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Division of Corporation Finance
No-Action, Interpretive and Exemptive Letters
Important Note: This page contains Division of Corporation Finance
no-action, interpretive and exemptive letters dated after January 15, 2002. You may submit a request for copies of Division of Corporation Finance no-action, interpretive and exemptive letters issued before that date. Selected letters issued before January 15, 2002 may appear in other locations on this website.
Please also note that no-action letters issued under Exchange Act Rule 14a-8 are located here.
Subject Categories
Subject Category List of No-Action Letters
Alphabetical List of No-Action Letters
Chronological List of No-Action Letters
Securities Act of 1933
Securities Exchange Act of 1934
Subject Category List of No-Action Letters |
Regulation AB
Item 1101
Regulation S-K
Item 201
Item 601
Securities Act of 1933
Section 2(a)(1) - Definition of a security
- Midwest Real Estate Data LLC, August 18, 2008
- Missouri Bankers Association, August 18, 2008
- Vail Resorts, Inc., April 25, 2007
- Erica Enders Racing, LLC, November 21, 2006
- Fidelity Life Association, October 18, 2006
- Handy Hardware Wholesale, Inc., June 29, 2006
- San Francisco Baseball Associates L.P., February 24, 2006
- Western & Southern Mutual Holding Company; Lafayette Life MIHC, Inc., March 4, 2005
- Employers Insurance Company of Nevada, December 2, 2004
- Liberty National Golf Club, March 29, 2004
- Las Sendas Golf Club, Inc., March 2, 2004
- Pacific Exchange, Inc., December 23, 2003
- Ticket Reserve, Inc., September 11, 2003
- Olohana Golf Club, Inc., July 31, 2003
- Northwest Physicians Mutual Insurance Company, July 2, 2003
- Millers Mutual Insurance Association, February 20, 2003
- Tuition Plan Consortium, LLP, February 4, 2003
- Milwaukee Mutual Insurance Company, January 30, 2003
- Intrawest Corporation, November 8, 2002
- CanAccord Capital Corporation, January 18, 2002
Section 2(a)(3) - Definition of offer or sale of a security
- Emeriti Consortium for Retirement Health Solutions, June 16, 2008
- JPMorgan Chase & Co., March 17, 2008
- Verint Systems Inc., May 24, 2007
- Emeriti Consortium for Retirement Health Solutions, April 7, 2005
- Manulife Financial Corporation, March 15, 2005
- Peninsular & Oriental Steam Navigation Company, August 30, 2004
- Goldman, Sachs & Co., October 9, 2003
- Kingfisher plc, April 25, 2003
- Marriott Residence Inn II Limited Partnership, May 8, 2002
- Marriott Residence Inn Limited Partnership, February 20, 2002
Section 3(a)(9) - Exemption for exchanges between issuer and existing security holders
- Exxon Mobil Corp., June 28, 2002
- Grupo TMM, S.A. de C.V., June 27, 2002
- Weatherford International, June 25, 2002
- Nabors Industries, Inc., April 30, 2002
Section 3(a)(10) - Exemption for exchanges after a fairness hearing
- EIG Mutual Holding Company, October 25, 2006
- SanDisk Corporation, September 21, 2006
- Hanover Compressor Company, January 27, 2004
- AngloGold Limited, January 15, 2004
- Sprint Corporation, August 25, 2003
- Constellation Brands, Inc., January 29, 2003
- Gilat Satellite Networks Ltd., December 19, 2002
- Alliance Capital Management Holding L.P. et al., August 1, 2002
- Ashanti Goldfields Company Limited, June 19, 2002
- Xyratex PLC, May 29, 2002
Section 3(b) - Rules 262 and 505 Disqualification
- Gabelli Funds LLC, April 24, 2008
- Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc., September 28, 2006
- Dunham & Associates Investment Counsel, Inc., Jeffrey A. Dunham, and Dunham & Associates Securities, Inc., September 22, 2006
- Prudential Equity Group, LLC, August 28, 2006
Supplemental Letter, September 5, 2006
- Banc of America Securities LLC, May 31, 2006
- Bear, Stearns & Co. Inc., May 31, 2006
- Citigroup Global Markets, Inc., May 31, 2006
- Goldman, Sachs & Co., May 31, 2006
- J.P. Morgan Securities, Inc., May 31, 2006
- Lehman Brothers Inc., May 31, 2006
- Merrill Lynch, Pierce, Fenner & Smith Incorporated, May 31, 2006
- Morgan Keegan & Company, Inc., May 31, 2006
- Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc., May 31, 2006
- Piper Jaffray & Co., May 31, 2006
- RBC Dain Rauscher Inc., May 31, 2006
- Wachovia Capital Markets, LLC, May 31, 2006
- Morgan Stanley & Co. Incorporated, May 12, 2006
- Merrill Lynch, Pierce, Fenner & Smith Incorporated, March 13, 2006
- Legg Mason Wood Walker, Incorporated, September 21, 2005
- Prudential Equity Group, LLC, July 25, 2005
- Smith Barney Fund Management LLC and Citigroup Global Markets, Inc., May 31, 2005
- Citigroup Global Markets, Inc., March 23, 2005
- CIBC Mellon Trust Company, March 2, 2005
- CIBC Mellon Trust Company, February 24, 2005
- Morgan Stanley & Co. Incorporated, February 4, 2005
- Adams Harkness, Inc., August 25, 2004
- Friedman, Billings, Ramsey & Co., Inc., August 25, 2004
- Janney Montgomery Scott LLC, August 25, 2004
- Morgan Keegan & Co., Inc., August 25, 2004
- Needham & Company, Inc., August 25, 2004
- Prudential Equity Group, LLC, August 25, 2004
- SG Cowen & Co., Inc., August 25, 2004
- Raymond James Financial Services, Inc., February 17, 2004
- American Express Financial Advisors Inc., February 12, 2004
- Legg Mason Wood Walker, Inc., February 12, 2004
- UBS Financial Services Inc., February 12, 2004
- Wachovia Securities Inc., February 12, 2004
- Linsco/Private Ledger Corp., February 12, 2004
- Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation, October 31, 2003
- UBS Securities LLC, f/k/a UBS Warburg LLC, October 31, 2003
- U.S. Bancorp Piper Jaffray Inc., October 31, 2003
- Morgan Stanley & Co. Incorporated, October 31, 2003
- Lehman Brothers Inc., October 31, 2003
- Goldman, Sachs & Co., October 31, 2003
- Merrill Lynch, Pierce, Fenner & Smith, Incorporated, October 31, 2003
- Bear, Stearns & Co. Inc., October 31, 2003
- Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., October 31, 2003
- J.P. Morgan Securities Inc., October 31, 2003
- J.P. Morgan Securities Inc., October 8, 2003
- Goldman, Sachs & Co., September 4, 2003
- UBS PaineWebber, Inc., August 20, 2003
- Deutsche Asset Management, Inc., August 19, 2003
- Prudential Securities Incorporated, July 10, 2003
Section 4(1) - Transactions by a person other than an issuer, underwriter, or dealer
Section 4(3) - Transactions by a dealer
Rule 144 - Resales of restricted securities
- Abacus Investments Limited, October 5, 2007
- Smart Move, Inc., May 16, 2007
- Mercer International Inc., December 12, 2005
- Triad Guaranty, Inc. and Collateral Investment Corp., August 12, 2005
- Ashland Inc., August 8, 2005
- Texas Roadhouse, Inc., July 28, 2005
- Bunzl plc, May 27, 2005
- Banc of America Investors, L.P., February 24, 2004
- Sprint Corporation, August 25, 2003
- Physica B.V. and Solvay S.A., April 8, 2003
- M/I Schottenstein Homes, Inc., February 28, 2003
- General Maritime Corp., June 14, 2002
- Intergraph Corp., May 15, 2002
- Gen Probe Inc/Chugai Pharmaceutical Co., Ltd., April 30, 2002
Rule 144A - Resales of restricted securities to qualified institutions
Rule 145 - Reclassifications of securities, mergers, consolidations and acquisitions
Rule 701 - Exemption for certain employee benefit plans or compensation arrangements
Regulation C - Registration
Rule 405 - Determination regarding ineligible issuer status
- JPMorgan Chase & Co., August 4, 2008
- Knight Capital Group, Inc., July 1, 2008
- GAMCO Investors, Inc., June 9, 2008
- Analog Devices, Inc., May 30, 2008
- First Southwest Company, May 27, 2008
- Bank of America Corporation, May 1, 2008
- Morgan Stanley & Co. Incorporated, May 11, 2007
- RenaissanceRe Holdings Ltd., April 27, 2007
- Tenet Healthcare Corporation, April 19, 2007
- Nicor, Inc., March 29, 2007
- Banc of America Securities LLC, March 14, 2007
Supplemental Letter, March 20, 2007
- Wilmington Trust Company, March 12, 2007
- MBIA Inc., January 29, 2007
- Bank of New York Company, January 9, 2007
- Deutsche Bank AG, January 9, 2007
- Hartford Investment Financial Services, November 8, 2006
- Waddell & Reed Financial, Inc., October 31, 2006
- Raytheon Company, October 5, 2006
- BISYS Fund Services, Inc., September 26, 2006
- Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc., September 28, 2006
- Bear, Stearns & Co. Inc., March 16, 2006
- Lincoln National Corporation, August 31, 2006
- MetLife, Inc., February 21, 2006
Rule 411 - Incorporation by reference
Rule 414 - Registration by certain successor issuers
Regulation D - Rule 502
Regulation S - Offers and sales made outside the United States
- Eurolist by Euronext and the Alternext Market, March 16, 2007
- The Korea Exchange, February 28, 2007
- Euronext Amsterdam N.V., April 7, 2006
- Wiener Börse, December 14, 2004
- Taiwan Stock Exchange Corporation, December 14, 2004
- Euronext Brussels SA/NV, November 10, 2004
