Archive of older SEC Commission Orders, Notices and Information available include:
| Release No. |
Date |
Details |
| Third Quarter |
| 33-9059 |
Aug. 12, 2009 |
General Electric Company (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
|
| 34-60473 |
Aug. 10, 2009 |
Order Providing NRSROs a Temporary Exemption from the Requirement in Rule 17g-2(d) (Incorporating the Provisions of Rule 17g-2(a)(8)) of the Securities Exchange Act of 1934 that CUSIP Numbers Be Displayed
|
| 34-60451 |
Aug. 5, 2009 |
Notice Regarding the Requirement to Use eXtensible Business Reporting Language Format to Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act
|
| IA-2909 |
Jul. 31, 2009 |
Approval of Investment Adviser Registration Depository Filing Fees
|
| 34-60409 |
Jul. 30, 2009 |
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 (Notice of Filing and Order Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., New York Stock Exchange LLC, NYSE Regulation, Inc. and NYSE Amex LLC)
File No.: 4-587
Comments Due: August 27, 2009
 Submit comments on 4-587
|
| 33-9056 |
Jul. 27, 2009 |
Perry Corp. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-13561
See also: Administrative Proceeding: Rel. No. 34-60351
|
| 33-9055 |
Jul. 20, 2009 |
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.: 34-60343
File No.: 3-13558
See also: Administrative Proceeding: Rel. No. 34-60342
|
| 33-9054 |
Jul. 20, 2009 |
Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-13558
See also: Administrative Proceeding: Rel. No. 34-60342
|
| PA-39 |
Jul. 16, 2009 |
Privacy Act of 1974: Systems of Records
File No.: S7-14-09
Effective Date: August 31, 2009
Comments Due: August 21, 2009
Submit comments on S7-14-09
|
| 33-9049 |
Jul. 8, 2009 |
Notice of Meeting of SEC Investor Advisory Committee
Other Release No.: 34-60260
File No.: 265-25
Comments Due: July 19, 2009
Comments received are available.
Submit comments on 265-25
|
| Second Quarter |
| 34-60194 |
Jun. 30, 2009 |
Order under Section 36 of the Securities Exchange Act of 1934 Granting an Exemption from Exchange Act Section 6(h)(1) for Certain Persons Effecting Transactions in Foreign Security Futures and under Exchange Act Section 15(a)(2) and Section 36 Granting Exemptions from Exchange Act Section 15(a)(1) and Certain Other Requirements
Other Release No.: International Series Release No. 1311
|
| 34-60189 |
Jun. 29, 2009 |
Fixed Income Clearing Corporation (Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency)
File No.: 600-23
Comments Due: July 28, 2009
Submit comments on 600-23
|
| 34-60152 |
Jun. 19, 2009 |
Order Granting Application for Extension of a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Ownership Interest of International Securities Exchange Holdings, Inc. in an Electronic Communications Network
|
| 34-60133 |
Jun. 17, 2009 |
Sean P. Brennan (Order Approving Application for Relief From a Statutory Disqualification)
|
| 33-9045 |
Jun. 9, 2009 |
Deutsche Bank Securities, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
|
| 33-9044 |
Jun. 9, 2009 |
Banc of America Securities, LLC, and Banc of America Investment Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
|
| 33-9043A |
Jun. 9, 2009 |
Banc of America Securities, LLC and Banc of America Investment Services, Inc. (Corrected 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 Banc of America Securities LLC, Banc of America Investment Services, Inc., Bank of America Corporation and Their Affiliates)
Other Release No.: 34-60081A
|
| 33-9042 |
Jun. 9, 2009 |
RBC Capital Markets Corp. (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 Exchange Act of 1934 as to RBC Capital Markets Corp. and Its Affiliates)
Other Release No.: 34-60079
|
| 33-9041 |
Jun. 9, 2009 |
RBC Capital Markets Corp. (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)
|
| 33-9040 |
Jun. 9, 2009 |
Deutsche Bank Securities, 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 Exchange Act of 1934)
Other Release No.: 34-60078
|
| 33-9039 |
Jun. 8, 2009 |
Evergreen Investment Management Company, LLC, and Evergreen 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)
Other Release No.: 34-60060
File No.: 3-13507
See also: Administrative Proceeding: Rel. No. 34-60059
|
| 33-9038 |
Jun. 8, 2009 |
Evergreen Investment Management Company, LLC, and Evergreen 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)
File No.: 3-13507
See also: Administrative Proceeding: Rel. No. 34-60059
|
| 33-9037 |
Jun. 3, 2009 |
Notice of Federal Advisory Committee Establishment
Other Release Nos.: 34-60032, IC-28757
File No.: 265-25
Comments received are available.
Submit comments on 265-25
|
| 33-9034 |
May 29, 2009 |
CSK Auto Corporation (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 Nos.: 34-60006, AAER-2982
File No.: 3-13485
See also: Administrative Proceeding: Rel. No. 33-9032
|
| IC-28725 |
May 19, 2009 |
Hearing on Target Date Funds and Similar Investment Options
File No.: 4-582
Submissions Due: June 5, 2009
Comments received are available.
Comments received by DOL are available.
Submit comments on 4-582
|
| 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
|
