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Other Commission Orders, Notices,
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| Release No. | Date | Details |
| 34-50489 | Oct. 5, 2004 | Order Approving Application for Relief from a Statutory Disqualification |
| 33-8491 | Sep. 24, 2004 | Regulatory Flexibility Agenda Other Release Nos.: 34-50445, 35-27893, 39-2427, IA-2306, IC-26621 File No.: S7-34-04 Comments Due: Comments should be received on or before December 30, 2004.  Click to submit comments on S7-34-04 |
| 33-8495 | Sep. 24, 2004 | Thomas Weisel Partners 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 and Section 21E(b)(1)(A)(ii) of the Exchange Act |
| 33-8494 | Sep. 24, 2004 | Thomas Weisel Partners LLC: Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rules 602(b)(4) and 602(c)(2) |
| 33-8493 | Sep. 24, 2004 | Deutsche Bank Securities 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 |
| 33-8492 | Sep. 24, 2004 | Deutsche Bank Securities Inc: Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions Of Rules 602(b)(4) and 602(c)(2) |
| 34-50375 | Sep. 14, 2004 | Order Granting Approval of Amendment No. 13C to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis; Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc. File No.: S7-24-89 |
| 33-8488 | Sep. 14, 2004 | 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 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 Other Release No.: 34-50371 |
| 33-8478 | Aug. 26, 2004 | Donaldson, Lufkin & Jenrette Securities Corp., predecessor in interest to Credit Suisse First Boston LLC |
| 33-8476 | Aug. 25, 2004 | Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rule 602(C)(3) |
| 33-8473 | Aug. 25, 2004 | Order Under Rule 602(E) of the Securities Act of 1933 Granting Waiver of the Disqualification Provisions of Rule 602(C)(3) |
| 33-8471 | Aug. 25, 2004 | Order Under Rule 602(E) of the Securities Act of 1933 Granting Waiver of the Disqualification Provisions of Rule 602(C)(3) |
| 33-8470 | Aug. 25, 2004 | Order Under Section 27a(B) of the Securities Act of 1933, and Section 21e(B) of the Securities Exchange Act 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 Other Release No.: 34-50249 |
| 33-8468 | Aug. 25, 2004 | Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rule 602(C)(3) |
| 33-8467 | Aug. 25, 2004 | 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 Respondet Other Release No.: 34-50247 |
| 33-8465 | Aug. 25, 2004 | Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rule 602(C)(3) |
| 33-8464 | Aug. 25, 2004 | 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 Respondet Other Release No.: 34-50245 |
| 33-8463 | Aug. 25, 2004 | Order Under Section 27a(B) of the Securities Act Of 1933, and Section 21e(B) of yhe Securities Exchange Act Of 1934, Granting Waivers of the Provisions of Section 27a(B)(1)(A)(Ii) of the Securities Act and Section 21e(B)(1)(A)(Ii) of the Exchange Act Other Release No.: 34-50244 |
| 33-8462 | Aug. 25, 2004 | Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provisions of Rule 602(C)(3) |
| 34-50206 | Aug. 17, 2004 | Order Denying Requests for Confidential Treatment |
| 33-8453 | Aug. 3, 2004 | Fidelity Brokerage Services, LLC (Order Granting Waiver) See also: 34-50138 |
| 34-50104 | Jul. 28, 2004 | Order Suspending the Operation of Short Sale Price Provisions for Designated Securities and Time Periods See also: Final Rule Release No. 34-50103 |
| 33-8451 | Jul. 27, 2004 | List of Rules to Be Reviewed Pursuant to the Regulatory Flexibility Act Other Release Nos.: 34-50094, 35-27877, 39-2422, IA-2268, IC-26521 File No.: File No. S7-31-04 Comments Due: Comments should be received on or before September 1, 2004. Click to submit comments on S7-31-04
|
| 34-50020 | Jul. 14, 2004 | Extension of Order Regarding Broker-Dealer Financial Statement Requirements under Section 17 of the Exchange Act See also: 34-48281 |
