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Other Commission Orders, Notices, and Information
Archive of older SEC Commission Orders, Notices and Information available include:
Third Quarter | Second Quarter | First Quarter
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
| Release No. |
Date |
Details |
| Third Quarter |
| 34-58485 |
Sep. 8, 2008 |
Notice of Filing of Proposed Minor Rule Violation Plan
File No.: 4-568
Comments Due: 30 days after publication in the Federal Register
 Submit comments on 4-568
|
| 33-8955 |
Sep. 5, 2008 |
Prudential Financial, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
|
| 34-58375 |
Aug. 18, 2008 |
BATS Exchange, Inc. (Findings, Opinion, and Order of the Commission)
File No.: 10-182
See also: Notice: Rel. No. 34-57322
|
| 34-58350 |
Aug. 13, 2008 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, Boston Stock Exchange, Inc., CBOE Stock Exchange, LLC, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE Arca Inc., NYSE Regulation, Inc., and Philadelphia Stock Exchange, Inc.
File No.: 4-566
Comments Due: September 8, 2008
Submit comments on 4-566
|
| 33-8947 |
Jul. 29, 2008 |
Roundtable on International Financial Reporting Standards
Other Release No.: 34-58236
File No.: 4-564
Comments Due: August 11, 2008
Comments received are available for this notice.
Submit comments on 4-564
|
| 34-58248 |
Jul. 29, 2008 |
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
|
| 34-58190 |
Jul. 18, 2008 |
Amendment to Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
File No.: S7-20-08
See also: Guidance Regarding Emergency Order
Comments received are available for this notice.
Submit comments on S7-20-08
|
| 34-58172 |
Jul. 16, 2008 |
Canadian Derivatives Clearing Corporation (Order Approving Accelerated Distribution of an Amended Options Disclosure Document)
File No.: SR-ODD-2008-03
|
| 34-58166 |
Jul. 15, 2008 |
Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments
|
| 33-8942 |
Jul. 11, 2008 |
Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.: 34-58146
File No.: 265-24
Comments Due: July 22, 2008
Comments received are available for this notice.
Submit comments on 265-24
|
| 33-8941 |
Jul. 3, 2008 |
Notice: Roundtable on Fair Value Accounting Standards
Comments received are available for this notice.
Submit comments on 4-560
|
| Second Quarter |
| No Number |
Jun. 27, 2008 |
Certification of Questions of Law Arising From Rule 14a-8 Proposal by Shareholder of CA, Inc.
See also: Attachment A, Attachment B, Attachment C
|
| 34-58001 |
Jun. 23, 2008 |
Order Granting Temporary Exemption of Realpoint LLC from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) under the Securities Exchange Act of 1934
|
| 34-58000 |
Jun. 23, 2008 |
Order Granting Registration of Realpoint LLC as a Nationally Recognized Statistical Rating Organization
|
| 33-8932 |
Jun. 19, 2008 |
Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.: 34-57990
File No.: 265-24
Comments Due: July 3, 2008
Comments received are available for this notice.
Submit comments on 265-24
|
| 34-57987 |
Jun. 18, 2008 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, the NYSE Arca, Inc., The NASDAQ Stock Market LLC, and the Philadelphia Stock Exchange, Inc.
File No.: S7-966
Comments Due: 21 days from publication in the Federal Register
Submit comments on S7-966
|
| 34-57949 |
Jun. 11, 2008 |
Fixed Income Clearing Corporation (Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency)
File No.: 600-23
Comments Due: July 9, 2008
Submit comments on 600-23
|
| 33-8927 |
Jun. 5, 2008 |
International Roundtable on Interactive Data for Public Financial Reporting
Other Release No.: 34-57929
File No.: 4-559
Comments Due: August 1, 2008
Comments received are available for this notice.
Submit comments on S7-11-08
|
| 34-57917 |
June 4, 2008 |
NYSE Arca, Inc. (Notice of Proposed Order Approving Proposal by NYSE Arca, Inc. To Establish Fees for Certain Market Data and Request for Comment)
Comments Due: July 10, 2008
Comments received are available for this notice.
Submit comments on 34-57917
Additional Materials:
|
| 33-8920 |
May 27, 2008 |
First Southwest Company (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-13046
|
| 33-8918 |
May 15, 2008 |
Subcommittee Reports of the SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.: 34-57819
File No.: 265-24
Comments Due: June 23, 2008
Comments received are available for this notice.
