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Other Commission Orders, Notices,
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Release No. | Date | Details |
Fourth Quarter | ||
33-8040 | Dec. 12, 2001 | Cautionary Advice Regarding Disclosure About Critical Accounting Policies Release Nos.: 34-45149; FR-60 (Release also available in PDF format) |
33-8039 | Dec. 4, 2001 | Cautionary Advice Regarding the Use of "Pro Forma" Financial Information in Earnings Releases Release Nos.: 34-45124, FR-59 |
33-8028 | Oct. 25, 2001 | American Life Insurance Company of New York (Statements Concerning the Order Declaring Registration Statement Effective) |
33-8027 | Oct. 25, 2001 | American Life Insurance Company of New York (Order Declaring Registration Effective Pursuant to Section 8(a) of the Securities Act of 1933) |
34-44916 | Oct. 10, 2001 | Order Regarding Government Securities Reconciliations |
Third Quarter | ||
34-44874 | Sept. 28, 2001 | Exemptive Order Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 Issuing Exemptive Relief to Respond to Market Developments |
34-44871 | Sept. 28, 2001 | Order Regarding Government Securities Reconciliations |
34-44846 | Sept. 25, 2001 | American Stock Exchange LLC; Boston Stock Exchange, Inc.; Chicago Board Options Exchange, Inc.; Chicago Stock Exchange, Inc.; Cincinnati Stock Exchange; International Securities Exchange, LLC; National Association of Securities Dealers, Inc.; New York Stock Exchange, Inc.; Pacific Exchange, Inc.; and Philadelphia Stock Exchange, Inc. (Order Extending the Deadline to Submit Rule Filings) File No.: 4-430 |
34-44839 | Sept. 24, 2001 | Order Regarding Government Securities Reconciliations |
34-44828 | Sept. 21, 2001 | American Stock Exchange LLC (Order Extending Emergency Order Under Section 12(k)(2) of the Securities Exchange Act of 1934) |
IC-25165 | Sept. 21, 2001 | Order Extending Prior Order Under Sections 6(c), 17(b) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Certain Provisions of the Act and Certain Rules Thereunder |
34-44827 | Sept. 21, 2001 | Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments |
34-44797 | Sept. 16, 2001 | American Stock Exchange LLC (Emergency Order Under Section 12(k)(2) of the Securities Exchange Act of 1934) |
34-44791 | Sept. 14, 2001 | Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond To Market Developments |
IC-25156 | Sept. 14, 2001 | Exemptions (Order Granting Exemptions Under Sections 6(c), 17(d) and 38(a) of the Investment Company Act of 1940) |
4-442 | Aug. 23, 2001 | Investment Company Institute (Letter in response to Petition for Rulemaking) File No.: 4-442 |
34-44731 | Aug. 21, 2001 | Futures Commission Merchants and Introducing Brokers (Order Granting Temporary Exemption from the Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934) Note: Also Available in PDF Format: 34-44731 |
34-44729 | Aug. 21, 2001 | Persons Engaging in Security Futures Product Transactions (Order Granting Temporary Exemption) |
34-44725 | Aug. 20, 2001 | Listing Standards Requirements (Joint Order Granting Modifications under Section 6(h) of the Securities Exchange Act of 1934 and Criteria under Section 2(a)(1) of the Commodity Exchange Act) |
34-44625 | Jul. 31, 2001 | The Nasdaq Stock Market, Inc. (Extension of Comment Period for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934) File No.: 10-131 |
34-44569 | Jul. 18, 2001 | Interim Final Rules on Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 (Extension of Comment Period) File No.: S7-12-01 Comments Due: On or before September 4, 2001 See also Final Rule, Rel. No. 34-44291 and comments; Other Rules, Rel. Nos. 34-47649, 34-46751, 34-45897, 34-44570 |
Second Quarter | ||
34-44396 | Jun. 7, 2001 | The Nasdaq Stock Market, Inc. (Notice of Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934) File No.: 10-131 Comments Due: 45 days after publication in the Federal Register Note: Comments received electronically are available for this notice. |
34-44177 | Apr. 12, 2001 | Joint Industry Plan (Order Approving Procedures Under Rule 11Ac1-5 of the Securities Exchange Act of 1934) |
First Quarter | ||
33-7964 | Mar. 23, 2001 | Notice: Securities Uniformity; Annual Conference on Uniformity of Securities Laws File No.: S7-08-01 Comments Due: April 25, 2001 Note: Comments received are available for this notice. |
34-43992 | Feb. 21, 2001 | Joint Industry Plan (Notice of Proposed Procedures under Rule 11Ac1-5 of the Securities Exchange Act of 1934) |
No release number | Feb. 9, 2001 | Chairman Arthur Levitt (Letter to industry regarding T+1) |
34-43909 | Jan. 31, 2001 | Berkshire Hathaway, Inc. (Order Declining Review) |
PA-31 | Jan. 19, 2001 | Privacy Act of 1974 Notice of Modifications to a System of Records and Establishment of a New System of Records: Changes to "Applications for Registration or Exemption Under the Investment Advisers Act of 1940 and the Investment Company Act of 1940" (SEC-2), Resulting in a New System "Investment Adviser Records " (SEC-50) File No.: S7-02-01 Note: Comments received are available for this notice. |
http://www.sec.gov/rules/other/otherarchive/other2001.shtml
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