- Tokyo Stock Exchange, Inc., August 20, 2004
- Prague Stock Exchange, May 28, 2004
- europrospectus.com limited, April 28, 2004
- Cairo and Alexandria Stock Exchanges, April 16, 2003
- Barcelona Stock Exchange, Bilbao Stock Exchange, Madrid Stock Exchange and Valencia Stock Exchange, March 11, 2003
- Channel Islands Stock Exchange, September 6, 2002
- SWX Swiss Exchange, July 3, 2002
Form F-3
Form S-3
Form S-8
Schedule B - Foreign Government registration statement
- Republic of Hungary, September 28, 2007
- Oesterreichische Kontrollbank Aktiengesellschaft and the Republic of Austria, July 20, 2007
- Landeskreditbank Baden-Württemberg - Förderbank, April 18, 2005
- Republic of Uruguay, March 8, 2005
- Bolivarian Republic of Venezuela, April 28, 2004
- Financement Quebec, June 24, 2002
- Republic of Italy, February 4, 2002
- Government of Jamaica, May 22, 2002
- Landwirtschaftliche Rentenbank Federal Republic of Germany, January 30, 2003
Securities Exchange Act of 1934
Section 12 - Registration requirements for a class of securities
- Tennessee Valley Authority, December 14, 2006
- Federal Home Loan Bank of Topeka, May 23, 2006
- Federal Home Loan Bank of Seattle, May 23, 2006
- Federal Home Loan Bank of Des Moines, May 23, 2006
- Federal Home Loan Bank of Atlanta, March 20, 2006
- Federal Home Loan Bank of Indianapolis, February 22, 2006
- Federal Home Loan Bank of Chicago, January 20, 2006
- Federal Home Loan Bank of Boston, December 23, 2005
- Federal Home Loan Bank of Pittsburgh, September 28, 2005
- Federal Home Loan Bank of Dallas, September 15, 2005
- Federal Home Loan Bank of Cincinnati, September 13, 2005
- Federal Home Loan Bank of San Francisco, August 26, 2005
- Federal Home Loan Bank of New York, August 26, 2005
- Federal National Mortgage Association, July 12, 2002
- Federal Home Loan Mortgage Corporation, July 12, 2002
Sections 12(g) and 12(h) - Relief from reporting
- G REIT, Inc. and G REIT Liquidating Trust, February 25, 2008
- ICON Cash Flow Partners L.P. Seven and ICON Cash Flow Partners L.P. Seven Liquidating Trust, August 14, 2007
- T REIT, Inc. and T REIT Liquidating Trust, August 9, 2007
- Pepco Holdings, Inc., December 6, 2006
- BH Lodging Corp., November 8, 2006
- Loudeye Corp., November 7, 2006
- VG Holding Corporation, October 31, 2006
- Avago Technologies Limited, October 6, 2006
- Network General Central Corporation, May 22, 2006
- Cygnus, Inc., March 27, 2006
- FORE Holdings LLC and FORE Holdings Liquidating Trust, December 1, 2005
- Jazz Semiconductor, Inc., November 21, 2005
- WinCo Foods, LLC and WinCo Holdings, Inc., November 21, 2005
- McKinsey & Company, Inc., January 11, 2005
- Galey & Lord, Inc., May 10, 2004
- Shelbourne Properties I, Inc., April 29, 2004
- Abetterwayhome Corp., January 30, 2004
- Marengo Bancshares, Inc., November 7, 2003
- Wilmington Trust Company, as Trustee, and AFG Investment Liquidating Trusts, June 18, 2003
- PLM Equipment Growth Fund III, Liquidating Trust, June 9, 2003
- ISE Labs, Inc., June 2, 2003
- Seagate Removable Storage Solutions Holdings, March 7, 2003
- Headstrong Corporation, February 28, 2003
- Wilmington Trust Company et al., February 26, 2003
- DataCard Corporation, October 15, 2002
- Accredited Home Lenders, Inc., July 26, 2002
- Pae Tec Corp., July 16, 2002
- J.P. Morgan Chase & Co and other Affiliates, June 26, 2002
- Cobalt Group Inc., June 25, 2002
- Burnham Pacific Properties, Inc., June 21, 2002
- MWH Global Inc., May 9, 2002
- Nordstrom.com, LLC, February 28, 2002
- InFlowGroup, Inc., February 13, 2002
- SI International, Inc., February 4, 2002
- Unisphere Networks, Inc., January 15, 2002
Rule 12g-3 - Successor issuers
- Reuters Group PLC and Thomson Reuters PLC, March 20, 2008
- Dollar Tree Stores, Inc., February 20, 2008
- Energy West, Incorporated, January 15, 2008
- Roper Industries, Inc., July 19, 2007
- InterDigital Communications Corporation, June 25, 2007
- ABX Air, Inc., June 13, 2007
- Equitable Resources, Inc., April 25, 2007
- Ford Motor Credit Company, March 21, 2007
- Hecla Mining Company, October 31, 2006
- Global Preferred Holdings, Inc., July 18, 2006
- Southwestern Energy Company, June 29, 2006
- Duke Energy Corporation, Duke Energy Holding Corp., Cinergy Corp., March 30, 2006
- Shire Pharmaceuticals Group PLC and Shire PLC, November 17, 2005
- CanWest Media Inc., November 15, 2005
- Aether Systems, Inc., April 26, 2005
- Royal Dutch Shell PLC, May 17, 2005
- Matria Healthcare, Inc., February 10, 2005
- News Corporation Limited, November 3, 2004
- Johnson Controls, Inc., October 1, 2004
- Bookham Technology plc, September 22, 2004
- Russell Corporation, March 18, 2004
- Ampco-Pittsburgh Corporation, January 22, 2004
- Hanson PLC, Hanson Building Materials PLC, October 9, 2003
- Adolph Coors Company, August 25, 2003
- Six Continents PLC, March 28, 2003
- Friedman, Billings, Ramsey Group Inc., FBR Asset Investment Corporation, Forest Merger Corporation, March 25, 2003
- Crown, Cork & Seal Company, Inc., February 25, 2003
- AT&T Comcast Corporation, November 18, 2002
- ConocoPhillips, August 23, 2002
- Weatherford International, June 25, 2002
- Nabors Industries, Inc., April 30, 2002
Rule 12g3-2(b) - Exemptions for American depositary receipts and certain foreign securities
Rule 12h-1 - Exemptions from registration under Section 12(g) of the Act
Rule 12h-3 - Suspension of duty to file reports under Section 15(d)
- Horsepower Holdings, Inc., August 14, 2008
- I.C. Isaacs & Company, Inc., August 13, 2008
- Prairie Creek Ethanol, LLC, August 12, 2008
- Liberty Lane Acquisition Corp., July 28, 2008
- Barclays (Netherlands) N.V., June 26, 2008
- Questar Assessment, Inc., June 13, 2008
- CollaGenex Pharmaceuticals, Inc., May 12, 2008
- SunCom Wireless Holdings, Inc., February 29, 2008
- Planet Technologies, Inc., February 7, 2008
- MetLife Life and Annuity Company of Connecticut, January 22, 2008
- RARE Hospitality International, Inc., January 22, 2008
- International Securities Exchange, Inc., January 3, 2008
- Bausch & Lomb Incorporated, November 6, 2007
- FoxHollow Technologies, Inc., November 2, 2007
- Victory Renewable Fuels, LLC, October 15, 2007
- Eagle Hospitality Properties Trust, Inc., August 30, 2007
- Telemar Participações S.A., June 20, 2007
- American Physicians Insurance Company, March 30, 2007
- DSL.net, Inc., March 30, 2007
- Summit Bank Corporation, March 14, 2007
- CPA:14 Holdings Inc., December 11, 2006
- Wintegra, Inc., August 11, 2006
- Global Preferred Holdings, Inc., July 18, 2006
- Watchdata Technologies Ltd., June 29, 2006
- WaveRider Communications Inc., March 31, 2006
- ADVISORS REIT I, Inc., March 31, 2006
- PacifiCare Health Systems, Inc., March 16, 2006
- IVAX Corporation, March 10, 2006
- Unocal Corporation, October 21, 2005
- Infiniti Solutions Ltd., March 8, 2005
- ATX Group, Inc., October 15, 2004
- Synetics Solutions, Inc., October 15, 2004
- Engenio Information Technologies, Inc., September 13, 2004
- Kerr-McGee (Nevada) LLC, August 9, 2004
- 3333 Holding Corporation, Centex Development Company, L.P., March 17, 2004
- CoorsTek, Inc., August 14, 2003
- Medialive International, Inc., August 13, 2003
- Royal Precision, Inc., April 9, 2003
- IBM Credit LLC, March 24, 2003
- PayPal, Inc., November 13, 2002
- NOMOS Corporation, November 12, 2002
- Medco Health Solutions, Inc., August 13, 2002
- Neogenesis Pharmaceuticals, Inc., April 1, 2002
- Westfield America, Inc., January 29, 2002
Section 13 - Periodic and other reports
- Federal Home Loan Mortgage Corporation, July 18, 2008
- Genesee Corporation, December 5, 2007
- Overseas Partners Ltd., March 16, 2007
- Southern Investors Service Company, Inc., June 24, 2005
- Manulife Financial Corporation, March 15, 2005
- EnCana Corporation, December 3, 2004
- Fannie Mae, August 20, 2004
- Enstar Income/Growth Program Five-A, L.P., August 7, 2004
- Axtel. S.A. de C.V., July 21, 2004
- AmeriVision Communications, Inc., June 14, 2004
- Weirton Steel Corporation, March 23, 2004
- Pegasus Aircraft Partners, L.P., February 9, 2004
- Microsoft Corporation, October 15, 2003
- Hawaiian Holdings, Inc., October 1, 2003
- Atchison Casting Corporation, October 7, 2003
- Hauser, Inc., July 17, 2003
- Evolve Software, Inc., July 16, 2003
- Insilco Holding Co., March 18, 2003
- Allstate Life Insurance Company, August 23, 2002
- Laclede Steel Company, July 25, 2002
- Opticon Medical Inc., June 28, 2002
- RBC Centura Banks, Inc., February 26, 2002
- Cambridge Advantaged Properties II Limited Partnership, February 6, 2002
Regulation 13D-G - Beneficial Ownership Reports
- Orbis Group, July 16, 2008
- DnB NOR ASA, January 9, 2008
- Natixis S.A., Banque Fédérale des Banques Populaires and Caisse National des Caisses d'Epargne, October 9, 2007
- Mellon Financial Corporation, Newton Investment Management Limited and Mellon Global Investments Limited, November 16, 2006
