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Other Commission Orders, Notices,
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Release No. | Date | Details |
Fourth Quarter | ||
33-8352 | Dec. 29, 2003 | Canadian Imperial Bank of Commerce (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934) Release No. 34-48999 |
33-8351 | Dec. 29, 2003 | Canadian Imperial Bank of Commerce (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8332 | Oct. 31, 2003 | Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8331 | Oct. 31, 2003 | Lehman Brothers Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8330 | Oct. 31, 2003 | J.P. Morgan Securities Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8329 | Oct. 31, 2003 | U.S. Bancorp Piper Jaffray Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8328 | Oct. 31, 2003 | U.S. Bancorp Piper Jaffray Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934) Release No.: 34-48729 |
33-8327 | Oct. 31, 2003 | UBS Securities LLC, F/K/A, UBS Warburg LLC (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8326 | Oct. 31, 2003 | UBS Securities LLC, F/K/A, UBS Warburg LLC (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934) Release No.: 34-48728 |
33-8325 | Oct. 31, 2003 | Morgan Stanley & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8324 | Oct. 31, 2003 | Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934) |
33-8323 | Oct. 31, 2003 | Credit Suisse First Boston LLC, F/K/A, Credit Suisse First Boston Corporation (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8322 | Oct. 31, 2003 | Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8321 | Oct. 31, 2003 | Citigroup Global Markets Inc., F/K/A Salomon Smith Barney Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934) Release No.: 34-48726 |
33-8320 | Oct. 31, 2003 | Bear, Stearns & Co. Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8319 | Oct. 31, 2003 | Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) |
33-8318 | Oct. 31, 2003 | Merrill Lynch, Pierce, Fenner & Smith Inc. (Corrected Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934) Release No.: 34-48723 |
Third Quarter | ||
33-8278 | Sep. 4, 2003 | Goldman, Sachs & Co. (Order Granting Waiver Under Rule 602(e) under the Securities Act of 1933) |
33-8277 | Sep. 4, 2003 | Goldman, Sachs & Co. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934) 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: 34-54920; 34-52909; 34-50020 |
33-8263 | Aug. 1, 2003 | FASB Accounting Support Fee (Order for Review under Section 109 of the Sarbanes-Oxley Act of 2002) Release No.: 34-48277 |
33-8262 | Aug. 1, 2003 | PCAOB Budget and Accounting Support Fee (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2003) Release No.: 34-48276 |
Second Quarter | ||
34-48063 | June 19, 2003 | Foreign Issuers (Submitted Information Under the Exemption Relating to Certain Foreign Securities) Release No.: International Series Release No. 1269 |
34-47950 | May 30, 2003 | Exchange-Traded Funds (Order Extending a De Minimis Exemption UnderSection 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder) |
34-47778 | May 1, 2003 | Proxy Rules (Notice of Solicitation of Public Views) 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 | Fee Rates (Order Making Annual Adjustments 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 |
PA-33 | Apr. 23, 2003 | Privacy Act of 1974: Establishment of a New System of Records: Emergency
Contingency Plan System (SEC�) File No.: S7�� |
34-47683 | Apr. 16, 2003 | Order Regarding the Collateral Broker-Dealer Must Pledge When Borrowing Customer Securities International Series Release No.: 1268 |
First Quarter | ||
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 | Securities Uniformity (Notice of 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 | Merrill Lynch & Co., Inc. (Order Granting Waivers Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934 Release No.: 34-47514 |
33-8205 | Mar. 17, 2003 | Merrill Lynch & Co., Inc. (Order Granting Waiver Under Rule 602(e) of the Securities Act of 1933) Release No.: 34-47513 |
34-47425 | Feb. 28, 2003 | Fee Rates (Order Making Adjustment 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 | Options Specialists (Order of Exemption Under Section 11(b) of the Securities Exchange Act of 1934) |
http://www.sec.gov/rules/other/otherarchive/other2003.shtml
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