| 34-49969 | Jul. 2, 2004 | Joint Industry Plan; Order Approving Joint Amendment No. 11 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Processing of Satisfaction Orders File No.: 4-429 |
| 34-49885 | Jun. 17, 2004 | Joint Industry Plan; Order Approving Joint Amendment No. 10 to the Plan for the Purpose of Creating and Operating an Intermarket Options Linkage Relating to the Handling of Principal Acting as Agent Orders File No.: 4-429 |
| 34-49863 | Jun. 15, 2004 | Joint Industry Plan; Order Approving Joint Amendment No. 12 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day File No.: 4-429 |
| 34-49859 | Jun. 15, 2004 | Order Temporarily Exempting Standardized Options and Security Futures from Rule 12d2-2 under the Securities Exchange Act of 1934 |
| 34-49846 | Jun. 10, 2004 | List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities Other No.: International Series Release No. 1277 |
| 34-49669A | May 28, 2004 | Joint Industry Plan; Notice of Filing and Summary Effectiveness of Amendment No. 13C to the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis; Submitted by the National Association of Securities Dealers, Inc., the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., the Pacific Exchange, Inc., the American Stock Exchange LLC, and the Philadelphia Stock Exchange, Inc. File No.: S7-24-89 See Also: 34-49669 Click to submit comments on S7-24-89
|
| SIPA-165 | May 26, 2004 | Order Affirming Determination by the Securities Investor Protection Corporation ("SIPC") that Swift Trade Securities USA Inc. is not a Member of SIPC |
| 34-49711 | May 14, 2004 | Joint Industry Plan; Order Granting Approval of Amendment No. 13A of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the National Association of Securities Dealers, Inc., the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., the Pacific Exchange, Inc., the American Stock Exchange LLC, and the Philadelphia Stock Exchange, Inc. File No.: S7-24-89 |
| 33-8421 | May 14, 2004 | Regulatory Flexibility Agenda File No.: S7-23-04 Comments due: Comments should be submitted on or before June 30, 2004. Click to submit comments on s7-23-04
|
| 34-49692 | May 12, 2004 | Joint Industry Plan; Notice of Filing of Joint Amendment No. 12 to the Options Intermarket Linkage Plan Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day File No.: 4-429 Comments due: June 9, 2004. Click to submit comments on 4-429
|
| 34-49691 | May 12, 2004 | Joint Industry Plan; Notice of Filing of Joint Amendment No. 11 to the Options Intermarket Linkage Plan Relating to the Handling of Satisfaction Orders File No.: 4-429 Comments due: June 9, 2004. Click to submit comments on 4-429
|
| 34-49689 | May 12, 2004 | Joint Industry Plan; Notice of Filing of Amendment No. 10 to the Plan of the Purpose of Creating and Operating an Intermarket Options Linkage Regarding the Handling of Principal Acting as Agent Orders File No.: 4-429 Comments due: June 9, 2004. Click to submit comments on 4-429
|
| 34-49669 | May 7, 2004 | Joint Industry Plan; Notice of Filing and Summary Effectiveness of Amendment No.13C to the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis; Submitted by the National Association of Securities Dealers, Inc., the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., the Pacific Exchange, Inc., the American Stock Exchange LLC, and the Philadelphia Stock Exchange, Inc. File No.: S7-24-89 See Also: 34-49669A Comments due: June 8, 2004. |
| 33-8418 | Apr. 30, 2004 | 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 Release No.: 34-49634 See also: Appendix A See also: Appendix B |
| 34-49511 | Mar. 31, 2004 | Regulation NMS: Change in Hearing Schedule File No.: S7-10-04 Hearing Date: April 21, 2004 See also: Release No. 34-49325 and Release No. 34-49408 |
| 34-49408 | Mar. 12, 2004 | Notice of Hearings: Regulation NMS File No.: S7-10-04 Requests to Testify Due: on or before March 22, 2004 Testimony Submissions Due: on or before March 26, 2004 Requests to testify are available for this notice. See also: Release No. 34-49325 |