- Canada Pension Plan Investment Board, May 5, 2006
- Mitsubishi UFJ Financial Group, Inc., January 23, 2006
- Credit Agricole S.A., April 4, 2005
- Citigroup Inc., May 27, 2004
- Stichting Pensioenfonds ABP, May 7, 2004
- Centre Solutions Limited, July 25, 2002
- CGNU plc, March 19, 2002
- Deutsche Bank AG, February 14, 2002
Rules 13a-14 and 15d-14 - Certification of disclosure in annual and quarterly reports
- Claymore MACROshares Oil Up Holding Trust et al., March 30, 2007
- CurrencyShares Japanese Yen Trust, March 27, 2007
- iShares COMEX Gold Trust, November 27, 2006
- iShares GSCI Commodity-Indexed Trust and iShares GSCI Commodity-Indexed Investing Pool LLC, November 14, 2006
- CurrencyShares Australian Dollar Trust, September 13, 2006
- CurrencyShares British Pound Sterling Trust, September 13, 2006
- CurrencyShares Canadian Dollar Trust, September 13, 2006
- CurrencyShares Mexican Peso Trust, September 13, 2006
- CurrencyShares Swiss Franc Trust, September 13, 2006
- CurrencyShares Swedish Krona Trust, September 13, 2006
- iShares Silver Trust, August 11, 2006
- Euro Currency Trust, March 22, 2006
- iShares COMEX Gold Trust, May 19, 2005
- streetTRACKS Gold Trust, February 18, 2005
- Mitsui & Co., Ltd., August 20, 2003
- Hechinger Liquidation Trust, May 15, 2003
- Merrill Lynch Depositor, Inc., March 28, 2003
- Mitsubishi Motors Credit of America, Inc., March 27, 2003
- Bank of America, N.A., November 13, 2002
Rule 13e-3 - Going Private Transactions
Rule 13e-4 - Issuer Tender Offers
- Kraft Foods Inc., July 1, 2008
- Reuters Group PLC and Thomson Reuters PLC, February 29, 2008
- ACE Aviation Holdings, Inc., December 26, 2007
- Microtune, Inc., September 13, 2007
- EMC Corporation and VMware, Inc., July 9, 2007
- Wells REIT II, Inc., June 26, 2007
- HCC Insurance Holdings, Inc., June 12, 2007
- Chordiant Software, Inc., March 26, 2007
- Halliburton Company, March 23, 2007
- Juniper Networks, Inc., March 6, 2007
- MDS Inc., February 28, 2007
- Adobe Systems Incorporated, February 28, 2007
- CNET Networks, Inc., February 28, 2007
- Weyerhaeuser Company, February 23, 2007
- CenterPoint Energy, December 21, 2006
- Security Capital Assurance Ltd. and XL Capital Ltd., October 31, 2006
- SPARTA, Inc., October 4, 2006
- McDonald's Corporation, September 27, 2006
- Alliance Semiconductor Corporation, September 22, 2006
- Hines Real Estate Investment Trust, Inc., September 7, 2006
- PMI Group, Inc., July 6, 2006
- Apple REIT Six, Inc., June 30, 2006
- Swedish Match AB, June 20, 2006
- Vodafone PLC, June 12, 2006
- Scottish Power plc, April 3, 2006
- Fresenius Medical Care AG, January 13, 2006
- Publicis Groupe S.A., January 13, 2006
- Special Situations Fund III, L.P., November 17, 2005
- Korea Fund, Inc., July 1, 2005
- National Grid Transco plc, June 6, 2005
- Peter Kiewit Sons', Inc., May 17, 2005
- Boston Capital Real Estate Investment Trust, Inc., February 10, 2005
- Man-Glenwood Lexington, LLC, January 31, 2005
- Behringer Harvard REIT, et. al., October 26, 2004
- Comcast Corporation, October 7, 2004
- TXU Corporation, September 13, 2004
- Hines Real Estate Investment Trust, Inc., June 18, 2004
- Scitex Corporation Ltd., June 14, 2004
- PetroKazakhstan Inc., June 10, 2004
- AB Electrolux, May 4, 2004
- CNL Income Properties, Inc. , March 11, 2004
- Lodgian, Inc., April 27, 2004
- General Electric Company and GE Investments, Inc., February 24, 2004
- Martha Stewart Living Omnimedia, Inc., November 7, 2003
- Microsoft Corporation, October 15, 2003
- The Prudential Insurance Company of America, September 5, 2003
- Journal Company, July 24, 2003
- Accenture Ltd., January 10, 2003
- Issuer Exchange Offers Conducted for Compensatory Purposes, March 21, 2001
Section 14 - Proxy and tender offer rules
Tender offers
Third-party tender offers
Domestic
Cross-border
- Elron Electronics Industries Ltd., May 15, 2008
- Clal Industries and Investments Ltd., March 3, 2008
- Telemar Participações S.A., October 9, 2007
- Barclays PLC tender offer for ABN AMRO Holding N.V., August 7, 2007
- Rio Tinto plc, July 24, 2007
- Royal Bank of Scotland Group plc tender offer for ABN AMRO Holding N.V., July 23, 2007
- Endesa, S.A., July 3, 2007
- Asia Satellite Telecommunications Holdings Limited, May 25, 2007
- CANTV, April 6, 2007
- STATS ChipPAC Ltd., March 15, 2007
- ProSiebenSat.1 Media AG, January 30, 2007
- Portugal Telecom, SGPS, S.A., December 19, 2006
- Embratel Participacoes, S.A., December 6, 2006
- E.ON Aktiengesellschaft, December 6, 2006
- NASDAQ Stock Market, Inc., November 20, 2006
- Barrick Gold Corporation, October 10, 2006
- Bayer AG, September 26, 2006
- Bayer Entities, June 29, 2006
- Teck Cominco Limited, June 21, 2006
- AstraZeneca PLC, May 23, 2006
- Bayer AG, April 28, 2006
- Gas Natural SDG, S.A., March 2, 2006
- Barrick Gold Corporation, January 19, 2006
- Nordic Telephone Company ApS, January 3, 2006
- BBVA Privanza International (Gibraltar) Limited, December 23, 2005
- Jilin Chemical Industrial Company Limited, December 21, 2005
- Axel Springer AG, September 12, 2005
- Royal Dutch Shell PLC, May 17, 2005
- Harmony Gold Mining Company Limited, March 10, 2005
- Blackstone Entities, December 16, 2004
- Harmony Gold Mining Company Limited, November 19, 2004
- Equitable Life Assurance Society, November 15, 2004
- Discount Investment Corporation Ltd., June 14, 2004
- Aventis, June 10, 2004
- UCB S.A., May 19, 2004
- Epicor Software Corporation, May 13, 2004
- SERENA Software, Inc., April 13, 2004
- Alcan, Inc. for Common Shares, ADSs, Bonus Allocation Rights and OCEANEs of Pechiney, October 7, 2003
- BCP Crystal Acquisition GmbH & Co, February 3, 2004
- Zimmer Holdings, Inc., June 19, 2003
- Smith & Nephew Group plc and Smith & Nephew plc, April 24, 2003
- Serono S.A., September 12, 2002
- Koninklijke Ahold N.V., September 10, 2002
- Alliance Capital Management Holding L.P. et al., August 1, 2002
- Saipem SpA, July 29, 2002
- Madison Dearborn Partners, LLC, July 9, 2002
- Panatone Finvest Ltd, May 6, 2002
- RWE Aktiengesellschaft, March 22, 2002
- Southern Cross, March 5, 2002
Rule 14b-1
Rule 14b-2
Rule 14e-5 - Purchases Outside a Tender Offer
- Business Objects S.A., December 5, 2007
- Grupo Aeropotuario del Sureste, S.A.B. de C.V. (Southeast Airport Group), May 9, 2007
- CANTV, April 6, 2007
- STATS ChipPAC Ltd., March 15, 2007
- ProSiebenSat.1 Media AG, January 30, 2007
- CenterPoint Energy, December 21, 2006
- PMI Group, Inc., July 6, 2006
- Scottish Power plc, April 3, 2006
- Axel Springer AG, September 12, 2005
Section 16 - Directors, officers and principal stockholders
Rule 17a-1 - Keep and Preserve Paper Copies
Trust Indenture Act of 1939
Exemptive Orders
- Grupo Iusacell Celular, S.A. de C.V., November 26, 2007
Notice, October 15, 2007
Application, October 12, 2007
- Mrs. Fields Famous Brands, LLC, Mrs. Fields Financing Company, Inc., and Certain Guarantors, March 24, 2005
- Petroleos Mexicanos and the Pemex Project Funding Master Trust, October 13, 2004
- Algoma Steel Inc., December 23, 2002
- Armstrong World Industries, Inc., July 16, 2002
- USG Corporation, April 23, 2002
United States Bankruptcy Code
Other Alaska Native Claims Settlement Act
Other Municipal Auction Rate Securities
Alphabetical List of No-Action Letters |
- 3333 Holding Corporation, Centex Development Company, L.P., March 17, 2004
- AB Electrolux, May 4, 2004
- Abacus Investments Limited, October 5, 2007
- Abetterwayhome Corp., January 30, 2004
- ABX Air, Inc., June 13, 2007
- Accenture Ltd., January 10, 2003
- Accredited Home Lenders, Inc., July 26, 2002
- ACE Aviation Holdings, Inc., December 26, 2007
- Adams Harkness, Inc., August 25, 2004
- Adobe Systems Incorporated, February 28, 2007
- Adolph Coors Company, August 25, 2003
- ADVISORS REIT I, Inc., March 31, 2006
- Aether Systems, Inc., April 26, 2005
- Agristar Global Networks, Ltd., February 9, 2004
- Alcan, Inc. for Common Shares, ADSs, Bonus Allocation Rights and OCEANEs of Pechiney, October 7, 2003
- Algoma Steel Inc., December 23, 2002
- Alliance Capital Management Holding L.P. et al., August 1, 2002
- Alliance Semiconductor Corporation, September 22, 2006
- Allstate Life Insurance Company, August 23, 2002
- American Bar Association, January 30, 2004
- American Express Financial Advisors Inc., February 12, 2004
- American Physicians Insurance Company, March 30, 2007
- AmeriVision Communications, Inc., June 14, 2004
- Ampco-Pittsburgh Corporation, January 22, 2004
- Analog Devices, Inc., May 30, 2008
- AngloGold Limited, January 15, 2004
- Apple REIT Six, Inc., June 30, 2006
- ArcelorMittal, August 13, 2008
- Arch Wireless Inc., May 24, 2002
- Arclight Systems, LLC, January 17, 2002
- Armstrong World Industries, Inc., July 16, 2002
- Ashanti Goldfields Company Limited, June 19, 2002
- Ashland Inc., August 8, 2005