Submit comments on 265-24
|
| 33-8916 |
May 2, 2008 |
Order Making Fiscal Year 2009 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
Other Release No.: 34-57766
|
| 33-8915 |
May 1, 2008 |
Banc of America Investment Services, Inc. and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Order Under Rule 602(e) of The Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-13030
|
| 33-8914A |
May 1, 2008 |
Banc of America Investment Services, Inc., and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC (Corrected Order Under Section 27(A)(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 as to Banc of America Investment Services, Inc., Columbia Management Advisors, LLC, and Their Affiliates)
Other Release No.: 34-57749A
File No.: 3-13030
|
| IA-2732 |
Apr. 30, 2008 |
Kenneth W. Corba (Order Granting Consent to Associate Pursuant to Section 203(F) of the Investment Advisers Act Of 1940)
|
| 33-8911 |
Apr. 24, 2008 |
Gabelli Funds 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)
Other Release No.: 34-57708
File No.: 3-13019
|
| 33-8910 |
Apr. 15, 2008 |
Room Change for Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.: 34-57669
File No.: 265-24
|
| 34-57649 |
Apr. 11, 2008 |
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 (Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.)
File No.: 4-551
Comments Due: May 8, 2008
Submit comments on 4-551
|
| 34-57648 |
Apr. 11, 2008 |
Order of Summary Abrogation of a Proposed Rule Change Relating to its “Primary Only” Order Type
File No.: SR-NYSEArca-2008-19
See also: Notice: Rel. No. 34-57377
|
| 33-8908 |
Apr. 9, 2008 |
Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.: 34-57638
File No.: 265-24
Comments Due: April 25, 2008
Comments received are available for this notice.
Submit comments on 265-24
|
| 34-57613 |
Apr. 3, 2008 |
Boston Stock Exchange (Declaration of Effectiveness of the Boston Stock Exchange Fingerprinting Plan) |
| First Quarter |
| 33-8907 |
Mar. 27, 2008 |
JPMorgan Chase & 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)
Other Release No.: 34-57571
File No.: 3-13000
|
| 33-8905 |
Mar. 21, 2008 |
Regulatory Flexibility Agenda
Other Release Nos.: 34-57544, IA-2723, IC-29198
File No.: S7-09-08
Comments Due: June 30, 2008
Submit comments on S7-09-08
|
| 34-57481 |
Mar. 12, 2008 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange, LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
File No.: S7-966
Comments Due: April 8, 2008
Submit comments on S7-966
|
| 34-57407 |
Feb. 29, 2008 |
Fee Rate Adjustment (Order Making Fiscal 2008 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934)
|
| 33-8897 |
Feb. 21, 2008 |
Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.: 34-57364
File No.: 265-24
Comments Due: March 6, 2008
Comments received are available for this notice.
Submit comments on 265-24
|
| 33-8896 |
Feb. 14, 2008 |
Progress Report of the SEC Advisory Committee on Improvements to Financial Reporting (Request for Comments)
Other Release No.: 34-57331
File No.: 265-24
Comments Due: March 31, 5008
Comments received are available for this notice.
Submit comments on 265-24
|
| 34-57322 |
Feb. 13, 2008 |
BATS Exchange, Inc. (Notice of Filing of Application and Amendment No. 1 Thereto for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934)
File No.: 10-182
Comments Due: April 7, 2008
See also: Order: Rel. No. 34-58375; Form 1 Application and Exhibits
Comments received are available for this notice.
|
| 33-8893 |
Feb. 13, 2008 |
Order Regarding Review Of FASB Accounting Support Fee for 2008 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-57319
|
| 34-57308 |
Feb. 11, 2008 |
Notice of Solicitation of Public Views Regarding Practices Being Developed to Deal with the Increasing Number of Senior Investors
File No.: S7-03-08
Comments Due: April 1, 2008
Comments received are available for this notice.
|
| IA-2702 |
Feb. 11, 2008 |
Timothy J. Miller (Order Granting Consent to Associate)
|
| 34-57301 |
Feb. 11, 2008 |
Order Granting Temporary Exemption of LACE Financial Corp. from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) of the Securities Exchange Act of 1934
See also: Release No. 34-57300
|
| 34-57300 |
Feb. 11, 2008 |
Order Granting Registration Of LACE Financial Corp. As A Nationally Recognized Statistical Rating Organization
See also: Release No. 34-57301
|
| 34-57235 |
Jan. 30, 2008 |
Frederick H. Joseph (Order Approving Application for Relief from a Statutory Disqualification)
|
| 33-8882 |
Jan. 16, 2008 |
Advisory Committee on Improvements to Financial Reporting (Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting)
Other Release No.: 34-57162
File No.: 265-24
Comments Due: February 4, 2008
Comments received are available for this notice.
Submit comments on 265-24
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