| 35-27811 | Mar. 9, 2004 | Stephen Forbes Cooper, LLC PGE Trust; and Enron Corporation |
| 35-27810 | Mar. 9, 2004 | Memorandum Opinion and Order Approving Plan of Reorganization Under Section 11(f) and Issuing Report Under Section 11(g) |
| 35-27809 | Mar. 9, 2004 | Enron Corp., et al. Memorandum Opinion and Order Authorizing External and Intrasystem Financing and Related Transactions; Authorizing Service Agreements; and Reserving Jurisdiction |
| 34-49356 | Mar. 3, 2004 | 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 |
| 34-49332 | Feb. 27, 2004 | 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 |
| 33-8389 | Feb. 20, 2004 | Order Regarding Review of FASB Accounting Support Fee for 2004 Under Section 109 of The Sarbanes-Oxley Act of 2002 |
| 33-8385 | Feb. 12, 2004 | H. D. Vest Investment Securities, Inc. (Order Granting Waiver) |
| 33-8384 | Feb. 12, 2004 | H. D. Vest Investment Securities, Inc. (Order Granting Waiver) Release No.: 34-49250 |
| 33-8382 | Feb. 12, 2004 | Wachovia Securities, LLC (Order Granting Waiver) |
| 33-8381 | Feb. 12, 2004 | Wachovia Securities, LLC (Order Granting Waiver) Release No.: 34-49238 |
| 33-8379 | Feb. 12, 2004 | UBS Financial Services Inc. (Order Granting Waiver) |
| 33-8378 | Feb. 12, 2004 | UBS Financial Services Inc. (Order Granting Waiver) Release No.: 34-49237 |
| 33-8376 | Feb. 12, 2004 | Raymond James Financial Services, Inc. (Order Granting Waiver) |
| 33-8375 | Feb. 12, 2004 | Raymond James Financial Services, Inc. (Order Granting Waiver) Release No.: 34-49235 |
| 33-8373 | Feb. 12, 2004 | Linsco/Private Ledger Corp. (Order Granting Waiver) |
| 33-8372 | Feb. 12, 2004 | Linsco/Private Ledger Corp. (Order Granting Waiver) Release No.: 34-49233 |
| 33-8370 | Feb. 12, 2004 | Legg Mason Wood Walker, Incorporated (Order Granting Waiver) |
| 33-8369 | Feb. 12, 2004 | Legg Mason Wood Walker, Incorporated (Order Granting Waiver) Release No.: 34-49231 |
| 33-8367 | Feb. 12, 2004 | American Express Financial Advisors Inc. (Order Granting Waiver) |
| 33-8366 | Feb. 12, 2004 | American Express Financial Advisors Inc. (Order Granting Waiver) Release No.: 34-49228 |
| 34-49211 | Feb. 9, 2004 | Notice of Roundtable Discussion and Request for Comment: Security Holder Director Nominations File No.: S7-19-03 Comments Due: Comments will be accepted from March 10, 2004 until March 31, 2004 |
| 35-27793 | Jan. 14, 2004 | 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 Federal Register PDF |
| 33-8352 | Dec. 29, 2003 | Canadian Imperial Bank of Commerce (Order Granting Waiver) Release No. 34-48999 |
| 33-8351 | Dec. 29, 2003 | Canadian Imperial Bank of Commerce (Order Granting Waiver) |
| 33-8332 | Oct. 31, 2003 | Goldman, Sachs & Co. (Order Granting Waiver) |
| 33-8331 | Oct. 31, 2003 | Lehman Brothers Inc. (Order Granting Waiver) |
| 33-8330 | Oct. 31, 2003 | J.P. Morgan Securities Inc. (Order Granting Waiver) |
| 33-8329 | Oct. 31, 2003 | U.S. Bancorp Piper Jaffray Inc. (Order Granting Waiver) |
| 33-8328 | Oct. 31, 2003 | U.S. Bancorp Piper Jaffray Inc. (Order Granting Waiver) Release No.: 34-48729 |
| 33-8327 | Oct. 31, 2003 | UBS Securities LLC, F/K/A, UBS Warburg LLC (Order Granting Waiver) |
| 33-8326 | Oct. 31, 2003 | UBS Securities LLC, F/K/A, UBS Warburg LLC (Order Granting Waiver) Release No.: 34-48728 |
| 33-8325 | Oct. 31, 2003 | Morgan Stanley & Co. Inc. (Order Granting Waiver) |
| 33-8324 | Oct. 31, 2003 | Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Order Granting Waiver) |
| 33-8323 | Oct. 31, 2003 | Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Order Granting Waiver) |
| 33-8322 | Oct. 31, 2003 | Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Order Granting Waiver) |
| 33-8321 | Oct. 31, 2003 | Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Order Granting Waiver) Release No.: 34-48726 |
| 33-8320 | Oct. 31, 2003 | Bear, Stearns & Co. Inc. (Order Granting Waiver) |
| 33-8319 | Oct. 31, 2003 | Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Granting Waiver) |