- Asia Satellite Telecommunications Holdings Limited, May 25, 2007
- AstraZeneca PLC, May 23, 2006
- AT&T Comcast Corporation, November 18, 2002
- Atchison Casting Corporation, October 7, 2003
- ATX Group, Inc., October 15, 2004
- Avago Technologies Limited, October 6, 2006
- Aventis, June 10, 2004
- Axel Springer AG, September 12, 2005
- Axtel. S.A. de C.V., July 21, 2004
- Babson Capital Management LLC, December 14, 2006
- Banc of America Investors, L.P., February 24, 2004
- Banc of America Securities LLC, March 14, 2007
Supplemental Letter, March 20, 2007
- Bank of America Corporation, May 1, 2008
- Banc of America Securities LLC, May 31, 2006
- Bank of America, N.A., November 13, 2002
- Bank of New York Company, January 9, 2007
- Barcelona Stock Exchange, Bilbao Stock Exchange, Madrid Stock Exchange and Valencia Stock Exchange, March 11, 2003
- Barclays (Netherlands) N.V., June 26, 2008
- Barclays PLC tender offer for ABN AMRO Holding N.V., August 7, 2007
- Barrick Gold Corporation, October 10, 2006
- Barrick Gold Corporation, January 19, 2006
- Bausch & Lomb Incorporated, November 6, 2007
- Bayer AG, September 26, 2006
- Bayer AG, April 28, 2006
- Bayer Entities, June 29, 2006
- BBVA Privanza International (Gibraltar) Limited, December 23, 2005
- BCP Crystal Acquisition GmbH & Co, February 3, 2004
- Bear, Stearns & Co. Inc., May 31, 2006
- Bear, Stearns & Co. Inc., March 16, 2006
- Bear, Stearns & Co. Inc., October 31, 2003
- Beazer Homes USA, Inc., March 12, 2007
- Behringer Harvard REIT, et. al., October 26, 2004
- BH Lodging Corp., November 8, 2006
- BISYS Fund Services, Inc., September 26, 2006
- Blackstone Entities, December 16, 2004
- Bolivarian Republic of Venezuela, April 28, 2004
- Bookham Technology plc, September 22, 2004
- Boston Capital Real Estate Investment Trust, Inc., February 10, 2005
- Bunzl plc, May 27, 2005
- Burnham Pacific Properties, Inc., June 21, 2002
- Business Objects S.A., December 5, 2007
- Cairo and Alexandria Stock Exchanges, April 16, 2003
- Cambridge Advantaged Properties II Limited Partnership, February 6, 2002
- CanAccord Capital Corporation, January 18, 2002
- Canada Pension Plan Investment Board, May 5, 2006
- CANTV, April 6, 2007
- CanWest Media Inc., November 15, 2005
- CarMax, Inc., December 6, 2002
- CenterPoint Energy, December 21, 2006
- Centre Solutions Limited, July 25, 2002
- CGNU plc, March 19, 2002
- Channel Islands Stock Exchange, September 6, 2002
- Chordiant Software, Inc., March 26, 2007
- CIBC Mellon Trust Company, March 2, 2005
- CIBC Mellon Trust Company, February 24, 2005
- Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., October 31, 2003
- Citigroup Global Markets, Inc., May 31, 2006
- Citigroup Global Markets, Inc., March 23, 2005
- Citigroup Inc., May 27, 2004
- Clal Industries and Investments Ltd., March 3, 2008
- Claymore MACROshares Oil Up Holding Trust et al., March 30, 2007
- CNET Networks, Inc., February 28, 2007
- CNL Income Properties, Inc. , March 11, 2004
- Cobalt Group Inc., June 25, 2002
- CollaGenex Pharmaceuticals, Inc., May 12, 2008
- Comcast Corporation, October 7, 2004
- Communicator Inc, September 20, 2002
- ConocoPhillips, August 23, 2002
- Constellation Brands, Inc., January 29, 2003
- Cook Inlet Region, Inc., April 2, 2003
- CoorsTek, Inc., August 14, 2003
- CPA:14 Holdings Inc., December 11, 2006
- Credit Agricole S.A., April 4, 2005
- Credit Suisse First Boston, March 18, 2004
- Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation, October 31, 2003
- Crown, Cork & Seal Company, Inc., February 25, 2003
- CurrencyShares Australian Dollar Trust, September 13, 2006
- CurrencyShares British Pound Sterling Trust, September 13, 2006
- CurrencyShares Canadian Dollar Trust, September 13, 2006
- CurrencyShares Japanese Yen Trust, March 27, 2007
- CurrencyShares Mexican Peso Trust, September 13, 2006
- CurrencyShares Swedish Krona Trust, September 13, 2006
- CurrencyShares Swiss Franc Trust, September 13, 2006
- Cygnus, Inc., March 27, 2006
- DataCard Corporation, October 15, 2002
- Deutsche Asset Management, Inc., August 19, 2003
- Deutsche Bank AG, January 9, 2007
- Deutsche Bank AG, February 14, 2002
- Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc. (Waiver Request under Regulation A and Rule 505 of Regulation D), September 28, 2006
- Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc. (Waiver Request under Rule 405), September 28, 2006
- Discount Investment Corporation Ltd., June 14, 2004
- DnB NOR ASA, January 9, 2008
- Dollar Tree Stores, Inc., February 20, 2008
- DSL.net, Inc., March 30, 2007
- Duke Energy Corporation, Duke Energy Holding Corp., Cinergy Corp., March 30, 2006
- Dunham & Associates Investment Counsel, Inc., Jeffrey A. Dunham, and Dunham & Associates Securities, Inc., September 22, 2006
- E.ON Aktiengesellschaft, December 6, 2006
- Eagle Hospitality Properties Trust, Inc., August 30, 2007
- Eaton Vance Management, June 13, 2008
- EIG Mutual Holding Company, October 25, 2006
- Elron Electronics Industries Ltd., May 15, 2008
- Embratel Participacoes, S.A., December 6, 2006
- EMC Corporation and VMware, Inc., July 9, 2007
- Emeriti Consortium for Retirement Health Solutions, June 16, 2008
- Emeriti Consortium for Retirement Health Solutions, April 7, 2005
- Employers Insurance Company of Nevada, December 2, 2004
- EnCana Corporation, December 3, 2004
- Endesa, S.A., July 3, 2007
- Energy West, Incorporated, January 15, 2008
- Engenio Information Technologies, Inc., September 13, 2004
- Enstar Income/Growth Program Five-A, L.P., August 7, 2004
- Epicor Software Corporation, May 13, 2004
- Equant N.V. and France Telecom S.A., April 18, 2005
- Equitable Life Assurance Society, November 15, 2004
- Equitable Resources, Inc., April 25, 2007
- Erica Enders Racing, LLC, November 21, 2006
- Euro Currency Trust, March 22, 2006
- Eurolist by Euronext and the Alternext Market, March 16, 2007
- Euronext Amsterdam N.V., April 7, 2006
- Euronext Brussels SA/NV, November 10, 2004
- europrospectus.com limited, April 28, 2004
- Evolve Software, Inc., July 16, 2003
- Exxon Mobil Corp., June 28, 2002
- Fannie Mae, August 20, 2004
- Federal Home Loan Bank of Atlanta, March 20, 2006
- Federal Home Loan Bank of Boston, December 23, 2005
- Federal Home Loan Bank of Chicago, January 20, 2006
- Federal Home Loan Bank of Cincinnati, September 13, 2005
- Federal Home Loan Bank of Dallas, September 15, 2005
- Federal Home Loan Bank of Des Moines, May 23, 2006
- Federal Home Loan Bank of Indianapolis, February 22, 2006
- Federal Home Loan Bank of New York, August 26, 2005
- Federal Home Loan Bank of Pittsburgh, September 28, 2005
- Federal Home Loan Bank of San Francisco, August 26, 2005
- Federal Home Loan Bank of Seattle, May 23, 2006
- Federal Home Loan Bank of Topeka, May 23, 2006
- Federal Home Loan Mortgage Corporation, July 18, 2008
- Federal Home Loan Mortgage Corporation, July 12, 2002
- Federal National Mortgage Association, July 12, 2002
- Fidelity Life Association, October 18, 2006
- Financement Quebec, June 24, 2002
- First Southwest Company, May 27, 2008
- Ford Motor Credit Company, March 21, 2007
- FORE Holdings LLC and FORE Holdings Liquidating Trust, December 1, 2005
- FoxHollow Technologies, Inc., November 2, 2007
- Fresenius Aktiengesellschaft, October 10, 2006
- Fresenius Medical Care AG, January 13, 2006
- Friedman, Billings, Ramsey & Co., Inc., August 25, 2004
- Friedman, Billings, Ramsey Group Inc., FBR Asset Investment Corporation, Forest Merger Corporation, March 25, 2003
- Gabelli Funds LLC, April 24, 2008
- Galey & Lord, Inc., May 10, 2004
- GAMCO Investors, Inc., June 9, 2008
- Gas Natural SDG, S.A., March 2, 2006
- Gen Probe Inc/Chugai Pharmaceutical Co., Ltd., April 30, 2002
- General Electric Company and GE Investments, Inc., February 24, 2004
- General Maritime Corp., June 14, 2002
- Genesee Corporation, December 5, 2007
- Gilat Satellite Networks Ltd., December 19, 2002
- Global Preferred Holdings, Inc., July 18, 2006
- Goldman, Sachs & Co., May 31, 2006
- Goldman, Sachs & Co., October 31, 2003
- Goldman, Sachs & Co., October 9, 2003
- Goldman, Sachs & Co., September 4, 2003
- Government of Jamaica, May 22, 2002
- G REIT, Inc. and G REIT Liquidating Trust, February 25, 2008
- Grupo Aeropotuario del Sureste, S.A.B. de C.V. (Southeast Airport Group), May 9, 2007
- Grupo Iusacell Celular, S.A. de C.V., November 26, 2007
Notice, October 15, 2007
Application, October 12, 2007
- Grupo TMM, S.A. de C.V., June 27, 2002
- Halliburton Company, March 23, 2007
- Handy Hardware Wholesale, Inc., June 29, 2006
- Hanover Compressor Company, January 27, 2004
- Hanson PLC, Hanson Building Materials PLC, October 9, 2003
- Harmony Gold Mining Company Limited, March 10, 2005
- Harmony Gold Mining Company Limited, November 19, 2004
- Hartford Investment Financial Services, November 8, 2006
