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Other Commission Orders, Notices,
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Release No. | Date | Details |
Fourth Quarter | ||
34-55011 | Dec. 27, 2006 | NetCoalition (Order Granting Petition for Review and Scheduling Filing of Statements) Comments received are available for this order. Additional Materials:
|
33-8764 | Dec. 21, 2006 | Deutsche Asset Management, Inc., Deutsche Investment Management Americas, Inc., and Deutsche Bank Securities Inc. (Order Under Rule 602(e) of
the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3)
)
See also: Administrative Proceedings Release Nos. IA-2575 and 34-54993 |
34-54948 | Dec. 18, 2006 | 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 See also: Federal Register version; Release Nos. 34-54946 and 34-54947 |
34-54920 | Dec. 12, 2006 | Broker-Dealer Financial Statement Requirements (Extension of Order under Section 17 of the Exchange Act) See also: 34-52909; 34-50020; 34-48281 |
33-8757 | Dec. 4, 2006 | PCAOB (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2007) Other Release No.: 34-54865 |
34-54757 | Nov. 15, 2006 | Research Affiliates, LLC: Order Affirming the Denial of Requests for Confidential Treatment |
34-54714 | Nov. 6, 2006 | Order Granting National Securities Exchanges a Limited Exemption from Rule 612 of Regulation NMS under the Securities Exchange Act of 1934 to Permit Acceptance by Exchanges of Certain Sub-Penny Orders |
IA-2564 | Oct. 26, 2006 | Approval of Investment Adviser Registration Depository Filing Fees
Effective Date: November 1, 2006 See also: NASD letter dated October 13, 2006 |
PA-37 | Oct. 24, 2006 | Photographic Files (Privacy Act of 1974: Establishment of a New System of Records: (SEC-54) File No.: S7-17-06 Effective Date: December 11, 2006 Comments Due: November 30, 2006 Comments received are available for this notice. ![]() |
34-54633 | Oct. 20, 2006 | Notice of Intention to Cancel Registrations of Certain Transfer Agents
Notifications Due: November 27, 2006 |
Third Quarter | ||
33-8746 | Sep. 28, 2006 | Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc. (Order Granting Waiver of the Disqualification Provision) File No.: 3-12442 See also: Release No. 34-54529 |
33-8743 | Sep. 26, 2006 | Request for Public Comment in Connection with Forum on Small Business Capital Formation Other Release No.: 34-54519 File No.: 4-526 Comments Due: October 15, 2006 Comments received are available for this notice. ![]() |
33-8742 | Sep. 26, 2006 | BISYS Fund Services, Inc. (Order Granting Waiver of the Disqualification Provisions) Other Release No.: 34-54513 File No.: 3-12432 See also: Release No. IA-2554 |
33-8739 | Sep. 7, 2006 | The Dreyfus Corporation (Order Granting Waiver of the Disqualification Provision) File No.: 3-12413 See also: Release No. IA-2549 |
33-8738 | Sep. 1, 2006 | Regulatory Flexibility Agenda
Additional Release Nos.: 34-54400, 39-2443, IA-2544, IC-27476 File No.: S7-15-06 Comments Due: Comments should be received on or before December 29, 2006 ![]() |
34-54396 | Aug. 31, 2006 | Philadelphia Stock Exchange Fingerprinting Plan (Declaration of Effectiveness) |
33-8734 | Aug. 28, 2006 | Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. (Order Granting Waivers of the Disqualification Provisions)
See also: Release No. 34-54371 |
33-8733 | Aug. 28, 2006 | Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. (Order Granting a Waiver of the Disqualification Provision)
See also: Release No. 34-54371 |
34-54308 | Aug. 11, 2006 | Order Regarding Alternative Net Capital Computation For Citigroup Global Markets Inc. |
34-54240 | Jul. 31, 2006 | Nasdaq (In the Matter of the Application of The Nasdaq Stock Market, Inc. and The NASDAQ Stock Market LLC For Section 12(b) Registration On Behalf Of Certain Issuers) See also: Request for Relief from § 12 of the Securities Exchange Act of 1934 |
Second Quarter | ||
34-54085 | Jun. 30, 2006 | Nasdaq Stck Market LLC (Order Modifying a Condition to Operation as a National Securities Exchange) |