| 33-8318 | Oct. 31, 2003 | Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Granting Waiver) Release No.: 34-48723 |
| 33-8278 | Sep. 4, 2003 | Goldman, Sachs & Co.: Order under Rule 602(e) under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3) |
| 33-8277 | Sep. 4, 2003 | 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 of 1933 and Section 21e(b)(1)(A)(ii) of the Securities Exchange Act of 1934 Release No.: 34-48437 |
| 34-48368 | Aug. 20, 2003 | Berkshire Hathaway Inc.: Order Affirming the Determination of the Division of Investment Management to Deny Confidential Treatment |
| 34-48281 | Aug. 4, 2003 | Broker-Dealer Financial Statement Requirements under Section 17 of the Exchange Act See also: 34-50020 |
| 33-8263 | Aug. 1, 2003 | Order Regarding Review of FASB Accounting Support Fee under Section 109 of the Sarbanes-Oxley Act Of 2002 Release No.: 34-48277 |
| 34-48063 | June 19, 2003 | List of Foreign Issuers that Have Submitted Information Under the Exemption Relating to Certain Foreign Securities Release No.: International Series Release No. 1269 |
| 34-47950 | May 30, 2003 | 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 |
| 34-47778 | May 1, 2003 | Notice of Solicitation of Public Views Regarding Possible Changes to the Proxy Rules File No.: S7-10-03 Comments Due: Comments must be received on or before June 13, 2003. Comments received are available for this notice. See Also: Review of the Proxy Process and Appendix A - Summary of Comments |
| 33-8225 | Apr. 30, 2003 | 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 Release No.: 34-47768 |
| 33-8223 | Apr. 25, 2003 | Order Regarding Section 101(d) of the Sarbanes-Oxley Act of 2002 Release No.: 34-47746 |
| 33-8222 | Apr. 25, 2003 | Order Regarding Section 103(a)(3)(B) of the Sarbanes-Oxley Act of 2002 Release No.: 34-47745 |
| 34-47683 | Apr. 16, 2003 | Order Regarding the Collateral Broker-Dealer Must Pledge When Borrowing Customer Securities International Series Release No.: 1268 |
| 34-47649 | Apr. 8, 2003 | Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Broker" under Section 3(a)(4) of the Securities Exchange Act of 1934; Notice of Intent to Amend Rules File No.: S7-12-01 See also Final Rule, Rel. No. 34-44291 and comments; Other Rules, Rel. Nos. 34-46751, 34-45897, 34-44570, 34-44569 |
| 34-47591 | Mar. 28, 2003 | Regulation Analyst Certification File No.: S7-30-02 Effective Date: April 14, 2003. See also Final Rule, Rel. No. 33-8193 Proposed Rule, Rel. No. 33-8119 and comments |
| 34-47570 | Mar. 26, 2003 | Books and Records Requirements for Brokers and Dealers File No.: S7-26-98 Effective Date: May 2, 2003 |
| IA-2117 | Mar. 26, 2003 | Roundtable Discussions Relating to Hedge Funds File No.: 4-476 Comments Due: Comments must be received on or before April 30, 2003. Comments received are available for this notice. |
| 33-8207 | Mar. 17, 2003 | Notice: Securities Uniformity; Annual Conference on Uniformity of Securities Laws File No.: S7-05-03 Comments Due: April 3, 2003 Comments received are available for this notice. |
| 33-8206 | Mar. 17, 2003 | 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 Release No.: 34-47514 |
| 33-8205 | Mar. 17, 2003 | Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(b)(4) Release No.: 34-47513 |
| 34-47425 | Feb. 28, 2003 | 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 |
| 34-47375 | Feb. 19, 2003 | Relational Investors LLC; Order Declining to Review the Determination of the Division of Investment Management to Deny Confidential Treatment |
| 34-47319 | Feb. 5, 2003 | Order Exempting Options Specialists from Section 11(b) of the Securities Exchange Act of 1934 When Accepting Certain Types of Complex Orders |
| 34-47061 | Nov. 26, 2002 | Philadelphia Depository Trust Company; Notice of Request for Comment and Order Granting Request for Withdrawal from and Cancellation of Registration as Clearing Agency File No.: 600-19 |
| 34-46921 | Nov. 26, 2002 | Order Extending Broker-Dealer Exemption From Sending Financial Information to Customers |