- Hauser, Inc., July 17, 2003
- Hawaiian Holdings, Inc., October 1, 2003
- HCC Insurance Holdings, Inc., June 12, 2007
- Headstrong Corporation, February 28, 2003
- Hechinger Liquidation Trust, May 15, 2003
- Hecla Mining Company, October 31, 2006
- Hines Real Estate Investment Trust, Inc., September 7, 2006
- Hines Real Estate Investment Trust, Inc., June 18, 2004
- Horsepower Holdings, Inc., August 14, 2008
- IBM Credit LLC, March 24, 2003
- I.C. Isaacs & Company, Inc., August 13, 2008
- ICON Cash Flow Partners L.P. Seven and ICON Cash Flow Partners L.P. Seven Liquidating Trust, August 14, 2007
- Infiniti Solutions Ltd., March 8, 2005
- InFlowGroup, Inc., February 13, 2002
- Insilco Holding Co., March 18, 2003
- InterDigital Communications Corporation, June 25, 2007
- Intergraph Corp., May 15, 2002
- International Securities Exchange, Inc., January 3, 2008
- Intrawest Corporation, November 8, 2002
- ISE Labs, Inc., June 2, 2003
- iShares COMEX Gold Trust, November 27, 2006
- iShares COMEX Gold Trust, May 19, 2005
- iShares GSCI Commodity-Indexed Trust and iShares GSCI Commodity-Indexed Investing Pool LLC, November 14, 2006
- iShares Silver Trust, August 11, 2006
- Issuer Exchange Offers Conducted for Compensatory Purposes, March 21, 2001
- IVAX Corporation, March 10, 2006
- Janney Montgomery Scott LLC, August 25, 2004
- Jazz Semiconductor, Inc., November 21, 2005
- Jilin Chemical Industrial Company Limited, December 21, 2005
- Johnson Controls, Inc., October 1, 2004
- Journal Company, July 24, 2003
- JPMorgan Chase & Co., August 4, 2008
- JPMorgan Chase & Co., March 17, 2008
- J.P. Morgan Chase & Co and other Affiliates, June 26, 2002
- J.P. Morgan Securities, Inc., June 5, 2007
- J.P. Morgan Securities, Inc., May 31, 2006
- J.P. Morgan Securities Inc., October 31, 2003
- J.P. Morgan Securities Inc., October 8, 2003
- Juniper Networks, Inc., March 6, 2007
- Kerr-McGee (Nevada) LLC, August 9, 2004
- Kingfisher plc, April 25, 2003
- Knight Capital Group, Inc., July 1, 2008
- Koninklijke Ahold N.V., September 10, 2002
- The Korea Exchange, February 28, 2007
- Korea Fund, Inc., July 1, 2005
- Kraft Foods Inc., July 1, 2008
- Laclede Steel Company, July 25, 2002
- Landeskreditbank Baden-Württemberg - Förderbank, April 18, 2005
- Landwirtschaftliche Rentenbank Federal Republic of Germany, January 30, 2003
- Las Sendas Golf Club, Inc., March 2, 2004
- Legg Mason Wood Walker, Inc., February 12, 2004
- Legg Mason Wood Walker, Incorporated, September 21, 2005
- Lehman Brothers Inc., May 31, 2006
- Lehman Brothers Inc., October 31, 2003
- Liberty Lane Acquisition Corp., July 28, 2008
- Liberty National Golf Club, March 29, 2004
- Lincoln National Corporation, August 31, 2006
- Linsco/Private Ledger Corp., February 12, 2004
- Lodgian, Inc., April 27, 2004
- Loudeye Corp., November 7, 2006
- M/I Schottenstein Homes, Inc., February 28, 2003
- Madison Dearborn Partners, LLC, July 9, 2002
- Man-Glenwood Lexington, LLC, January 31, 2005
- Manulife Financial Corporation, March 15, 2005
- Marengo Bancshares, Inc., November 7, 2003
- Marriott Residence Inn II Limited Partnership, May 8, 2002
- Marriott Residence Inn Limited Partnership, February 20, 2002
- Martha Stewart Living Omnimedia, Inc., November 7, 2003
- Matria Healthcare, Inc., February 10, 2005
- MBIA Inc., January 29, 2007
- McDonald's Corporation, September 27, 2006
- McKinsey & Company, Inc., January 11, 2005
- MDS Inc., February 28, 2007
- Medco Health Solutions, Inc., August 13, 2002
- Medialive International, Inc., August 13, 2003
- Mellon Financial Corporation, Newton Investment Management Limited and Mellon Global Investments Limited, November 16, 2006
- Mercer International Inc., December 12, 2005
- Merrill Lynch Depositor, Inc., March 28, 2003
- Merrill Lynch, Pierce, Fenner & Smith Incorporated, May 31, 2006
- Merrill Lynch, Pierce, Fenner & Smith Incorporated, March 13, 2006
- Merrill Lynch, Pierce, Fenner & Smith, Incorporated, October 31, 2003
- MetLife, Inc., February 21, 2006
- MetLife Life and Annuity Company of Connecticut, January 22, 2008
- Microsoft Corporation, October 15, 2003
- Microtune, Inc., September 13, 2007
- Midwest Real Estate Data LLC, August 18, 2008
- Millers Mutual Insurance Association, February 20, 2003
- Milwaukee Mutual Insurance Company, January 30, 2003
- Missouri Bankers Association, August 18, 2008
- Mitsubishi Motors Credit of America, Inc., March 27, 2003
- Mitsubishi UFJ Financial Group, Inc., January 23, 2006
- Mitsui & Co., Ltd., August 20, 2003
- Mooney Aerospace Group, Ltd., December 20, 2002
- Morgan Keegan & Co., Inc., August 25, 2004
- Morgan Keegan & Company, Inc., May 31, 2006
- Morgan Stanley & Co. Incorporated, May 11, 2007
- Morgan Stanley & Co. Incorporated, May 12, 2006
- Morgan Stanley & Co. Incorporated, February 4, 2005
- Morgan Stanley & Co. Incorporated, October 31, 2003
- Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc., May 31, 2006
- MP Environmental Funding LLC, PE Environmental Funding LLC, September 19, 2007
- Mrs. Fields Famous Brands, LLC, Mrs. Fields Financing Company, Inc., and Certain Guarantors, March 24, 2005
- Municipal Auction Rate Securities, March 14, 2008
- MWH Global Inc., May 9, 2002
- Nabors Industries, Inc., April 30, 2002
- NASDAQ Stock Market, Inc., November 20, 2006
- NASDAQ Stock Market LLC, August 1, 2006
- National Grid Transco plc, June 6, 2005
- Nationwide Financial Services, Inc. and Provident Mutual Life Insurance Company, August 9, 2002
- Natixis S.A., Banque Fédérale des Banques Populaires and Caisse National des Caisses d'Epargne, October 9, 2007
- Needham & Company, Inc., August 25, 2004
- Neogenesis Pharmaceuticals, Inc., April 1, 2002
- Network General Central Corporation, May 22, 2006
- News Corporation Limited, November 3, 2004
- Nicor, Inc., March 29, 2007
- NOMOS Corporation, November 12, 2002
- Nordic Telephone Company ApS, January 3, 2006
- Nordstrom.com, LLC, February 28, 2002
- Northwest Physicians Mutual Insurance Company, July 2, 2003
- Oesterreichische Kontrollbank Aktiengesellschaft and the Republic of Austria, July 20, 2007
- Overseas Partners Ltd., March 16, 2007
- Olohana Golf Club, Inc., July 31, 2003
- Oncothyreon Inc. and Biomira Inc., January 31, 2008
- Opticon Medical Inc., June 28, 2002
- Orbis Group, July 16, 2008
- PacifiCare Health Systems, Inc., March 16, 2006
- Pacific Exchange, Inc., December 23, 2003
- Pae Tec Corp., July 16, 2002
- Panatone Finvest Ltd, May 6, 2002
- PayPal, Inc., November 13, 2002
- Pegasus Aircraft Partners, L.P., February 9, 2004
- Peninsular & Oriental Steam Navigation Company, August 30, 2004
- Pepco Holdings, Inc., December 6, 2006
- Peter Kiewit Sons', Inc., May 17, 2005
- PetroKazakhstan Inc., June 10, 2004
- Petroleos Mexicanos and the Pemex Project Funding Master Trust, October 13, 2004
- Physica B.V. and Solvay S.A., April 8, 2003
- Piper Jaffray & Co., May 31, 2006
- Planet Technologies, Inc., February 7, 2008
- PLM Equipment Growth Fund III, Liquidating Trust, June 9, 2003
- PMI Group, Inc., July 6, 2006
- Portugal Telecom, SGPS, S.A., December 19, 2006
- Prague Stock Exchange, May 28, 2004
- Prairie Creek Ethanol, LLC, August 12, 2008
- ProSiebenSat.1 Media AG, January 30, 2007
- Prudential Equity Group, LLC, August 28, 2006
Supplemental Letter, September 5, 2006
- Prudential Equity Group, LLC, July 25, 2005
- Prudential Equity Group, LLC, August 25, 2004
- The Prudential Insurance Company of America, September 5, 2003
- Prudential Securities Incorporated, July 10, 2003
- Publicis Groupe S.A., January 13, 2006
- Questar Assessment, Inc., June 13, 2008
- RARE Hospitality International, Inc., January 22, 2008
- Raymond James Financial Services, Inc., February 17, 2004
- Raytheon Company, October 5, 2006
- RBC Centura Banks, Inc., February 26, 2002
- RBC Dain Rauscher Inc., May 31, 2006
- Registration of PORTAL Securities under Section 12(g), July 31, 2007
- RenaissanceRe Holdings Ltd., April 27, 2007
- Republic of Hungary, September 28, 2007
- Republic of Italy, February 4, 2002
- Republic of Uruguay, March 8, 2005
- Reuters Group PLC and Thomson Reuters PLC, March 20, 2008
- Reuters Group PLC and Thomson Reuters PLC, February 29, 2008
- Rio Tinto plc, July 24, 2007
- Roper Industries, Inc., July 19, 2007
- Royal Bank of Scotland Group plc tender offer for ABN AMRO Holding N.V., July 23, 2007
- Royal Dutch Shell PLC, May 17, 2005
- Royal Precision, Inc., April 9, 2003
- Russell Corporation, March 18, 2004
- RWE Aktiengesellschaft, March 22, 2002
- Saipem SpA, July 29, 2002
- SanDisk Corporation, September 21, 2006
- San Francisco Baseball Associates L.P., February 24, 2006
- Scitex Corporation Ltd., June 14, 2004
- Scottish Power plc, April 3, 2006
- Seagate Removable Storage Solutions Holdings, March 7, 2003
- Security Capital Assurance Ltd. and XL Capital Ltd., October 31, 2006
