Division of Corporation Finance No-Action, Interpretive and Exemptive Letters

Dodd-Frank Wall Street Reform and Consumer Protection Act

Rule 15Ga-1

• PNC Bank, N.A., February 1, 2012

Regulation AB

Item 1101

• MP Environmental Funding LLC, PE Environmental Funding LLC, September 19, 2007

Item 1111

• Bank of the West, April 19, 2018

Item 1120

• Ford Motor Credit Company LLC, November 23, 2010


• (Replaces Staff Response Letter of July 22, 2010)

Regulation S-K

Item 201

• American Bar Association, January 30, 2004

Item 601

• American Bar Association, January 30, 2004

Regulation S-T

Rule 405

• Center for Audit Quality, April 8, 2011

Securities Act of 1933

Section 2(a)(1) - Definition of a security

• IMVU, Inc., November 19, 2020
• Connecticut Medical Insurance Company, October 9, 2020
• Sentry Insurance a Mutual Company, September 22, 2020
• Oak Harbor Reinsurance Company, August 21, 2020
• Jewelers Mutual Insurance Company, December 11, 2019
• Church Mutual Insurance Company, October 17, 2019
• Pocketful of Quarters, Inc., July 25, 2019
• TurnKey Jet, Inc., April 3, 2019
• Tesoro Viejo Master Mutual Water Company, October 25, 2018
• Noridian Mutual Insurance Company d/b/a Blue Cross Blue Shield of North Dakota, October 24, 2018
• LA Fan Club, Inc. Membership Program, June 28, 2017
• MAG Mutual Insurance Company, June 21, 2017
• American Family Mutual Insurance Company, December 5, 2016
• Federal Life Insurance Company (Mutual), August 31, 2015
• Entheos Audiology Cooperative, Inc., June 2, 2014
• Blue Cross and Blue Shield of Florida, Inc., September 9, 2013
• American Crystal Sugar Company, July 17, 2013
• HCC Risk Solutions Company, March 4, 2013
• Minnesota Soybean Processors, November 27, 2012
• Minn-Dak Farmers Cooperative, September 24, 2012
• Coral Beach & Tennis Club, January 25, 2012
• Coral Beach & Tennis Club, November 17, 2011
• Global Development Co-operative, October 19, 2011
• CommunitySun, LLC, August 29, 2011
• National Consumer Cooperative Bank, January 3, 2011
• Poplogix LLC, November 5, 2010
• Amerisure Mutual Insurance Company, May 13, 2009
• East Isles Reinsurance Ltd., April 1, 2009
• OMNI Brokerage, Inc., January 14, 2009
• Midwest Real Estate Data LLC, August 18, 2008
• Missouri Bankers Association, August 18, 2008
• Vail Resorts, Inc., April 25, 2007
• Erica Enders Racing, LLC, November 21, 2006
• Fidelity Life Association, October 18, 2006
• Handy Hardware Wholesale, Inc., June 29, 2006
• San Francisco Baseball Associates L.P., February 24, 2006
• Western & Southern Mutual Holding Company; Lafayette Life MIHC, Inc., March 4, 2005
• Employers Insurance Company of Nevada, December 2, 2004
• Liberty National Golf Club, March 29, 2004
• Las Sendas Golf Club, Inc., March 2, 2004
• Pacific Exchange, Inc., December 23, 2003
• Ticket Reserve, Inc., September 11, 2003
• Olohana Golf Club, Inc., July 31, 2003
• Northwest Physicians Mutual Insurance Company, July 2, 2003
• Millers Mutual Insurance Association, February 20, 2003
• Tuition Plan Consortium, LLP, February 4, 2003
• Milwaukee Mutual Insurance Company, January 30, 2003
• Intrawest Corporation, November 8, 2002
• CanAccord Capital Corporation, January 18, 2002

