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Other Commission Orders, Notices,
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Release No. | Date | Details |
Fourth Quarter | ||
34-57039 | Dec. 21, 2007 | JPMorgan Securities Inc. (Order Regarding Alternative Net Capital Computation for JPMorgan Securities Inc.) |
34-57031 | Dec. 21, 2007 | Egan-Jones Rating Company (Order Granting Registration of Egan-Jones Rating Company as a Nationally Recognized Statistical Rating Organization) |
33-8874 | Dec. 19, 2007 | Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.: 34-56989 File No.: 265-24 Comments Due: January 4, 2008 |
33-8873 | Dec. 18, 2007 | Order Approving Public Company Accounting Oversight Board Budget And Annual Accounting Support Fee For Calendar Year 2008
Other Release No.: 34-56986 |
34-56941 | Dec. 11, 2007 | Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 (Order Approving and Declaring Effective a 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., NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.)
File No.: 4-551 See also: Notice/Order: Rel. No. 34-58765; Notice/Order: Rel. No. 34-57649; Notice: Rel. No. 34-56731 |
39-2450 | Nov. 26, 2007 | Grupo Iusacell Celular, S.A. de C.V. (Order Granting Application for Exemption)
File No.: 22-28859 See also: Notice: Rel. No. 39-2449 |
34-56779 | Nov. 9, 2007 | Notice of Application of the National Association of Realtors for Exemptive Relief under Sections 15 and 36 of the Exchange Act and Request for Comment
File No.: S7-26-07 See also: NAR’S Application Comments Due: December 17, 2007 Comments received are available for this notice. Submit comments on S7-26-07 |
34-56731 | Nov. 1, 2007 | Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 (Notice of Filing of Proposed 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., NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.)
File No.: 4-551 Comments Due: November 30, 2007 See also: Notice/Order: Rel. No. 34-58765; Notice/Order: Rel. No. 34-57649; Order: Rel. No. 34-56941 |
39-2449 | Oct. 15, 2007 | Grupo Iusacell Celular, S.A. de C.V. (Application and Opportunity for Hearing)
File No.: 22-28859 Hearing Requests Due: November 14, 2007 See also: Order: Rel. No. 39-2450 |
34-56638 | Oct. 10, 2007 | Stephen Anthony Englese (Order Approving Application for Relief From a Statutory Disqualification) |
33-8856 | Oct. 5, 2007 | Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.: 34-56624 File No.: 265-24 Comments Due: October 26, 2007 Comments received are available for this notice. |
Third Quarter | ||
33-8853 | Sep. 28, 2007 | AIG SunAmerica Life Assurance Company, f/k/a Anchor National Life Insurance Company (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)
Other Release No.: 34-56570 |
34-56534 | Sep. 26, 2007 | Public Alert: Unregistered Soliciting Entities ("PAUSE") Program
Other Release No.: IA-2658 File No.: S7-24-07 Comments Due: November 1, 2007 |
34-56521 | Sep. 25, 2007 | Gerdine & Associates (Order Cancelling the Registration of a Transfer Agent) |
34-56513 | Sep. 24, 2007 | Standard & Poor's Ratings Services (Order Granting Registration of Standard & Poor's Ratings Services as a Nationally Recognized Statistical Rating Organization) |
34-56512 | Sep. 24, 2007 | Rating and Investment Information, Inc. (Order Granting Registration of Rating and Investment Information, Inc. as a Nationally Recognized Statistical Rating Organization) |
34-56511 | Sep. 24, 2007 | Moody's Investors Service, Inc. (Order Granting Registration of Moody's Investors Service, Inc. as a Nationally Recognized Statistical Rating Organization) |
34-56510 | Sep. 24, 2007 | Japan Credit Rating Agency, Ltd. (Order Granting Registration of Japan Credit Rating Agency, Ltd. as a Nationally Recognized Statistical Rating Organization) |
34-56509 | Sep. 24, 2007 | Fitch, Inc. (Order Granting Registration of Fitch, Inc. as a Nationally Recognized Statistical Rating Organization) |
34-56508 | Sep. 24, 2007 | DBRS Limited (Order Granting Registration of DBRS Limited as a Nationally Recognized Statistical Rating Organization) |
34-56507 | Sep. 24, 2007 | A.M. Best Company, Inc. (Order Granting Registration of A.M. Best Company, Inc. as a Nationally Recognized Statistical Rating Organization) |
33-8843 | Sep. 19, 2007 | Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc. and Wachovia Securities, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3)) |
33-8842 | Sep. 19, 2007 | Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia Securities, 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.: 34-56463 |
33-8840 | Sep. 11, 2007 | Regulatory Flexibility Agenda
Other Release Nos.: 34- 56387, IA-2645, IC-27967 File Nos.: S7-21-07 Comments Due: December 31, 2007 |
33-8836 | Aug. 21, 2007 | Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting
Other Release No.: 34-56293 File No.: 265-24 Federal Register version Comments Due: September 24, 2007 Comments received are available for this notice. |
34-56148 | Jul. 26, 2007 | Notice of Filing and Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the National Association of Securities Dealers, Inc., New York Stock Exchange LLC, and NYSE Regulation, Inc. (Corrected to Conform to Federal Register Version)
File No.: 4-544 Comments Due: August 22, 2007 |
Second Quarter | ||
34-55991 | Jun. 29, 2007 | Order Extending Temporary Exemption of Banks from the Definition of "Broker" under Section 3(a)(4) of the Securities Exchange Act of 1934
File No.: S7-12-01 |
33-8817 | Jun. 27, 2007 | Notice of Federal Advisory Committee Establishment and Notice of Meeting
Other Release No.: 34-55969 File No.: 265-24 Federal Register version Comments received are available for this notice. See also: Advisory Committee Charter |