- SERENA Software, Inc., April 13, 2004
- Serono S.A., September 12, 2002
- SG Cowen & Co., Inc., August 25, 2004
- Shelbourne Properties I, Inc., April 29, 2004
- Shire Pharmaceuticals Group PLC and Shire PLC, November 17, 2005
- SI International, Inc., February 4, 2002
- Six Continents PLC, March 28, 2003
- Smart Move, Inc., May 16, 2007
- Smith & Nephew Group plc and Smith & Nephew plc, April 24, 2003
- Smith Barney Fund Management LLC and Citigroup Global Markets, Inc., May 31, 2005
- Society of Corporate Secretaries & Corporate Governance Professionals, June 25, 2008
- Southern Cross, March 5, 2002
- Southern Investors Service Company, Inc., June 24, 2005
- Southwestern Energy Company, June 29, 2006
- SPARTA, Inc., October 4, 2006
- Special Situations Fund III, L.P., November 17, 2005
- Sprint Corporation, August 25, 2003
- STATS ChipPAC Ltd., March 15, 2007
- Stichting Pensioenfonds ABP, May 7, 2004
- streetTRACKS Gold Trust, February 18, 2005
- Summit Bank Corporation, March 14, 2007
- SunCom Wireless Holdings, Inc., February 29, 2008
- SUNDAY Communications Limited, November 1, 2006
- SUNDAY Communications Limited, November 7, 2005
- Swedish Match AB, June 20, 2006
- Swingvote, LLC, July 15, 2005
- SWX Swiss Exchange, July 3, 2002
- Synetics Solutions, Inc., October 15, 2004
- Taiwan Stock Exchange Corporation, December 14, 2004
- Teck Cominco Limited, June 21, 2006
- Telemar Participações S.A., October 9, 2007
- Telemar Participações S.A., June 20, 2007
- Tenet Healthcare Corporation, April 19, 2007
- Tennessee Valley Authority, December 14, 2006
- Texas Roadhouse, Inc., July 28, 2005
- Ticket Reserve, Inc., September 11, 2003
- Tokyo Stock Exchange, Inc., August 20, 2004
- T REIT, Inc. and T REIT Liquidating Trust, August 9, 2007
- Triad Guaranty, Inc. and Collateral Investment Corp., August 12, 2005
- Tuition Account Investment PR, June 26, 2002
- Tuition Plan Consortium, LLP, February 4, 2003
- TXU Corporation, September 13, 2004
- U.S. Bancorp Piper Jaffray Inc., October 31, 2003
- UBS Financial Services Inc., February 12, 2004
- UBS PaineWebber, Inc., August 20, 2003
- UBS Securities LLC, f/k/a UBS Warburg LLC, October 31, 2003
- UCB S.A., May 19, 2004
- Unisphere Networks, Inc., January 15, 2002
- Unocal Corporation, October 21, 2005
- USG Corporation, April 23, 2002
- Vail Resorts, Inc., April 25, 2007
- Verint Systems Inc., May 24, 2007
- VG Holding Corporation, October 31, 2006
- Victory Renewable Fuels, LLC, October 15, 2007
- ViewSonic Corporation, March 14, 2008
- Vodafone PLC, June 12, 2006
- Wachovia Capital Markets, LLC, May 31, 2006
- Wachovia Securities Inc., February 12, 2004
- Waddell & Reed Financial, Inc., October 31, 2006
- Watchdata Technologies Ltd., June 29, 2006
- WaveRider Communications Inc., March 31, 2006
- Weatherford International, June 25, 2002
- Weirton Steel Corporation, March 23, 2004
- Wells REIT II, Inc., June 26, 2007
- Western & Southern Mutual Holding Company; Lafayette Life MIHC, Inc., March 4, 2005
- Westfield America, Inc., January 29, 2002
- Weyerhaeuser Company, February 23, 2007
- Wiener Börse, December 14, 2004
- Wilmington Trust Company, March 12, 2007
- Wilmington Trust Company, as Trustee, and AFG Investment Liquidating Trusts, June 18, 2003
- Wilmington Trust Company et al., February 26, 2003
- WinCo Foods, LLC and WinCo Holdings, Inc., November 21, 2005
- Wintegra, Inc., August 11, 2006
- XL Capital Assurance, Inc., July 23, 2002
- XO Communications, Inc., June 1, 2004
- Xyratex PLC, May 29, 2002
- Zimmer Holdings, Inc., June 19, 2003
Chronological List of No-Action Letters |
- Midwest Real Estate Data LLC, August 18, 2008
- Missouri Bankers Association, August 18, 2008
- Horsepower Holdings, Inc., August 14, 2008
- ArcelorMittal, August 13, 2008
- I.C. Isaacs & Company, Inc., August 13, 2008
- Prairie Creek Ethanol, LLC, August 12, 2008
- JPMorgan Chase & Co., August 4, 2008
- Liberty Lane Acquisition Corp., July 28, 2008
- Federal Home Loan Mortgage Corporation, July 18, 2008
- Orbis Group, July 16, 2008
- Knight Capital Group, Inc., July 1, 2008
- Kraft Foods Inc., July 1, 2008
- Barclays (Netherlands) N.V., June 26, 2008
- Society of Corporate Secretaries & Corporate Governance Professionals, June 25, 2008
- Emeriti Consortium for Retirement Health Solutions, June 16, 2008
- Eaton Vance Management, June 13, 2008
- Questar Assessment, Inc., June 13, 2008
- GAMCO Investors, Inc., June 9, 2008
- Analog Devices, Inc., May 30, 2008
- First Southwest Company, May 27, 2008
- Elron Electronics Industries Ltd., May 15, 2008
- CollaGenex Pharmaceuticals, Inc., May 12, 2008
- Bank of America Corporation, May 1, 2008
- Gabelli Funds LLC, April 24, 2008
- Reuters Group PLC and Thomson Reuters PLC, March 20, 2008
- JPMorgan Chase & Co., March 17, 2008
- Municipal Auction Rate Securities, March 14, 2008
- ViewSonic Corporation, March 14, 2008
- Clal Industries and Investments Ltd., March 3, 2008
- Reuters Group PLC and Thomson Reuters PLC, February 29, 2008
- SunCom Wireless Holdings, Inc., February 29, 2008
- G REIT, Inc. and G REIT Liquidating Trust, February 25, 2008
- Dollar Tree Stores, Inc., February 20, 2008
- Planet Technologies, Inc., February 7, 2008
- Oncothyreon Inc. and Biomira Inc., January 31, 2008
- MetLife Life and Annuity Company of Connecticut, January 22, 2008
- RARE Hospitality International, Inc., January 22, 2008
- Energy West, Incorporated, January 15, 2008
- DnB NOR ASA, January 9, 2008
- International Securities Exchange, Inc., January 3, 2008
- ACE Aviation Holdings, Inc., December 26, 2007
- Business Objects S.A., December 5, 2007
- Genesee Corporation, December 5, 2007
- Grupo Iusacell Celular, S.A. de C.V., November 26, 2007
Notice, October 15, 2007
Application, October 12, 2007
- Bausch & Lomb Incorporated, November 6, 2007
- FoxHollow Technologies, Inc., November 2, 2007
- Victory Renewable Fuels, LLC, October 15, 2007
- Natixis S.A., Banque Fédérale des Banques Populaires and Caisse National des Caisses d'Epargne, October 9, 2007
- Telemar Participações S.A., October 9, 2007
- Abacus Investments Limited, October 5, 2007
- Republic of Hungary, September 28, 2007
- MP Environmental Funding LLC, PE Environmental Funding LLC, September 19, 2007
- Microtune, Inc., September 13, 2007
- Eagle Hospitality Properties Trust, Inc., August 30, 2007
- ICON Cash Flow Partners L.P. Seven and ICON Cash Flow Partners L.P. Seven Liquidating Trust, August 14, 2007
- T REIT, Inc. and T REIT Liquidating Trust, August 9, 2007
- Barclays PLC tender offer for ABN AMRO Holding N.V., August 7, 2007
- Registration of PORTAL Securities under Section 12(g), July 31, 2007
- Rio Tinto plc, July 24, 2007
- Royal Bank of Scotland Group plc tender offer for ABN AMRO Holding N.V., July 23, 2007
- Oesterreichische Kontrollbank Aktiengesellschaft and the Republic of Austria, July 20, 2007
- Roper Industries, Inc., July 19, 2007
- EMC Corporation and VMware, Inc., July 9, 2007
- Wells REIT II, Inc., June 26, 2007
- Endesa, S.A., July 3, 2007
- InterDigital Communications Corporation, June 25, 2007
- Telemar Participações S.A., June 20, 2007
- ABX Air, Inc., June 13, 2007
- HCC Insurance Holdings, Inc., June 12, 2007
- J.P. Morgan Securities, Inc., June 5, 2007
- Asia Satellite Telecommunications Holdings Limited, May 25, 2007
- Verint Systems Inc., May 24, 2007
- Smart Move, Inc., May 16, 2007
- Morgan Stanley & Co. Incorporated, May 11, 2007
- Grupo Aeropotuario del Sureste, S.A.B. de C.V. (Southeast Airport Group), May 9, 2007
- RenaissanceRe Holdings Ltd., April 27, 2007
- Equitable Resources, Inc., April 25, 2007
- Vail Resorts, Inc., April 25, 2007
- Tenet Healthcare Corporation, April 19, 2007
- CANTV, April 6, 2007
- Claymore MACROshares Oil Up Holding Trust et al., March 30, 2007
- American Physicians Insurance Company, March 30, 2007
- DSL.net, Inc., March 30, 2007
- Nicor, Inc., March 29, 2007
- CurrencyShares Japanese Yen Trust, March 27, 2007
- Chordiant Software, Inc., March 26, 2007
- Halliburton Company, March 23, 2007
- Ford Motor Credit Company, March 21, 2007
- Eurolist by Euronext and the Alternext Market, March 16, 2007
- Overseas Partners Ltd., March 16, 2007
- STATS ChipPAC Ltd., March 15, 2007
- Banc of America Securities LLC, March 14, 2007
Supplemental Letter, March 20, 2007
- Summit Bank Corporation, March 14, 2007
- Beazer Homes USA, Inc., March 12, 2007
- Wilmington Trust Company, March 12, 2007
- Juniper Networks, Inc., March 6, 2007
- Adobe Systems Incorporated, February 28, 2007
- CNET Networks, Inc., February 28, 2007
- The Korea Exchange, February 28, 2007
- MDS Inc., February 28, 2007
- Weyerhaeuser Company, February 23, 2007
- ProSiebenSat.1 Media AG, January 30, 2007
- MBIA Inc., January 29, 2007
- Bank of New York Company, January 9, 2007
- Deutsche Bank AG, January 9, 2007
- CenterPoint Energy, December 21, 2006
- Portugal Telecom, SGPS, S.A., December 19, 2006
- Babson Capital Management LLC, December 14, 2006
- Tennessee Valley Authority, December 14, 2006
- CPA:14 Holdings Inc., December 11, 2006
- E.ON Aktiengesellschaft, December 6, 2006
- Embratel Participacoes, S.A., December 6, 2006
- Pepco Holdings, Inc., December 6, 2006
- iShares COMEX Gold Trust, November 27, 2006
- Erica Enders Racing, LLC, November 21, 2006
- NASDAQ Stock Market, Inc., November 20, 2006
- Mellon Financial Corporation, Newton Investment Management Limited and Mellon Global Investments Limited, November 16, 2006
- iShares GSCI Commodity-Indexed Trust and iShares GSCI Commodity-Indexed Investing Pool LLC, November 14, 2006
- BH Lodging Corp., November 8, 2006
- Hartford Investment Financial Services, November 8, 2006
- Loudeye Corp., November 7, 2006
- SUNDAY Communications Limited, November 1, 2006
- Hecla Mining Company, October 31, 2006
- Security Capital Assurance Ltd. and XL Capital Ltd., October 31, 2006
- VG Holding Corporation, October 31, 2006
- Waddell & Reed Financial, Inc., October 31, 2006
- EIG Mutual Holding Company, October 25, 2006
- Fidelity Life Association, October 18, 2006
- Barrick Gold Corporation, October 10, 2006
- Fresenius Aktiengesellschaft, October 10, 2006
- Avago Technologies Limited, October 6, 2006
- Raytheon Company, October 5, 2006
- SPARTA, Inc., October 4, 2006
- Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc. (Waiver Request under Regulation A and Rule 505 of Regulation D), September 28, 2006
- Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc. (Waiver Request under Rule 405), September 28, 2006
- McDonald's Corporation, September 27, 2006
- Bayer AG, September 26, 2006
- BISYS Fund Services, Inc., September 26, 2006
- Alliance Semiconductor Corporation, September 22, 2006
- Dunham & Associates Investment Counsel, Inc., Jeffrey A. Dunham, and Dunham & Associates Securities, Inc., September 22, 2006
- SanDisk Corporation, September 21, 2006
- CurrencyShares Australian Dollar Trust, September 13, 2006
- CurrencyShares British Pound Sterling Trust, September 13, 2006
- CurrencyShares Canadian Dollar Trust, September 13, 2006
- CurrencyShares Mexican Peso Trust, September 13, 2006
- CurrencyShares Swedish Krona Trust, September 13, 2006
- CurrencyShares Swiss Franc Trust, September 13, 2006
- Hines Real Estate Investment Trust, Inc., September 7, 2006
- Lincoln National Corporation, August 31, 2006
- Prudential Equity Group, LLC, August 28, 2006
Supplemental Letter, September 5, 2006
- iShares Silver Trust, August 11, 2006
- Wintegra, Inc., August 11, 2006
- NASDAQ Stock Market LLC, August 1, 2006
- Global Preferred Holdings, Inc., July 18, 2006
- PMI Group, Inc., July 6, 2006
- Apple REIT Six, Inc., June 30, 2006
- Bayer Entities, June 29, 2006
- Handy Hardware Wholesale, Inc., June 29, 2006
- Southwestern Energy Company, June 29, 2006
- Watchdata Technologies Ltd., June 29, 2006
- Teck Cominco Limited, June 21, 2006
- Swedish Match AB, June 20, 2006
- Vodafone PLC, June 12, 2006
- Banc of America Securities LLC, May 31, 2006
- Bear, Stearns & Co. Inc., May 31, 2006
- Citigroup Global Markets, Inc., May 31, 2006
- Goldman, Sachs & Co., May 31, 2006
- J.P. Morgan Securities, Inc., May 31, 2006
- Lehman Brothers Inc., May 31, 2006
- Merrill Lynch, Pierce, Fenner & Smith Incorporated, May 31, 2006
- Morgan Keegan & Company, Inc., May 31, 2006
- Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc., May 31, 2006
- Piper Jaffray & Co., May 31, 2006
- RBC Dain Rauscher Inc., May 31, 2006
- Wachovia Capital Markets, LLC, May 31, 2006
- AstraZeneca PLC, May 23, 2006
- Federal Home Loan Bank of Des Moines, May 23, 2006
- Federal Home Loan Bank of Seattle, May 23, 2006
- Federal Home Loan Bank of Topeka, May 23, 2006
- Network General Central Corporation, May 22, 2006
- Morgan Stanley & Co. Incorporated, May 12, 2006
- Canada Pension Plan Investment Board, May 5, 2006
- Bayer AG, April 28, 2006
- Euronext Amsterdam N.V., April 7, 2006
- Scottish Power plc, April 3, 2006
- ADVISORS REIT I, Inc., March 31, 2006
- WaveRider Communications Inc., March 31, 2006
- Duke Energy Corporation, Duke Energy Holding Corp., Cinergy Corp., March 30, 2006
- Cygnus, Inc., March 27, 2006
- Euro Currency Trust, March 22, 2006
- Federal Home Loan Bank of Atlanta, March 20, 2006
- Bear, Stearns & Co. Inc., March 16, 2006
- PacifiCare Health Systems, Inc., March 16, 2006
- Merrill Lynch, Pierce, Fenner & Smith Incorporated, March 13, 2006
- IVAX Corporation, March 10, 2006
- Gas Natural SDG, S.A., March 2, 2006
- San Francisco Baseball Associates L.P., February 24, 2006
- Federal Home Loan Bank of Indianapolis, February 22, 2006
- MetLife, Inc., February 21, 2006
- Mitsubishi UFJ Financial Group, Inc., January 23, 2006
- Federal Home Loan Bank of Chicago, January 20, 2006
- Barrick Gold Corporation, January 19, 2006
- Fresenius Medical Care AG, January 13, 2006
- Publicis Groupe S.A., January 13, 2006
- Nordic Telephone Company ApS, January 3, 2006
- BBVA Privanza International (Gibraltar) Limited, December 23, 2005
- Federal Home Loan Bank of Boston, December 23, 2005
- Jilin Chemical Industrial Company Limited, December 21, 2005
- Mercer International Inc., December 12, 2005
- FORE Holdings LLC and FORE Holdings Liquidating Trust, December 1, 2005
- Jazz Semiconductor, Inc., November 21, 2005
- WinCo Foods, LLC and WinCo Holdings, Inc., November 21, 2005
- Shire Pharmaceuticals Group PLC and Shire PLC, November 17, 2005
- Special Situations Fund III, L.P., November 17, 2005
- CanWest Media Inc., November 15, 2005
- SUNDAY Communications Limited, November 7, 2005
- Unocal Corporation, October 21, 2005
- Federal Home Loan Bank of Pittsburgh, September 28, 2005
- Legg Mason Wood Walker, Incorporated, September 21, 2005
- Federal Home Loan Bank of Dallas, September 15, 2005
- Federal Home Loan Bank of Cincinnati, September 13, 2005
- Axel Springer AG, September 12, 2005
- Federal Home Loan Bank of New York, August 26, 2005
- Federal Home Loan Bank of San Francisco, August 26, 2005
- Triad Guaranty, Inc. and Collateral Investment Corp., August 12, 2005
- Ashland Inc., August 8, 2005
- Texas Roadhouse, Inc., July 28, 2005
- Prudential Equity Group, LLC, July 25, 2005
- Swingvote, LLC, July 15, 2005
- Korea Fund, Inc., July 1, 2005
- Southern Investors Service Company, Inc., June 24, 2005
- National Grid Transco plc, June 6, 2005
- Smith Barney Fund Management LLC and Citigroup Global Markets, Inc., May 31, 2005
- Bunzl plc, May 27, 2005
- iShares COMEX Gold Trust, May 19, 2005
- Peter Kiewit Sons', Inc., May 17, 2005
- Royal Dutch Shell PLC, May 17, 2005
- Aether Systems, Inc., April 26, 2005
- Equant N.V. and France Telecom S.A., April 18, 2005
- Landeskreditbank Baden-Württemberg - Förderbank, April 18, 2005
- Emeriti Consortium for Retirement Health Solutions, April 7, 2005
- Credit Agricole S.A., April 4, 2005
- Mrs. Fields Famous Brands, LLC, Mrs. Fields Financing Company, Inc., and Certain Guarantors, March 24, 2005
- Citigroup Global Markets, Inc., March 23, 2005
- Manulife Financial Corporation, March 15, 2005
- Harmony Gold Mining Company Limited, March 10, 2005
- Infiniti Solutions Ltd., March 8, 2005
- Republic of Uruguay, March 8, 2005
- Western & Southern Mutual Holding Company; Lafayette Life MIHC, Inc., March 4, 2005
- CIBC Mellon Trust Company, March 2, 2005
- CIBC Mellon Trust Company, February 24, 2005
- streetTRACKS Gold Trust, February 18, 2005
- Boston Capital Real Estate Investment Trust, Inc., February 10, 2005
- Matria Healthcare, Inc., February 10, 2005
- Morgan Stanley & Co. Incorporated, February 4, 2005
- Man-Glenwood Lexington, LLC, January 31, 2005
- McKinsey & Company, Inc., January 11, 2005
- Blackstone Entities, December 16, 2004
- Taiwan Stock Exchange Corporation, December 14, 2004
- Wiener Börse, December 14, 2004
- EnCana Corporation, December 3, 2004
- Employers Insurance Company of Nevada, December 2, 2004
- Harmony Gold Mining Company Limited, November 19, 2004
- Equitable Life Assurance Society, November 15, 2004
- Euronext Brussels SA/NV, November 10, 2004
- News Corporation Limited, November 3, 2004
- Behringer Harvard REIT, et. al., October 26, 2004
- ATX Group, Inc., October 15, 2004
- Synetics Solutions, Inc., October 15, 2004
- Petroleos Mexicanos and the Pemex Project Funding Master Trust, October 13, 2004
- Comcast Corporation, October 7, 2004
- Johnson Controls, Inc., October 1, 2004
- Bookham Technology plc, September 22, 2004
- Engenio Information Technologies, Inc., September 13, 2004
- TXU Corporation, September 13, 2004
- Peninsular & Oriental Steam Navigation Company, August 30, 2004
- Adams Harkness, Inc., August 25, 2004
- Friedman, Billings, Ramsey & Co., Inc., August 25, 2004
- Janney Montgomery Scott LLC, August 25, 2004