| 34-46751 | Oct. 30, 2002 | Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Dealer" under Section 3(a)(5) of the Securities Exchange Act of 1934 File No.: S7-12-01 See also Final Rule, Rel. No. 34-44291 and comments; Other Rules, Rel. Nos. 34-47649, 34-45897, 34-44570, 34-44569 |
| 35-27574 | Oct. 7, 2002 | Applications of Enron Corp. for Exemptions Under the Public Utility Holding Company Act of 1935, (Nos. 70-9661 and 70-10056): Order Scheduling Hearing See also additional materials listed on the Enron Spotlight page. |
| IC-25729 | Sep. 13, 2002 | Notice of Application of The Mexico Fund, Inc. and Commission Statement |
| 4-464 | Aug. 29, 2002 | Order Requiring the Filing of Sworn Statements Pursuant to Section 21(a)(1) of the Securities Exchange Act of 1934 See also: Release No. 34-46429 |
| 34-46428 | Aug. 28, 2002 | De Minimis Exemption for Transactions in Certain Exchange-Traded Funds from the Trade-Through Provisions of the Intermarket Trading System |
| 34-46313 | Aug. 6, 2002 | Ownership Reports and Trading By Officers, Directors and Principal Security Holders File No.: S7-31-02 Comments Due: August 15, 2002. See also 33-8090 Comments received are available for this notice. |
| PA-32 | July 18, 2002 | Privacy Act of 1974 - Amended System of Records for Enforcement Files File No.: S7-27-02 Comments Due: 30 days after publication in the Federal Register. Effective Date: The amendments will take effect [40 days after publication in the Federal Register] unless the Commission receives comments that would require a different determination |
| File No. 4-460 | June 27, 2002 | Order Requiring the Filing of Sworn Statements Pursuant to Section 21(a)(1) of the Securities Exchange Act of 1934 File No.: 4-460 Exhibit A: Sworn Statement List of Companies Frequently Asked Questions |
| 34-46090 | June 19, 2002 | 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 |
| 35-27539 | June 14, 2002 | 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 | June 12, 2002 | Notice of Application of Evangelical Christian Credit Union for Exemptive Relief Under Sections 15 and 36 of the Exchange Act and Request for Comment See Application (Application in PDF format.) Comments due: July 18, 2002. |
| 34-46015 | May 31, 2002 | 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 |
| 34-46009 | May 31, 2002 | 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 |
| 34-45897 | May 8, 2002 | Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definitions of "Broker" and "Dealer" under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934; Notice of Intent to Amend Rules
File No.: S7-12-01 See also Final Rule, Rel. No. 34-44291 and comments; Other Rules, Rel. Nos. 34-47649, 34-46751, 34-44570, 34-44569 |
| 34-45855 | May 1, 2002 | List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities |
| 34-45654 | Mar. 27, 2002 | Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule File No.: S7-17-00 See also Final Rule, Rel. No. 34-44852 Proposed Rule, Rel. No. 34-43085 and comments |
| 33-8072 | Mar. 20, 2002 | Securities Uniformity; Annual Conference on Uniformity of Securities Laws File No.: S7-04-02 Comments received are available for this notice. | 34-45489 | Mar. 1, 2002 | 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 |
| 33-8056 | Jan. 22, 2002 | Commission Statement about Management's Discussion and Analysis of Financial Condition and Results of Operations Release Nos.: 34-45321; FR-61 |
| 33-8040 | Dec. 12, 2001 | Cautionary Advice Regarding Disclosure About Critical Accounting Policies Release Nos.: 34-45149; FR-60 (Release also available in PDF format) |
| 33-8039 | Dec. 4, 2001 | Cautionary Advice Regarding the Use of "Pro Forma" Financial Information in Earnings Releases Release Nos.: 34-45124, FR-59 |
| 33-8028 | Oct. 25, 2001 | Statements Concerning the Order Declaring Effective the Registration Statement of The American Life Separate Account 5 of The American Life Insurance Company of New York |
