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Other Commission Orders, Notices, and Information
Archive of older SEC Commission Orders, Notices and Information available include:
Second Quarter | First Quarter
Additional Archives
2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
| Release No. |
Date |
Details |
| Second Quarter |
| 34-59855 |
May 1, 2009 |
Roundtable on Short Selling Price Test Restrictions and Short Sale Circuit Breakers (Notice of Roundtable Discussion; Request for Comment)
File No.: 4-581
Comments Due: June 19, 2009
Comments received are available.
 Submit comments on 4-581
|
| 33-9030 |
Apr. 30, 2009 |
Fee Rates (Order Making Fiscal Year 2010 Annual Adjustments to the Fee Rates Applicable under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 1934)
Other Release No.: 34-59850
|
| 33-9029 |
Apr. 17, 2009 |
American Skandia Investment Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting A Waiver of the Rule 602(c)(3) Disqualification Provision.)
See also: Administrative Proceeding: Rel. No. IA-2867
|
| 33-9028 |
Apr. 17, 2009 |
American Skandia Investment Services, Inc. (Order Under Section 27a(b) of The Securities Act Of 1933 And Section 21e(B) of The Securities Exchange Act of 1934, Granting Waivers Of The Disqualification Provisions Of Section 27A(b)(1)(A)(II) of the Securities Act of 1933 And Section 21E(b)(1)(A)(ii) of the Securities Exchange Act Of 1934 As To American Skandia Investment Services, Inc., And Its Affiliates)
Other Release No.: 34-59780
See also: Administrative Proceeding: Rel. No. IA-2867
|
| 33-9025 |
Apr. 13, 2009 |
PCAOB Support Fee (Order Approving Increase to Public Company Accounting Oversight Board Annual Accounting Support Fee for Calendar Year 2009)
Other Release No.: 34-59759
|
| 34-59753 |
Apr. 13, 2009 |
Roundtable on Oversight of Credit Rating Agencies (Notice of Roundtable Discussion; Request for Comment)
File Nos.: 4-579 and S7-04-09
Comments Due: May 15, 2009
Comments received are available for 4-579
Submit comments on 4-579
Submit comments on S7-04-09
|
| First Quarter |
| 33-9020 |
Mar. 26, 2009 |
Regulatory Flexibility Agenda
Other Release Nos.: 34-59634, IA-2858, IC-28679
File No.: S7-07-09
Comments Due: July 31, 2009
Submit comments on S7-07-09
|
| 33-9019 |
Mar. 20, 2009 |
UBS AG (Order Under Rule 602(e) under the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
|
| IA-2853 |
Mar. 17, 2009 |
William M. Ennis (Order Granting Consent to Associate)
|
| 33-9018 |
Mar. 17, 2009 |
Automated Trading Desk Specialists, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and Rule 602(c)(2) Disqualification Provisions)
|
| 33-9017 |
Mar. 17, 2009 |
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC (Corrected Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
|
| 33-9016 |
Mar. 16, 2009 |
Merrill Lynch, Pierce, Fenner, and Smith Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
|
| 34-59578 |
Mar. 13, 2009 |
Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. and Citadel Investment Group, L.L.C. Related to Central Clearing of Credit Default Swaps, and Request for Comments
Submit comments on S7-06-09
See also: Request for Exemptive Relief
|
| 34-59527 |
Mar. 6, 2009 |
Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of ICE US Trust LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments
Submit comments on S7-05-09
See also: Request for Exemptive Relief
|
| 33-9010 |
Mar. 3, 2009 |
Order Regarding Review of FASB Accounting Support Fee for 2009 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-59487
|
| 34-59477 |
Feb. 27, 2009 |
Order Making Fiscal Year 2009 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
|
| 34-59441 |
Feb. 24, 2009 |
C2 Options Exchange, Incorporated (Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.: 10-191
Comments Due: 45 days after publication in the Federal Register
See also: Form 1 Application and Exhibits
Submit comments on 10-191 |
| 33-9008 |
Feb. 18, 2009 |
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 as to Wachovia Securities, LLC and Its Affiliates)
Other Release No.: 34-59414
|
| 33-9007 |
Feb. 17, 2009 |
Wachovia Securities, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
|
| 33-9004 |
Jan. 30, 2009 |
Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-13357
|
| 33-9003 |
Jan. 30, 2009 |
Merrill Lynch, Pierce, Fenner & Smith Inc. (Order Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
Other Release No.: 34-59330
File No.: 3-13357
|
| 33-9000 |
Jan. 14, 2009 |
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos.: 34-59248, 39-2460, IC-28600, IA-2830
File No.: S7-03-09
Comments Due: February 25, 2009
Submit comments on S7-03-09
|
| 33-8997 |
Jan. 12, 2009 |
Gabelli Funds, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Gabelli Funds, LLC, Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-13332
|
| 34-59218 |
Jan. 8, 2009 |
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 (Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Boston Stock Exchange, Incorporated)
File No.: 4-575
See also: Notice: Rel. No. 34-59101
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http://www.sec.gov/rules/other.shtml
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