- Morgan Keegan & Co., Inc., August 25, 2004
- Needham & Company, Inc., August 25, 2004
- Prudential Equity Group, LLC, August 25, 2004
- SG Cowen & Co., Inc., August 25, 2004
- Fannie Mae, August 20, 2004
- Tokyo Stock Exchange, Inc., August 20, 2004
- Kerr-McGee (Nevada) LLC, August 9, 2004
- Enstar Income/Growth Program Five-A, L.P., August 7, 2004
- Axtel. S.A. de C.V., July 21, 2004
- Hines Real Estate Investment Trust, Inc., June 18, 2004
- AmeriVision Communications, Inc., June 14, 2004
- Discount Investment Corporation Ltd., June 14, 2004
- Scitex Corporation Ltd., June 14, 2004
- Aventis, June 10, 2004
- PetroKazakhstan Inc., June 10, 2004
- XO Communications, Inc., June 1, 2004
- Prague Stock Exchange, May 28, 2004
- Citigroup Inc., May 27, 2004
- UCB S.A., May 19, 2004
- Epicor Software Corporation, May 13, 2004
- Galey & Lord, Inc., May 10, 2004
- Stichting Pensioenfonds ABP, May 7, 2004
- AB Electrolux, May 4, 2004
- Shelbourne Properties I, Inc., April 29, 2004
- Bolivarian Republic of Venezuela, April 28, 2004
- europrospectus.com limited, April 28, 2004
- Lodgian, Inc., April 27, 2004
- SERENA Software, Inc., April 13, 2004
- Liberty National Golf Club, March 29, 2004
- Weirton Steel Corporation, March 23, 2004
- Credit Suisse First Boston, March 18, 2004
- Russell Corporation, March 18, 2004
- 3333 Holding Corporation, Centex Development Company, L.P., March 17, 2004
- CNL Income Properties, Inc. , March 11, 2004
- Las Sendas Golf Club, Inc., March 2, 2004
- Banc of America Investors, L.P., February 24, 2004
- General Electric Company and GE Investments, Inc., February 24, 2004
- Raymond James Financial Services, Inc., February 17, 2004
- American Express Financial Advisors Inc., February 12, 2004
- Legg Mason Wood Walker, Inc., February 12, 2004
- Linsco/Private Ledger Corp., February 12, 2004
- UBS Financial Services Inc., February 12, 2004
- Wachovia Securities Inc., February 12, 2004
- Agristar Global Networks, Ltd., February 9, 2004
- Pegasus Aircraft Partners, L.P., February 9, 2004
- BCP Crystal Acquisition GmbH & Co, February 3, 2004
- Abetterwayhome Corp., January 30, 2004
- American Bar Association, January 30, 2004
- Hanover Compressor Company, January 27, 2004
- Ampco-Pittsburgh Corporation, January 22, 2004
- AngloGold Limited, January 15, 2004
- Pacific Exchange, Inc., December 23, 2003
- Marengo Bancshares, Inc., November 7, 2003
- Martha Stewart Living Omnimedia, Inc., November 7, 2003
- Bear, Stearns & Co. Inc., October 31, 2003
- Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., October 31, 2003
- Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation, October 31, 2003
- Goldman, Sachs & Co., October 31, 2003
- J.P. Morgan Securities Inc., October 31, 2003
- Lehman Brothers Inc., October 31, 2003
- Merrill Lynch, Pierce, Fenner & Smith, Incorporated, October 31, 2003
- Morgan Stanley & Co. Incorporated, October 31, 2003
- UBS Securities LLC, f/k/a UBS Warburg LLC, October 31, 2003
- U.S. Bancorp Piper Jaffray Inc., October 31, 2003
- Microsoft Corporation, October 15, 2003
- Goldman, Sachs & Co., October 9, 2003
- Hanson PLC, Hanson Building Materials PLC, October 9, 2003
- J.P. Morgan Securities Inc., October 8, 2003
- Alcan, Inc. for Common Shares, ADSs, Bonus Allocation Rights and OCEANEs of Pechiney, October 7, 2003
- Atchison Casting Corporation, October 7, 2003
- Hawaiian Holdings, Inc., October 1, 2003
- The Prudential Insurance Company of America, September 5, 2003
- Ticket Reserve, Inc., September 11, 2003
- Goldman, Sachs & Co., September 4, 2003
- Adolph Coors Company, August 25, 2003
- Sprint Corporation, August 25, 2003
- Mitsui & Co., Ltd., August 20, 2003
- UBS PaineWebber, Inc., August 20, 2003
- Deutsche Asset Management, Inc., August 19, 2003
- CoorsTek, Inc., August 14, 2003
- Medialive International, Inc., August 13, 2003
- Olohana Golf Club, Inc., July 31, 2003
- Journal Company, July 24, 2003
- Hauser, Inc., July 17, 2003
- Evolve Software, Inc., July 16, 2003
- Prudential Securities Incorporated, July 10, 2003
- Northwest Physicians Mutual Insurance Company, July 2, 2003
- Zimmer Holdings, Inc., June 19, 2003
- Wilmington Trust Company, as Trustee, and AFG Investment Liquidating Trusts, June 18, 2003
- PLM Equipment Growth Fund III, Liquidating Trust, June 9, 2003
- ISE Labs, Inc., June 2, 2003
- Hechinger Liquidation Trust, May 15, 2003
- Kingfisher plc, April 25, 2003
- Smith & Nephew Group plc and Smith & Nephew plc, April 24, 2003
- Cairo and Alexandria Stock Exchanges, April 16, 2003
- Royal Precision, Inc., April 9, 2003
- Physica B.V. and Solvay S.A., April 8, 2003
- Cook Inlet Region, Inc., April 2, 2003
- Merrill Lynch Depositor, Inc., March 28, 2003
- Six Continents PLC, March 28, 2003
- Mitsubishi Motors Credit of America, Inc., March 27, 2003
- Friedman, Billings, Ramsey Group Inc., FBR Asset Investment Corporation, Forest Merger Corporation, March 25, 2003
- IBM Credit LLC, March 24, 2003
- Insilco Holding Co., March 18, 2003
- Barcelona Stock Exchange, Bilbao Stock Exchange, Madrid Stock Exchange and Valencia Stock Exchange, March 11, 2003
- Seagate Removable Storage Solutions Holdings, March 7, 2003
- Headstrong Corporation, February 28, 2003
- M/I Schottenstein Homes, Inc., February 28, 2003
- Wilmington Trust Company et al., February 26, 2003
- Crown, Cork & Seal Company, Inc., February 25, 2003
- Millers Mutual Insurance Association, February 20, 2003
- Tuition Plan Consortium, LLP, February 4, 2003
- Landwirtschaftliche Rentenbank Federal Republic of Germany, January 30, 2003
- Milwaukee Mutual Insurance Company, January 30, 2003
- Constellation Brands, Inc., January 29, 2003
- Accenture Ltd., January 10, 2003
- Algoma Steel Inc., December 23, 2002
- Mooney Aerospace Group, Ltd., December 20, 2002
- Gilat Satellite Networks Ltd., December 19, 2002
- CarMax, Inc., December 6, 2002
- AT&T Comcast Corporation, November 18, 2002
- Bank of America, N.A., November 13, 2002
- PayPal, Inc., November 13, 2002
- NOMOS Corporation, November 12, 2002
- Intrawest Corporation, November 8, 2002
- DataCard Corporation, October 15, 2002
- Communicator Inc, September 20, 2002
- Serono S.A., September 12, 2002
- Koninklijke Ahold N.V., September 10, 2002
- Channel Islands Stock Exchange, September 6, 2002
- Allstate Life Insurance Company, August 23, 2002
- ConocoPhillips, August 23, 2002
- Medco Health Solutions, Inc., August 13, 2002
- Nationwide Financial Services, Inc. and Provident Mutual Life Insurance Company, August 9, 2002
- Alliance Capital Management Holding L.P. et al., August 1, 2002
- Saipem SpA, July 29, 2002
- Laclede Steel Company, July 25, 2002
- Accredited Home Lenders, Inc., July 26, 2002
- Centre Solutions Limited, July 25, 2002
- XL Capital Assurance, Inc., July 23, 2002
- Armstrong World Industries, Inc., July 16, 2002
- Pae Tec Corp., July 16, 2002
- Federal Home Loan Mortgage Corporation, July 12, 2002
- Federal National Mortgage Association, July 12, 2002
- Madison Dearborn Partners, LLC, July 9, 2002
- SWX Swiss Exchange, July 3, 2002
- Exxon Mobil Corp., June 28, 2002
- Opticon Medical Inc., June 28, 2002
- Grupo TMM, S.A. de C.V., June 27, 2002
- J.P. Morgan Chase & Co and other Affiliates, June 26, 2002
- Tuition Account Investment PR, June 26, 2002
- Cobalt Group Inc., June 25, 2002
- Weatherford International, June 25, 2002
- Financement Quebec, June 24, 2002
- Burnham Pacific Properties, Inc., June 21, 2002
- Ashanti Goldfields Company Limited, June 19, 2002
- General Maritime Corp., June 14, 2002
- Xyratex PLC, May 29, 2002
- Arch Wireless Inc., May 24, 2002
- Government of Jamaica, May 22, 2002
- Intergraph Corp., May 15, 2002
- MWH Global Inc., May 9, 2002
- Marriott Residence Inn II Limited Partnership, May 8, 2002
- Panatone Finvest Ltd, May 6, 2002
- Gen Probe Inc/Chugai Pharmaceutical Co., Ltd., April 30, 2002
- Nabors Industries, Inc., April 30, 2002
- USG Corporation, April 23, 2002
- Neogenesis Pharmaceuticals, Inc., April 1, 2002
- RWE Aktiengesellschaft, March 22, 2002
- CGNU plc, March 19, 2002
- Southern Cross, March 5, 2002
- Nordstrom.com, LLC, February 28, 2002
- RBC Centura Banks, Inc., February 26, 2002
- Marriott Residence Inn Limited Partnership, February 20, 2002
- Deutsche Bank AG, February 14, 2002
- InFlowGroup, Inc., February 13, 2002
- Cambridge Advantaged Properties II Limited Partnership, February 6, 2002
- Republic of Italy, February 4, 2002
- SI International, Inc., February 4, 2002
- Westfield America, Inc., January 29, 2002
- CanAccord Capital Corporation, January 18, 2002
- Arclight Systems, LLC, January 17, 2002
- Unisphere Networks, Inc., January 15, 2002
- Issuer Exchange Offers Conducted for Compensatory Purposes, March 21, 2001
http://www.sec.gov/divisions/corpfin/cf-noaction.shtml
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