| 33-8027 | Oct. 25, 2001 | Order Pursuant to Section 8(a) of the Securities Act of 1933, as Amended, Declaring the Registration Statement Effective: The American Separate Account 5 of the American Life Insurance Company of New York |
| 34-44916 | Oct. 10, 2001 | Order Regarding Government Securities Reconciliations |
| 34-44874 | Sept. 28, 2001 | Exemptive Order Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 Issuing Exemptive Relief to Respond to Market Developments |
| 34-44871 | Sept. 28, 2001 | Order Regarding Government Securities Reconciliations |
| 34-44846 | Sept. 25, 2001 | Order Extending the Deadline for Amex et al. to Submit Rule Filings Concerning the Implementation of Decimal Pricing in Equity Securities and Options File No.: 4-430 |
| 34-44839 | Sept. 24, 2001 | Order Regarding Government Securities Reconciliations |
| 34-44828 | Sept. 21, 2001 | 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 Concerning the American Stock Exchange LLC |
| IC-25165 | Sept. 21, 2001 | 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 | Sept. 21, 2001 | 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 |
| 34-44797 | Sept. 16, 2001 | Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments Concerning the American Stock Exchange LLC |
| 34-44791 | Sept. 14, 2001 | Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond To Market Developments |
| IC-25156 | Sept. 14, 2001 | Order Under Sections 6(c), 17(d) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Certain Provisions of the Act and Certain Rules Thereunder |
| File No. 4-442 | Aug. 23, 2001 | Letter in response to Petition for Rulemaking from Investment Company Institute File No.: 4-442 |
| 34-44731 | Aug. 21, 2001 | Order Granting Temporary Exemption of Certain Futures Commission Merchants and Introducing Brokers from the Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 Note: Also Available in PDF Format: 34-44731 |
| 34-44729 | Aug. 21, 2001 | Order Granting Temporary Exemption to Certain Persons Engaging in Security Futures Product Transactions |
| 34-44725 | Aug. 20, 2001 | 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 |
| 34-44625 | Jul. 31, 2001 | 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 File No.: 10-131 |
| 34-44570 | Jul. 18, 2001 | Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definitions of "Broker" and "Dealer" Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934; Notice of Intent to Amend Rules File No.: S7-12-01 See also Final Rule, Rel. No. 34-44291 and comments; Other Rules, Rel. Nos. 34-47649, 34-46751, 34-45897, 34-44569 |
| 34-44569 | Jul. 18, 2001 | 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 File No.: S7-12-01 Comments Due: On or before September 4, 2001 See also Final Rule, Rel. No. 34-44291 and comments; Other Rules, Rel. Nos. 34-47649, 34-46751, 34-45897, 34-44570 |
| 34-44396 | Jun. 7, 2001 | 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 File No.: 10-131 Comments Due: 45 days after publication in the Federal Register Note: Comments received electronically are available for this notice. |
| 34-44177 | Apr. 12, 2001 | Joint Industry Plan; Order Approving Plan Establishing Procedures Under Rule 11Ac1-5 by AMEX, BSE, CHX, CSE, NASD, NYSE, PCX, and Phlx | 33-7964 | Mar. 23, 2001 | Notice: Securities Uniformity; Annual Conference on Uniformity of Securities Laws File No.: S7-08-01 Comments Due: April 25, 2001 Note: Comments received electronically are available for this notice. |
| 34-43992 | Feb. 21, 2001 | Joint Industry Plan; Notice of Filing of Proposed Plan Establishing Procedures under Rule 11Ac1-5 |
| No release number | Feb. 9, 2001 | Letter to industry regarding T + 1, by Chairman Arthur Levitt |
| 34-43909 | Jan. 31, 2001 | Notice: In the Matter of Berkshire Hathaway, Inc. |
| PA-31 | Jan. 19, 2001 | Privacy Act of 1974 – Notice of Modifications to a System of Records and Establishment of a New System of Records: Changes to "Applications for Registration or Exemption Under the Investment Advisers Act of 1940 and the Investment Company Act of 1940" (SEC-2), Resulting in a New System – "Investment Adviser Records " (SEC-50) File No.: S7-02-01 Note: Comments received electronically are available for this notice. |
| 34-43142 | Aug. 10, 2000 | Notice: In the Matter of Berkshire Hathaway, Inc |
| PA-29 | Jul. 28, 2000 | Notice: Establishment of a New System of Records, Child Care Subsidy Program |
| IA-1888 | Jul. 28, 2000 | Notice and Order: Designation of NASD Regulation, Inc. to Establish and Maintain the Investment Adviser Registration Depository; Approval of IARD Fees |
| No release number | Jul. 26, 2000 | Decimals Implementation Plan for the Equities and Options Markets, Exchange Committee on Decimals Submitted July 24, 2000 |
| 35-27816 | Jun. 14, 2000 | Order Authorizing Acquisition of Registered Holding Company and Related Transactions; Approving Amended Service Agreements; and Denying Requests for Hearing File No.: 70-9381 |
| 34-42914 | Jun. 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. June 8, 2000 |
| 34-42906 | Jun. 7, 2000 | In the Matter of the Investment Dealers Association of Canada; Order Granting Exemption International Series Release No. 1227 |
| IA-1869 | Apr. 27, 2000 | Roundtable on Investment Adviser Regulatory Issues File No.: 4-433 Notes: Comments received electronically are available for this notice. |
| 34-42685 | Apr. 13, 2000 | Order Staying the Deadlines for Decimal Implementation and Notice of Request for Comment on Revised Decimal Implementation Schedule File No.: 4-430 Note: Comments received electronically are available for this notice. |
| 35-27154 | Mar. 15, 2000 | National Grid Group plc Acquisition of New England Electric System International Series Release No. 1217; 70-9473 and 70-9519 |
| 33-7808 | Mar. 10, 2000 | Securities Uniformity; Annual Conference on Uniformity of Securities Laws (meeting date: April 3, 2000) File No.: S7-08-00 |
| 34-42516 | Mar. 10, 2000 | Order extending the deadline for compliance with portions of the Commission's January 28, 2000, 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 |
| 34-42455 | Feb. 24, 2000 | Findings, Opinion and Order of the Commission; In the Matter of the Application of the International Securities Exchange LLC for Registration as a National Securities Exchange Granted February 24, 2000 |
| 34-42360 | Jan. 28, 2000 | 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 File No.: 4-430 Comments received electronically are available for this notice. |
| 34-42331 | Jan. 12, 2000 | List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 33-7790, 35-27125, 39-2381, IC-24238, IA-1850 File No.: S7-02-00 Comments Due: February 15, 2000 |
| PA-28 | Dec. 2, 1999 | Privacy Act of 1974 – Notice of Modifications to a System of Records and the Establishment of a New System of Records: Applications for Registration or Exemption under the Investment Advisers Act of 1940 and the Investment Company Act of 1940 (SEC-2), Pay and Leave System (SEC-15), and Broker-Dealer Records (SEC-49) File No.: S7-27-99 |
| 34-42042 | Oct. 20, 1999 | 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 File No.: 10-127 Comments Due: 21 days after date of publication in the Federal Register |
| 34-41439 | May 24, 1999 | 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 File No.: 10-127 Comments Due: 45 days after date of publication in the Federal Register Comments received electronically are available for this notice. |
| 34-41384 | May 10, 1999 | List of Foreign Issuers Which Have Submitted Information Under the Exemption Relating to Certain Foreign Securities International Series Release No. 1196 |
| PA-26 | Apr. 14, 1999 | 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) File No.: S7-13-99 |
| 33-7664 | Mar. 31, 1999 | Securities Uniformity; Annual Conference on Uniformity of Securities (meeting date: April 19, 1999) |
