Other Commission Orders, Notices, and Information

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


Release Number	SEC Issue Date	File Number	Details
34-44569	July 18, 2001	S7-12-01	Extension of Comment Period on Interim Final Rules on Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 *Comments Due:* On or before September 4, 2001 See Also - Comments received electronically are available, Notice of Intent to Amend Rules, 34-46751, also Order Extending Temporary Exemption and Notice of Intent to Amend Rules, Order Extending Temporary Exemption and Notice of Intent to Amend Rules Federal Register version (66 FR 38370)
34-44396	June 7, 2001	10-131	The Nasdaq Stock Market, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 *Comments Due:* 45 days after publication in the Federal Register View Received Comments See Also - Comments received electronically are available Federal Register version (66 FR 31952) Note: Comments received electronically are available
34-44177	April 12, 2001	4-208	Order Approving Plan Establishing Procedures Under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange Federal Register version (66 FR 19814)
33-7964	March 23, 2001	S7-08-01	Securities Uniformity; Annual Conference on Uniformity of Securities Laws *Comments Due:* April 25, 2001 View Received Comments Federal Register version (66 FR 17207) Note: Comments received are available
34-43992	Feb. 21, 2001	4-208	Notice of Filing of Proposed Plan Establishing Procedures Under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange Federal Register version (66 FR 12571)
No release number 4	Feb. 9, 2001		Chairman Arthur Levitt (Letter to industry regarding T+1)
34-43909	Jan. 31, 2001		Berkshire Hathaway, Inc. (Order Declining Review)
PA-31	Jan. 19, 2001	S7-02-01	Privacy Act of 1974: Notice of Modifications to a System of Records and Establishment of a New System of Records View Received Comments Federal Register version (66 FR 7820) Note: Comments received are available
34-43142	Aug. 10, 2000		Berkshire Hathaway, Inc. (Order Declining Review)
PA-29	July 28, 2000	S7-15-00	Privacy Act of 1974: Establishment of a New System of Records: Child Care Subsidy Program (SEC-41) Federal Register version (65 FR 49037)
IA-1888	July 28, 2000		Designation of NASD Regulation, Inc. To Establish and Maintain the Investment Adviser Registration Depository; Approval of IARD Fees Federal Register version (65 FR 47807)
No release number 3	July 26, 2000		Decimals Implementation Plan for the Equities and Options Markets, Exchange Committee on Decimals Submitted July 24, 2000
35-27816	June 14, 2000	S7-16-04	Rulemaking for EDGAR System Federal Register version (69 FR 13689)
34-42914	June 13, 2000		Order Directing the Exchanges and the National Association of Securities Dealers, Inc. to Submit a Phase-in Plan to Implement Decimal Pricing in Equity Securities and Options; Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 Federal Register version (65 FR 38010)
34-42906	June 7, 2000		In the Matter of the Investment Dealers Association of Canada; Order Granting Exemption Federal Register version (65 FR 37678)
IA-1869	April 27, 2000	4-433	Roundtable on Investment Adviser Regulatory Issues View Received Comments Federal Register version (65 FR 25776)
34-42685	April 13, 2000	4-430	Order Staying the Deadlines for Decimal Implementation and Notice of Request for Comment on Revised Decimal Implementation Schedules View Received Comments See Also - 4-430 Comments received electronically are available Federal Register version (65 FR 21046) Note: Comments received electronically are available
35-27154	March 15, 2000		National Grid Group plc (Order Approving Acquisition) International Series
33-7808	March 10, 2000	S7-08-00	Securities Uniformity; Annual Conference on Uniformity of Securities Laws Federal Register version (65 FR 14325)
34-42516	March 10, 2000	4-430	Supplemental Standards of Ethical Conduct for Employees of the Department of Agriculture Federal Register version (65 FR 21239)
34-42455	Feb. 24, 2000	10-127	In the Matter of the Application of The International Securities Exchange LLC for Registration as a National Securities Exchange; Findings and Opinion of the Commission Federal Register version (65 FR 11387)
34-42450	Feb. 23, 2000	SR-NYSE-99-48	Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. to Rescind Exchange Rule 390; Commission Request for Comment on Issues Relating to Market Fragmentation *Comments Due:* on the NYSE's proposed rescission of Rule 390 should be submitted by March 20, 2000 View Received Comments See Also - SR-NYSE-99-48 Comments received electronically are available Federal Register version (65 FR 10577)
34-42360	Jan. 28, 2000	4-430	Order Directing the Exchanges and the National Association of Securities Dealers, Inc. To Submit a Decimalization Implementation Plan Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 View Received Comments See Also - 4-430 Comments received electronically are available Federal Register version (65 FR 5003)
34-42331	Jan. 12, 2000	S7-02-00	List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* February 15, 2000 Federal Register version (65 FR 3399)
PA-28	Dec. 2, 1999	S7-27-99	Privacy Act of 1974: Notice of Modifications to a System of Records and the Establishment of a New System of Records Federal Register version (64 FR 69051)
34-42042	Oct. 20, 1999	10-127	International Securities Exchange LLC; Notice of Filing of Amendment No. 1 to the Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 *Comments Due:* 21 days after date of publication in the Federal Register Federal Register version (64 FR 57668)
34-41439	May 24, 1999	10-127	International Securities Exchange LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 *Comments Due:* 45 days after date of publication in the Federal Register View Received Comments See Also - 45 days after date of publication in the Federal Register Comments received electronically are available Federal Register version (64 FR 29367)
34-41384	May 10, 1999		List of Foreign Issuers Which Have Submitted Information Under the Exemption Relating to Certain Foreign Securities Federal Register version (64 FR 26795)
PA-26	April 14, 1999	S7-13-99	Privacy Act of 1974: Establishment of Two Systems of Records: Disgorgement and Penalties Tracking System (SEC-47) and Fitness Center Membership, Payment, and Fitness Records (SEC-48) Federal Register version (64 FR 19840)
34-41288, FOIA-190, PA-27	April 14, 1999	S7-14-99	Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules Federal Register version (64 FR 19732)
34-41288, FOIA-190, PA-27	April 14, 1999	S7-14-99	Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules Federal Register version (64 FR 19732)
34-41288, FOIA-190, PA-27	April 14, 1999	S7-14-99	Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules Federal Register version (64 FR 19732)
33-7664	March 31, 1999	S7-12-99	Securities Uniformity; Annual Conference on Uniformity of Securities Laws Federal Register version (64 FR 17042)
34-41199	March 22, 1999	10-126	Tradepoint Financial Networks plc; Order Granting Limited Volume Exemption From Registration as an Exchange Under Section 5 of the Securities Exchange Act Federal Register version (64 FR 14953)
33-7618	Dec. 23, 1998	S7-32-98	List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* February 15, 1999 Federal Register version (63 FR 72217)
34-40161	July 2, 1998	10-101	Tradepoint Financial Networks plc; Notice of Application for Limited Volume Exemption From Registration as an Exchange Under Section 5 of the Securities Exchange Act *Comments Due:* 30 days after publication in Federal Register View Received Comments See Also - Comments received electronically are available Federal Register version (63 FR 37146) Note: Comments received electronically are available
PA-25	July 2, 1998	S7-21-98	Privacy Act of 1974: Establishment of Three New Systems of Records: Ridesharing System (SEC-44); Public Transportation Subsidy Program (SEC-45); and Identification Cards, Press Passes, and Proximity Access Control Cards (SEC-46) *Comments Due:* 30 days after publication in Federal Register Federal Register version (63 FR 37423)
33-7524	April 9, 1998	S7-11-98	Securities Uniformity; Annual Conference on Uniformity of Securities Laws *Comments Due:* Conference to be held May 4, 1998; written comments must be received on or before April 29, 1998 to be considered by the conference participants Federal Register version (63 FR 18470)
IA-1705	March 9, 1998		Notice of Intention to Cancel Registrations of Certain Investment Advisers Federal Register version (63 FR 12526)
PA-23	March 5, 1998		Privacy Act of 1974: Modification of a Privacy Act System of Records Federal Register version (63 FR 11938)
PA-24	March 5, 1998	S7-6-98	Notice of Bureau of Land Management Implementation of Recreation Resource Advisory Committee Provisions of the Federal Lands Recreation Enhancement Act Federal Register version (77 FR 5048)
34-39681	Feb. 19, 1998		List of Foreign Issuers Which Have Submitted Information Under the Exemption Relating to Certain Foreign Securities Federal Register version (63 FR 9879)
No release number 2	Oct. 29, 1997		Charitable Giving by Public Companies (Invitation for Comments) *Comments Due:* November 12, 1997
34-39016	Sept. 4, 1997	S7-23-97	Privacy Act of 1974: Major Alterations to the Agency Correspondence Tracking System (ACTS) (SEC-29) and the Office of Personnel Training Files (SEC-40) *Comments Due:* 30 days after publication in Federal Register Federal Register version (62 FR 47887)
PA-20	Sept. 4, 1997		Privacy Act of 1974: Deletion, Modification, and Redesignation of Privacy Act Systems of Records Federal Register version (62 FR 47884)
34-39017	Sept. 4, 1997	S7-24-97	Privacy Act of 1974: Establishment of a New System of Records: Confidential Treatment Request Imaging System (SEC-26) *Comments Due:* 30 days after publication in Federal Register Federal Register version (62 FR 47889)
No release number 1	July 16, 1997	S7-20-97	Securities Uniformity (Invitation to Participate in NSMIA Uniformity Study Survey)
34-38810	July 1, 1997	600-30	Emerging Markets Clearing Corporation; Notice of Filing of Application for Registration as a Clearing Agency Federal Register version (62 FR 37093)
33-7413	April 4, 1997	S7-15-97	Securities Uniformity; Annual Conference on Uniformity of Securities Laws *Comments Due:* April 23, 1997 View Received Comments See Also - Comments received electronically are available Federal Register version (62 FR 17653) Note: Comments received electronically are available
34-38235	Feb. 4, 1997		List of Foreign Issuers Which Have Submitted Information Required by the Exemption Relating to Certain Foreign Securities Federal Register version (62 FR 6018)
34-38156	Jan. 10, 1997	SR-NASD-96-43	National Association of Securities Dealers, Inc.; Order Granting Partial Approval and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change Relating to Implementation of the Commission's Order Handling Rules Federal Register version (62 FR 2415)
34-37302	June 11, 1996	SR-NASD-95-42	Notice of Filing of Amendment No. 2 to Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to the NAqcess System and Accompanying Rules of Fair Practice View Received Comments See Also - 3437302.shtml, Comments received electronically are available Federal Register version (61 FR 31574)
33-7277	April 3, 1996	S7-9-96	Securities Uniformity; Annual Conference on Uniformity of Securities Law *Comments Due:* April 25, 1996 View Received Comments See Also - Comments received electronically are available Federal Register version (61 FR 15847) Note: Comments received electronically are available
34-37009	March 22, 1996	S7-8-96	Study and Report on Protections for Senior Citizens and Qualified Retirement Plans *Comments Due:* April 30, 1996 View Received Comments See Also - Comments received electronically are available Federal Register version (61 FR 13906) Note: Comments received electronically are available
33-7231	Oct. 5, 1995		Electronic Filing of Forms 3, 4, 5, and 144 Federal Register version (60 FR 53474)

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