33-8816 | Jun. 25, 2007 | John Hancock Investment Management Services, LLC, John Hancock Distributors LLC, John Hancock Advisers, LLC and John Hancock 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.: 34-55947 File No.: 3-12664 See also: Release No. 34-55946 |
34-55920 | Jun. 18, 2007 | Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
File No.: 600-23 Comments Due: July 18, 2007 |
33-8808 | Jun. 8, 2007 | Barclays Bank PLC (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.: 34-55889 |
33-8807 | Jun. 8, 2007 | Barclays Bank PLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) Disqualification Provision) |
34-55791 | May 22, 2007 | Christopher Lee LaPorte (Order Approving Application for Relief from a Statutory Disqualification) |
34-55757 | May 14, 2007 | Thomas DeGironimo (Order Approving Application for Relief from a Statutory Disqualification) |
34-55755 | May 14, 2007 | Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc. File No.: 4-536 See also: Notice: Rel. No. 34-55612 |
33-8802 | May 9, 2007 | Morgan Stanley & Co. Incorporated (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.: 34-55727 |
33-8801 | May 9, 2007 | Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3)) |
33-8800 | May 7, 2007 | Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order 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.: 34-55713 |
33-8799 | May 7, 2007 | Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3)) |
34-55691 | May 2, 2007 | Laris Milonas (Order Approving Application for Relief from a Statutory Disqualification) |
33-8797 | May 2, 2007 | A.G. Edwards & Sons, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934 Granting a Waiver 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.: 34-55694 |
33-8796 | May 2, 2007 | A.G. Edwards & Sons, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(C)(3)) |
33-8794 | Apr. 30, 2007 | Fee Rates (Order Making Fiscal Year 2008 Annual Adjustments to the Fee Rates Applicable) Other Release No.: 34-55682 |
33-8792 | Apr. 19, 2007 | Tenet Healthcare Corporation (Order 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.: 34-55649 |
34-55612 | Apr. 10, 2007 | Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc.
File No.: 4-536 Comments Due: May 9, 2007 See also: Order: Rel. No. 34-55755 |
34-55601 | Apr. 9, 2007 | Harry M. Richardson (Order Approving Application for Relief From a Statutory Disqualification) |
First Quarter | ||
34-55532 | Mar. 26, 2007 | Order Granting Approval of 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, Inc., the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, LLC, the NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
File No.: S7-966 See also: Notice: Rel. No. 34-55145 |
34-55505 | Mar. 22, 2007 | Notice of Filing and Order Approving and Declaring Effective a Revised Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.
File No.: 4-523 Additional Materials: Agreement Between the NASD and NYSE Arca, Inc. See also: Notice: Rel. No. 34-54394 |
33-8789 | Mar. 14, 2007 | Order Regarding Review of FASB Accounting Support Fee for 2007 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-55469 |
33-8786 | Mar. 13, 2007 | Roundtable on Interactive Data: Creating Interactive Data to Serve Investors (Notice of Roundtable Meeting)
Other Release No.: 34-55456 File No.: 4-515 See also: Spotlight On: Interactive Data and XBRL Initiatives |
33-8783 | Mar. 5, 2007 | Regulatory Flexibility Agenda
Other Release Nos.: 34-55396, IA-2596, IC-27746 File No.: S7-07-07 Comments Due: June 30, 2007 Federal Register version published April 30, 2007. |
34-55367 | Feb. 27, 2007 | Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the National Association of Securities Dealers, Inc.
File No.: 4-529 |
33-8782 | Feb. 26, 2007 | Roundtable on International Financial Reporting Standards "Roadmap"
Other Release No.: 34-55350 File No.: 4-532 |
34-55220 | Feb. 1, 2007 | Order Cancelling Registrations of Certain Transfer Agents |
34-55207 | Jan. 31, 2007 | Order Approving Amendment to Add the International Securities Exchange LLC as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS
File No.: 4-518 |
34-55165 | Jan. 25, 2007 | De Minimis Exemption (Order Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds from the Trade-Through Provisions of the Intermarket Trading System) |
33-8775 | Jan. 23, 2007 | Pacific Growth Equities, LLC (Order Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
File No.: 3-12543 See also: Release No. 34-55148 |
34-55145 | Jan. 22, 2007 | Notice of Filing of 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, Inc., the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, LLC, the NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
File No.: S7-966 Comments Due: February 16, 2007 See also: Order: Rel. No. 34-55532 |
PA-38 | Jan. 11, 2007 | Privacy Act of 1974: Notice of Alteration to Two Existing Systems of Records
File No.: S7-02-07 Effective Date: February 26, 2007 Comments Due: February 16, 2007 |
33-8770 | Jan. 9, 2007 | Wilmington Trust Company (Order Granting Waiver 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.: 34-55066 File No.: 3-12526 See also: Release No. 33-8767 |
33-8769 | Jan. 9, 2007 | The Bank Of New York (Order Granting Waiver 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.: 34-55065 File No.: 3-12526 See also: Release No. 33-8767 |
33-8768 | Jan. 9, 2007 | Deutsche Bank Trust Company Americas (Order Granting Waiver 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.: 34-55064 File No.: 3-12526 See also: Release No. 33-8767 |
34-55057 | Jan. 8, 2007 | ISE and NASD (Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the National Association of Securities Dealers, Inc.)
File No.: 4-529 Comments Due: February 7, 2007 |
http://www.sec.gov/rules/other/otherarchive/other2007.shtml
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