| 34-41199 | Mar. 22, 1999 | Tradepoint Financial Networks plc; Order Granting Limited Volume Exemption from Registration as an Exchange Under Section 5 of the Securities Exchange Act International Series Release No. 1189 File No.: 10-126 |
| 33-7618 | Dec. 23, 1998 | List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: February 15, 1999 |
| PA-25 | Jul. 2, 1998 | Privacy Act Notice: 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) File No.: S7-21-98 Comments Due: 30 days after publication in Federal Register Effective Date: 40 days after publication, unless further notice is given |
| 34-40161 | Jul. 2, 1998 | Notice of Application for Limited Volume Exemption From Registration as an Exchange Under Section 5 of the Securities Exchange Act: Tradepoint Financial Networks plc; request for comments International Ser. Rel. No. 1144 File No.: 10-101 Comments Due: 30 days after publication in Federal Register Note: Comments received electronically are available for this notice. |
| 33-7524 | Apr. 9, 1998 | Notice on Annual Conference on Uniformity of Securities Laws; request for comments File No.: S7-11-98 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 |
| IA-1705 | Mar. 9, 1998 | Notice of Intention to Cancel Registrations of Certain Investment Advisers |
| 34-39681 | Feb. 19, 1998 | List of Foreign Issuers That Have Claimed Exemptions from the Registration Provisions of Section 12(g) of the Securities and Exchange Act of 1934 Pursuant to Rule 12g3-2(b) |
| No release number | Oct. 29, 1997 | Invitation for Comments: Charitable Giving by Public Companies Comments Due: November 12, 1997 |
| PA-20 | Sep. 4, 1997 | Deletion, Modification, and Redesignation of Privacy Act Systems of Records Effective Date: upon publication in Federal Register |
| 34-39016 | Sep. 4, 1997 | Major Alterations to the Agency Correspondence Tracking System (ACTS) (SEC-29) and the Office of Personnel Training Files (SEC-40) Effective Date: 40 days after publication Comments Due: 30 days after publication in Federal Register |
| 34-39017 | Sep. 4, 1997 | Establishment of a New System of Records: Confidential Treatment Request Imaging System (SEC-26) Effective Date: 40 days after publication Comments Due: 30 days after publication in Federal Register |
| No release number | Jul. 16, 1997 | Invitation to Participate in NSMIA Uniformity Study Survey for Securities Issuers, Underwriters, Broker-dealers, Securities Lawyers File No.: S7-20-97 |
| 34-38810 | Jul. 1, 1997 | Emerging Markets Clearing Corporation; Notice of Filing of Application for Registration as a Clearing Agency |
| 33-7413 | Apr. 4, 1997 | Notice - Securities Uniformity; Annual Conference on Uniformity of Securities Laws File No.: S7-15-97 Comments Due: April 23, 1997 Note: Comments received electronically are available for this announcement. |
| 34-38235 | Feb. 4, 1997 | Notice - List of Foreign Issuers Which Have Submitted Information Required by the Exemption Relating to Certain Foreign Securities Release No.: International Series Release No. 1048 |
| 34-38156 | Jan. 10, 1997 | Order Approving NASD Rule Change Relating to Implementation of Commission's Order Handling Rules File No.: SR-NASD-96-43 |
| 34-37302 | Jun. 11, 1996 | Notice of Filing of Amendment No. 2 Relating to Naqcess System and Accompanying Rules of Practice File No.: SR-NASD-95-42 Note: Multiple files; click here to retrieve listing). Comments received electronically are available for this proposal. |
| 33-7277 | Apr. 3, 1996 | Notice - Securities Uniformity; Annual Conference on Uniformity of Securities Law File No.: S7-9-96 Comments Due: April 25, 1996 Note: Comments received electronically are available for this notice. |
| 34-37009 | Mar. 22, 1996 | Notice - Request for Comments: Study and Report on Protections for Senior Citizens and Qualified Retirement Plans File No.: S7-8-96 Comments Due: April 30, 1996. Note: Comments received electronically are available for this notice. |
| 33-7231 | Oct. 5, 1995 | Electronic Filing of Forms 3, 4, 5 and 144; 34-36337; IC-21395 |
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