Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
33-8390, 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)
33-8318 Merrill Lynch, Pierce, Fenner & Smith 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)
33-8331 Lehman Brothers Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8330 J.P. Morgan Securities Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8332 Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8323 Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8324 Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (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)
33-8321 Citigroup Global Markets Inc., F/K/A Salomon Smith Barney 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)
33-8322 Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8320 Bear, Stearns & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8277 Goldman, Sachs & Co. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934)
33-8278 Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) under the Securities Act of 1933)
34-48368 Berkshire Hathaway Inc. (Order Affirming the Determination of the Division of Investment Management to Deny Confidential Treatment)
34-48281 Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act
See Also - 34-54920, 34-52909, 34-50020
Federal Register version (68 FR 47375)
33-8262 PCAOB Budget and Accounting Support Fee (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2003)
33-8263 FASB Accounting Support Fee (Order for Review under Section 109 of the Sarbanes-Oxley Act of 2002)
34-48063 List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (68 FR 37870)
34-47950 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 (68 FR 33748)
34-47778 S7-10-03 Notice of Solicitation of Public Views Regarding Possible Changes to the Proxy Rules
Comments Due: Comments must be received on or before June 13, 2003
View Received Comments
See Also - Review of the Proxy Process and Appendix A - Summary of Comments
Federal Register version (68 FR 24530)
33-8225 Order Making Fiscal Year 2004 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 (68 FR 24027)
33-8222 Order Regarding Section 103(a)(3)(B) of the Sarbanes-Oxley Act of 2002
33-8223 Order Regarding Section 101(d) of the Sarbanes-Oxley Act of 2002
PA-33 S7-09-03 Privacy Act of 1974: Establishment of a New System of Records: Emergency Contingency Plan System (SEC-51)
Federal Register version (68 FR 23168)
34-47683 Order Regarding the Collateral Broker-Dealer Must Pledge When Borrowing Customer Securities International Series
34-47591 S7-30-02 Regulation Analyst Certification
See Also - Proposed Rule Rel. No. 33-8119, and comments
Federal Register version (68 FR 16313)
IA-2117 4-476 Roundtable Discussions Relating to Hedge Funds
Comments Due: Comments must be received on or before April 30, 2003
View Received Comments
Federal Register version (68 FR 15488)
34-47570 S7-26-98 Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
Federal Register version (68 FR 15488)
33-8207 S7-05-03 Securities Uniformity; Annual Conference on Uniformity of Securities Laws
Comments Due: April 3, 2003
View Received Comments
Federal Register version (68 FR 14439)
33-8205 Merrill Lynch & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933)
33-8206 Merrill Lynch & 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
34-47425 Order Making Fiscal 2003 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
Federal Register version (68 FR 10925)
34-47375 Relational Investors LLC (Order Declining to Review the Determination of the Division of Investment Management to Deny Confidential Treatment)
34-47319 Order Exempting Options Specialists From Section 11(b) of the Securities Exchange Act of 1934 When Accepting Certain Types of Complex Orders
Federal Register version (68 FR 7156)
34-47061 600-19 Philadelphia Depository Trust Company; Notice of Request for Comment and Order Granting Request for Withdrawal from and Cancellation of Registration as Clearing Agency
Federal Register version (67 FR 79172)
34-46921 Financial Information (Order Extending Exemption)
35-27574 Enron Corp. (Order Scheduling Hearing Under Section 19 of the Public Utility Holding Company Act of 1935)
See Also - additional materials listed on the Enron Spotlight page
IC-25729 The Mexico Fund, Inc. (Notice of Application and Commission Statement)
4-464, AAER-1620 Sworn Statements (Order Requiring Filing Under Section 21(a)(1) of the Securities Exchange Act of 1934)
See Also - Release No. 34-46429
4-464, AAER-1620 Sworn Statements (Order Requiring Filing Under Section 21(a)(1) of the Securities Exchange Act of 1934)
See Also - Release No. 34-46429
34-46428 Exchange-Traded Funds (Order Granting De Minimis Exemption Under Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder)
34-46313 S7-31-02 Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Comments Due: August 15, 2002
View Received Comments
See Also - 2002. Rel. No. 33-8090, and comments
Federal Register version (67 FR 51900)
PA-32 S7-27-02 Privacy Act of 1974; Amended System of Records for Enforcement Files
Comments Due: 30 days after publication in the Federal Register
Federal Register version (67 FR 48497)
File No. 4-460 4-460 Sworn Statements (Order Requiring Filing under Section 21(a)(1) of the Securities Exchange Act of 1934)
See Also - Sworn Statement, List of Companies, Frequently Asked Questions
34-46090 Joint Order Granting the Modification of Listing Standards Requirements Under Section 6(h) of the Securities Exchange Act of 1934 and the Criteria Under Section 2(a)(1) of the Commodity Exchange Act
Federal Register version (67 FR 42760)
35-27539 International E.ON AG, et al. (Order Authorizing the Acquisition of Foreign Registered Holding Company and Related Transactions; Approving Other Related Requests; Declaring Company Not to Be a Subsidiary; Discussing Individual Comments on the Acquisition; Approving Financings and Intrasystem Service Transactions; and Reserving Jurisdiction)
34-46069 S7-12-01 Notice of Application of Evangelical Christian Credit Union for Exemptive Relief Under Sections 15 and 36 of the Exchange Act and Request for Comment
Comments Due: July 18, 2002
See Also - Application, Application
Federal Register version (67 FR 41545)
34-46015 Order Granting Temporary Exemption of Broker-Dealers that are Futures Commission Merchants from the Disclosure Requirements of Rule 10b-10 Promulgated under the Securities Exchange Act of 1934 and the Disclosure Requirements of Section 11(d)(2) of the Securities Exchange Act of 1934 in Connection with Security Futures Transactions Effected in Futures Accounts
Federal Register version (67 FR 39752)
34-46009 Joint Order Excluding From the Definition of Narrow-Based Security Index Those Security Indexes That Qualified for the Exclusion From That Definition Under Section 1a(25)(B)(v) of the Commodity Exchange Act and Section 3(a)(55)(C)(v) of the Securities Exchange Act of 1934
Federal Register version (67 FR 38941)
34-45855 List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (67 FR 30733)
34-45654 S7-17-00 Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule
See Also - Rel. No. 34-43085, and comments
Federal Register version (67 FR 18059)
33-8072 S7-04-02 Securities Uniformity; Annual Conference on Uniformity of Securities Laws
View Received Comments
Federal Register version (67 FR 14746)
34-45489 Order Making Fiscal 2002 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
Federal Register version (67 FR 10239)
33-8056 Commission Statement About Management's Discussion and Analysis of Financial Condition and Results of Operations
Federal Register version (67 FR 3746)
33-8040 Accounting Policies; Cautionary Advice Regarding Disclosure
See Also - Release also available
Federal Register version (66 FR 65013)
33-8039 Cautionary Advice Regarding the Use of "Pro Forma" Financial Information in Earnings Releases
Federal Register version (66 FR 63731)
33-8027 American Life Insurance Company of New York (Order Declaring Registration Effective Pursuant to Section 8(a) of the Securities Act of 1933)
33-8028 American Life Insurance Company of New York (Statements Concerning the Order Declaring Registration Statement Effective)
34-44916 Order Regarding Government Securities Reconciliations
34-44871 Order Regarding Government Securities Reconciliations
34-44874 Exemptive Order Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 Issuing Exemptive Relief to Respond to Market Developments
34-44846 4-430 Order Extending the Deadline for the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., the Pacific Exchange, Inc., and the Philadelphia Stock Exchange, Inc. to Submit Rule Filings Concerning the Implementation of Decimal Pricing in Equity Securities and Options Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934
Federal Register version (66 FR 49983)
34-44839 Order Regarding Government Securities Reconciliations
IC-25165 Order Extending Prior Order Under Sections 6(c), 17(b) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Certain Provisions of the Act and Certain Rules Thereunder
34-44827 Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments
34-44828 American Stock Exchange LLC (Order Extending Emergency Order Under Section 12(k)(2) of the Securities Exchange Act of 1934)
34-44797 American Stock Exchange LLC (Emergency Order Under Section 12(k)(2) of the Securities Exchange Act of 1934)
IC-25156 Exemptions (Order Granting Exemptions Under Sections 6(c), 17(d) and 38(a) of the Investment Company Act of 1940)
34-44791 Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond To Market Developments
4-442, AAER-1386 4-442 Investment Company Institute (Letter in response to Petition for Rulemaking)
4-442, AAER-1386 4-442 Investment Company Institute (Letter in response to Petition for Rulemaking)
34-44729 Persons Engaging in Security Futures Product Transactions (Order Granting Temporary Exemption)
34-44731 Futures Commission Merchants and Introducing Brokers (Order Granting Temporary Exemption from the Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934)
See Also - 34-44731

Note: Also Available in PDF Format: 34-44731
34-44725 Listing Standards Requirements (Joint Order Granting Modifications under Section 6(h) of the Securities Exchange Act of 1934 and Criteria under Section 2(a)(1) of the Commodity Exchange Act)
34-44625 10-131 The Nasdaq Stock Market, Inc; Extension of Comment Period for The Nasdaq Stock Market, Inc.'s Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 From July 30, 2001 to August 29, 2001
Federal Register version (66 FR 41056)
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