Section 2(a)(3) - Definition of offer or sale of a security

• Hertz Global Holdings, Inc., April 21, 2015
• UnionBanCal Corporation, November 8, 2010
• National Credit Union Administration, October 8, 2009
• Emeriti Consortium for Retirement Health Solutions, September 3, 2009
• Morgan Stanley Smith Barney LLC, May 29, 2009
  Supplemental Letter, September 14, 2009
• Water Works Engineers, LLC, February 18, 2009
• WorleyParsons Limited, October 17, 2008
• Emeriti Consortium for Retirement Health Solutions, June 16, 2008
• JPMorgan Chase & Co., March 17, 2008
• Verint Systems Inc., May 24, 2007
• Emeriti Consortium for Retirement Health Solutions, April 7, 2005
• Manulife Financial Corporation, March 15, 2005
• Peninsular & Oriental Steam Navigation Company, August 30, 2004
• Goldman, Sachs & Co., October 9, 2003
• Kingfisher plc, April 25, 2003
• Marriott Residence Inn II Limited Partnership, May 8, 2002
• Marriott Residence Inn Limited Partnership, February 20, 2002

Section 3(a)(2)

• National Credit Union Administration, September 24, 2010
• Federal Deposit Insurance Corporation, July 12, 2010
• Federal Deposit Insurance Corporation, November 24, 2008

Section 3(a)(4)

• Deutsche Bank Microcredit Development Fund, Inc., April 8, 2011

Section 3(a)(5)

• Staple Cotton Discount Corporation, October 15, 2014

Section 3(a)(9) - Exemption for exchanges between issuer and existing security holders

• Klabin S.A., July 14, 2014
• H&R Real Estate Investment Trust, May 29, 2012
• Ageas SA/NV and Ageas N.V., March 20, 2012
• Section 3(a)(9) Upstream Guarantees, January 13, 2010
• Exxon Mobil Corp., June 28, 2002
• Grupo TMM, S.A. de C.V., June 27, 2002
• Weatherford International, June 25, 2002
• Nabors Industries, Inc., April 30, 2002

Section 3(a)(10) - Exemption for exchanges after a fairness hearing

• Unilever Group, June 11, 2020
• SELLAS Life Sciences Group, Inc., June 6, 2018
• Flamel Technologies S.A. and Avadel Pharmaceuticals plc, July 15, 2016
• IMH Financial Corporation, July 17, 2013
• Nabi Biopharmaceuticals, June 20, 2012
• Segregated Account of Ambac Assurance Corporation, April 8, 2011
• Segregated Account of Ambac Assurance Corporation, November 12, 2010
• Weatherford International Ltd., January 14, 2009
• EIG Mutual Holding Company, October 25, 2006
• SanDisk Corporation, September 21, 2006
• Hanover Compressor Company, January 27, 2004
• AngloGold Limited, January 15, 2004
• Sprint Corporation, August 25, 2003
• Constellation Brands, Inc., January 29, 2003
• Gilat Satellite Networks Ltd., December 19, 2002
• Alliance Capital Management Holding L.P. et al., August 1, 2002
• Ashanti Goldfields Company Limited, June 19, 2002
• Xyratex PLC, May 29, 2002

Section 3(b) - Rules 262 and 505 Disqualification

• Off-Channel Communications at Registered Entities, September 24, 2024
  • See Commission Order, available at: 33-11308.pdf (sec.gov)
• Off-Channel Communications at Registered Entities, August 14, 2024
  •  See Commission Order, available at: 33-11298.pdf (sec.gov)
• Certain Broker-Dealer Practices, February 9, 2024
  • See Commission Order, available at: 33-11270.pdf (sec.gov)
• Certain Broker-Dealer Practices, September 29, 2023
  • See Commission Order, available at: 33-11249.pdf (sec.gov)
• Certain Broker-Dealer Practices, August 8, 2023
  • See Commission Order, available at: 33-11221.pdf (sec.gov)
• Certain Broker-Dealer Practices, May 11, 2023
  • See Commission Order, available at: Certain Broker Dealer Practices (sec.gov)
• Certain Broker-Dealer Practices, September 27, 2022
  • See Commission Order, available at: https://www.sec.gov/rules/other/2022/33-11109.pdf
• FuelCell Energy, Inc., September 3, 2020
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, April 17, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10774.pdf
• Nebulous, Inc., September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10716.pdf
• Block.one, September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10717.pdf
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10713.pdf
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10712.pdf
• BioCardia, Inc., September 3, 2019
• Salix Pharmaceuticals, Ltd., April 4, 2019
• Wells Fargo Securities, LLC, March 20, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10616.pdf
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, March 11, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10612.pdf
• Deutsche Bank Securities, Inc., RBC Capital Markets, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC, March 11, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10613.pdf
• Alexander Capital, L.P., June 29, 2018
• Equidate, Inc. and Equidate Holdings LLC, December 6, 2016
• Moloney Securities Co., Inc., September 30, 2016
• Feltl & Company, Inc., June 21, 2016
• Canaccord Genuity Inc., March 24, 2016
• Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative, February 2, 2016
  • See Commission Order, available at: http://www.sec.gov/rules/other/2016/33-10030.pdf
• Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative, September 30, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9956.pdf
• Piper Jaffray & Co., July 20, 2015
• Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative, June 18, 2015
  • See Commission Order, available at: http://www.sec.gov/litigation/admin/2015/33-9848.pdf
• Jefferies LLC, March 12, 2014
• Diamond Foods, Inc., March 6, 2014
• Credit Suisse Group AG, February 21, 2014
• Instinet LLC, December 26, 2013
• RBS Securities Inc., November 25, 2013
• A.R. Schmeidler & Co., July 31, 2013
• Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC, March 11, 2013
• J.P. Morgan Securities LLC, et al., January 8, 2013
• J.P. Turner & Company, LLC and William L. Mello, September 10, 2012
• Mizuho Securities USA Inc., July 26, 2012
• Harbert Management Corporation, et al., July 3, 2012
• H&R Block, Inc., May 2, 2012
• UBS Financial Services Inc. of Puerto Rico, May 1, 2012
• Goldman, Sachs & Co., April 12, 2012
• Koss Corporation et al., February 23, 2012
• GE Funding Capital Market Services, Inc., January 23, 2012
• Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., December 9, 2011
• UBS Securities LLC, November 10, 2011
• Janney Montgomery Scott LLC, July 11, 2011
• JP Morgan Securities LLC, July 8, 2011
• JP Morgan Securities LLC, June 29, 2011
• Morgan Asset Management, Inc. et al., June 22, 2011
• UBS Financial Services Inc., May 9, 2011
• Charles Schwab & Co., Inc., January 11, 2011
• Citigroup, Inc., October 19, 2010
• Dell Inc., October 13, 2010
• General Electric Company, et al., July 30, 2010
• Goldman Sachs & Co., July 20, 2010
• Assurant, Inc., January 26, 2010
• Investools Inc. et al., December 16, 2009
• Banc of America Investment Services, Inc., October 23, 2009
• General Electric Company, August 11, 2009
• Banc of America Securities LLC and Banc of America Investment Services, Inc., June 9, 2009
• Deutsche Bank Securities, Inc., June 9, 2009
• RBC Capital Markets Corporation, June 9, 2009
• Evergreen Investment Management Company, LLC, June 8, 2009
• American Skandia Investment Services, Inc., April 17, 2009
• UBS AG, March 19, 2009
• Automated Trading Desk Specialists, LLC, March 11, 2009
• Merrill Lynch, Pierce, Fenner & Smith Incorporated, March 11, 2009
• Wachovia Securities, LLC, February 26, 2009
• Citigroup Global Markets Inc., December 23, 2008
• UBS Securities LLC et al., December 23, 2008
• Prudential Financial, Inc., September 4, 2008
• Banc of America Investment Services, Inc. and Columbia Management Advisors, LLC, June 20, 2008
• First Southwest Company, May 27, 2008
• Hartford Investment Financial Services, LLC; HL Investment Advisors, LLC; and Hartford Securities Distribution Company, Inc., May 14, 2008
• Gabelli Funds LLC, April 24, 2008
• Pritchard Capital Partners, LLC et al., April 23, 2008
• Friedman, Billings, Ramsey & Co., Inc., January 16, 2007
• Deutsche Asset Management, Inc. and Deutsche Investment Management, December 21, 2006
• Bear, Stearns & Co., Inc., December 15, 2006
• Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc., September 28, 2006
• Dunham & Associates Investment Counsel, Inc., Jeffrey A. Dunham, and Dunham & Associates Securities, Inc., September 22, 2006
• Prudential Equity Group, LLC, August 28, 2006
  Supplemental Letter, September 5, 2006
• A.G. Edwards & Sons, Inc., May 31, 2006
• Banc of America Securities LLC, May 31, 2006
• Bear, Stearns & Co. Inc., May 31, 2006
• Citigroup Global Markets, Inc., May 31, 2006
• Goldman, Sachs & Co., May 31, 2006
• J.P. Morgan Securities, Inc., May 31, 2006
• Lehman Brothers Inc., May 31, 2006
• Merrill Lynch, Pierce, Fenner & Smith Incorporated, May 31, 2006
• Morgan Keegan & Company, Inc., May 31, 2006
• Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc., May 31, 2006
• Piper Jaffray & Co., May 31, 2006
• RBC Dain Rauscher Inc., May 31, 2006
• Wachovia Capital Markets, LLC, May 31, 2006
• Morgan Stanley & Co. Incorporated, May 12, 2006
• Merrill Lynch, Pierce, Fenner & Smith Incorporated, March 13, 2006
• American International Group, Inc., February 21, 2006
• New England Securities Corp., February 21, 2006
• Millennium Partners, L.P., December 1, 2005
• Legg Mason Wood Walker, Incorporated, September 21, 2005
• Edward D. Jones & Co., L.P., August 1, 2005
• Prudential Equity Group, LLC, July 25, 2005
• Smith Barney Fund Management LLC and Citigroup Global Markets, Inc., May 31, 2005
• Citigroup Global Markets, Inc., March 23, 2005
• CIBC Mellon Trust Company, March 2, 2005
• CIBC Mellon Trust Company, February 24, 2005
• Morgan Stanley & Co. Incorporated, February 4, 2005
• Adams Harkness, Inc., August 25, 2004
• Friedman, Billings, Ramsey & Co., Inc., August 25, 2004
• Janney Montgomery Scott LLC, August 25, 2004
• Morgan Keegan & Co., Inc., August 25, 2004
• Needham & Company, Inc., August 25, 2004
• Prudential Equity Group, LLC, August 25, 2004
• SG Cowen & Co., Inc., August 25, 2004
• Raymond James Financial Services, Inc., February 17, 2004
• American Express Financial Advisors Inc., February 12, 2004
• Legg Mason Wood Walker, Inc., February 12, 2004
• UBS Financial Services Inc., February 12, 2004
• Wachovia Securities Inc., February 12, 2004
• Linsco/Private Ledger Corp., February 12, 2004
• Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation, October 31, 2003
• UBS Securities LLC, f/k/a UBS Warburg LLC, October 31, 2003
• U.S. Bancorp Piper Jaffray Inc., October 31, 2003
• Morgan Stanley & Co. Incorporated, October 31, 2003
• Lehman Brothers Inc., October 31, 2003
• Goldman, Sachs & Co., October 31, 2003
• Merrill Lynch, Pierce, Fenner & Smith, Incorporated, October 31, 2003
• Bear, Stearns & Co. Inc., October 31, 2003
• Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., October 31, 2003
• J.P. Morgan Securities Inc., October 31, 2003
• J.P. Morgan Securities Inc., October 8, 2003
• Goldman, Sachs & Co., September 4, 2003
• UBS PaineWebber, Inc., August 20, 2003
• Deutsche Asset Management, Inc., August 19, 2003
• J.P. Morgan Chase & Co., July 28, 2003
• Prudential Securities Incorporated, July 10, 2003

Section 4(1) - Transactions by a person other than an issuer, underwriter, or dealer

• