Under Section 11(f) and Issuing Report Under Section 11(g))
34-49356 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a De Minimis
Federal Register version (69 FR 11057)
34-49332 Order Making Fiscal 2004 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
Federal Register version (69 FR 10278)
33-8390, 34-49291 PCAOB Budget and Accounting Support Fee (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2004)
33-8390, 34-49291 PCAOB Budget and Accounting Support Fee (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2004)
33-8389 FASB Accounting Support Fee (Order for Review Under Section 109 of The Sarbanes-Oxley Act of 2002)
33-8381 Wachovia Securities, LLC (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8382 Wachovia Securities, LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8378 UBS Financial Services 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)
33-8379 UBS Financial Services Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8375 Raymond James Financial Services, 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)
33-8376 Raymond James Financial Services, Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8369 Legg Mason Wood Walker, Incorporated (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8370 Legg Mason Wood Walker, Incorporated (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8372 Linsco/Private Ledger Corp. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8373 Linsco/Private Ledger Corp. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8384 H. D. Vest Investment Securities, 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)
33-8385 H. D. Vest Investment Securities, Inc. (Order Granting Waiver Under the Securities Act of 1933)
33-8366 American Express Financial Advisors 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)
33-8367 American Express Financial Advisors Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
34-49211 S7-19-03 Security Holder Director Nominations
Comments Due: Must be received from March 10, 2004 until March 31, 2004
See Also - Proposed Rule: Security Holder Director Nominations, Commission Notice: Roundtable Discussion on Security Holder Director Nominations
Federal Register version (69 FR 6928)
35-27793 3-11373 Public Utility Holding Company Act of 1935; Application of Stephen Forbes Cooper, LLC, PGE Trust, and Enron Corporation for Exemption Under the Public Utility Holding Company Act of 1935 (No. 70-10190); Notice of and Order Scheduling Hearing Regarding Request for Order Exempting Holding Companies from Registration Under the Public Utility Holding Company Act of 1935
See Also - Federal Register PDF
Federal Register version (69 FR 2637)
33-8351 Canadian Imperial Bank of Commerce (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8352 Canadian Imperial Bank of Commerce (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8326 UBS Securities LLC, F/K/A, UBS Warburg LLC (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8327 UBS Securities LLC, F/K/A, UBS Warburg LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8328 U.S. Bancorp Piper Jaffray Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8329 U.S. Bancorp Piper Jaffray Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8325 Morgan Stanley & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8319 Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
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