34-54077 | Jun. 30, 2006 | Marketing, sale and delivery of financial products, accounts, programs and services to investor (Request for Information / Draft Solicitation) Comments received are available for this notice. See also: Release Nos. 34-51523 and 34-53406 |
34-54063 | Jun. 28, 2006 | 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) |
34-53908 | May 31, 2006 | Fingerprint Plan of the NASDAQ Stock Market LLC (Declaration of Effectiveness) |
33-8711 | May 31, 2006 | SunTrust Capital Markets Inc. and Suntrust Banks, Inc. (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53902 File No.: 3-12310 |
33-8710 | May 31, 2006 | Wachovia Capital Markets, LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53901 File No.: 3-12310 |
33-8709 | May 31, 2006 | Piper Jaffray & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53900 File No.: 3-12310 |
33-8708 | May 31, 2006 | Morgan Keegan & Company, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53899 File No.: 3-12310 |
33-8707 | May 31, 2006 | A.G. Edwards & Sons, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53898 File No.: 3-12310 |
33-8706 | May 31, 2006 | Banc of America Securities LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53897 File No.: 3-12310 |
33-8705 | May 31, 2006 | RBC Dain Rauscher Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53896 File No.: 3-12310 |
33-8704 | May 31, 2006 | Morgan Stanley and Its Subsidiaries and Collective Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53895 File No.: 3-12310 |
33-8703 | May 31, 2006 | Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch, Pierce, Fenner & Smith & Co., Incorporated (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53894 File No.: 3-12310 |
33-8702 | May 31, 2006 | Lehman Brothers Inc. and Lehman Brothers Holdings Inc., and Their Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53893 File No.: 3-12310 |
33-8701 | May 31, 2006 | J.P. Morgan Securities, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53892 File No.: 3-12310 |
33-8700 | May 31, 2006 | Goldman, Sachs & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53891 File No.: 3-12310 |
33-8699 | May 31, 2006 | Citigroup Global Markets, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53890 File No.: 3-12310 |
33-8698 | May 31, 2006 | Bear, Stearns & Co. Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53889 File No.: 3-12310 |
33-8697 | May 31, 2006 | Wachovia Capital Markets, LLC (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8696 | May 31, 2006 | Piper Jaffray & Co. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8695 | May 31, 2006 | Morgan Keegan & Company, Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8694 | May 31, 2006 | A.G. Edwards & Sons, Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8693 | May 31, 2006 | Banc of America Securities LLC (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8692 | May 31, 2006 | RBC Dain Rauscher (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8691 | May 31, 2006 | Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8690 | May 31, 2006 | Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8689 | May 31, 2006 | Lehman Brothers Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8688 | May 31, 2006 | J.P. Morgan Securities, Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8687 | May 31, 2006 | Goldman, Sachs & Co. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8686 | May 31, 2006 | Citigroup Global Markets, Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310 |
33-8685 | May 31, 2006 | Bear, Stearns & Co. Inc. (Order Granting a Waiver of the Disqualification Provision) File No.: 3-12310 |
PA-36 | May 24, 2006 | Office of Inspector General Investigative Files) (Notice of alterned system of records) File No.: S7-09-06 Comments Due: July 3, 2006 Submit comments on s7-09-06 |
34-53851 | May 23, 2006 | Clearstream Banking, S.A. (Notice of Filing to Continue Exemption from Clearing Agency Registration) Other Release No.: International Series Release No.: 1296 File No.: 600-29 Comments Due: June 21, 2006 Submit comments on File No. 600-29 |
34-53828 | May 18, 2006 |
Regulation NMS (Order Granting Exemption from Compliance) See also: Spotlight on Regulation NMS |
33-8683 | May 17, 2006 | Morgan Stanley & Co., Inc. (Order Granting Waiver of the Disqualification Provisions) |
34-53751 | May 2, 2006 | Fingerprint Plan of the National Association of Securities Dealers, Inc. (Declaration of Effectiveness) |
33-8681 | Apr. 28, 2006 | Fee Rates (Order Making Fiscal Year 2007 Annual Adjustments to the Fee Rates Applicable) Other Release No.: 34-53737 |
34-53684 | Apr. 20, 2006 | Regulation SHO (Order Extending Term of Short Sale Pilot) |
33-8677 | Apr. 13, 2006 | FASB (Order Regarding Review of Financial Accounting Standards Board Accounting Support Fee for 2006) Other Release No.: 34-53642 |
33-8676 | Apr. 13, 2006 | PCAOB (Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2006) Other Release No.: 34-53641 |
34-53623 | Apr. 10, 2006 | NASDAQ (Order Approving Minor Rule Violation Plan) File No.: 4-514 |
33-8674 | Apr. 4, 2006 | Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.: 34-53595 File No.: 265-23 Comments received are available for this notice. Comments Due: April 16, 2006 |
First Quarter | ||
No release number | Mar. 31, 2006 | NASDAQ (Request for Modification of Order) See also: Release No. 34-53128 |
34-53581 | Mar. 31, 2006 | Peoples Financial Corporation (Order Granting Application) File No.: 81-935 |
33-8672 | Mar. 20, 2006 | Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.: 34-53515 File No.: 265-23 Comments received are available for this notice. Comments Due: April 5, 2006 |
34-53467 | Mar. 10, 2006 | Peoples Financial Corporation (Notice of Application) File No.: 81-935 Comments Due: March 30, 2006 |
34-53428 | Mar. 7, 2006 | The Nasdaq Stock Market LLC (Notice of Filing Proposed Minor Rule Violation Plan) File No.: 4-514 Comments Due: April 6, 2006 Submit comments on File No. 4-514 |
34-53406 | Mar. 3, 2006 | Notice of Broker-Dealer/Investment Adviser Study Other Release No.: IA-2492 See also: Final Rule, Rel. No. 34-51523 |
33-8666 | Feb. 28, 2006 | Securities and Exchange Commissions Advisory Committee on Smaller Public Companies (Request for Public Comment) File Nos.: 34-53385, File No. 265-23 Comments received are available for this notice. Comments Due: April 3, 2006 |
33-8663 | Feb. 27, 2006 | Regulatory Flexibility Agenda Other Release Nos.: 34-53374, 39-2442, IA-2490, IC-27230 File No.: S7-05-06 Comments Due: July 30, 2006 |
34-53360 | Feb. 24, 2006 | Roundtable on Internal Control Reporting Requirements File No.: 4-511 Comments received are available for this notice. |
33-8661 | Feb. 21, 2006 | American International Group, Inc. (Order Granting a Waiver of the Disqualification Provisions) |
34-53231 | Feb. 6, 2006 | Dominic A. Alvarez (Order Scheduling Briefs and Denying Confidential Treatment) |
33-8659 | Feb. 1, 2006 | Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.: 34-53204 File No.: 265-23 Comments received are available for this notice. |
PA-35 | Jan. 31, 2006 | Automated Emergency Notification System (Establishment of a New System of Records: File No.: S7-04-06 Effective Date: March 20, 2006 Comments Due: March 8, 2006 |
No release number | Jan. 20, 2006 | Classified National Security Information |
PA-34 | Jan. 18, 2006 | Visitor Badge and Employee Day Pass System (Establishment of a New System of Records) File No.: S7-02-06 Effective Date: March 6, 2006 Comments Due: February 23, 2006 |
34-53128 | Jan. 13, 2006 | Application of The Nasdaq Stock Market LLC for Registration as a National Securities Exchange File No.: 10-131 See also: Release No. 34-52599 |
34-53060 | Jan. 5, 2006 | Board of Trade of the City of Chicago, Inc. (Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange) File No.: 10-137 |
http://www.sec.gov/rules/other/otherarchive/other2006.shtml
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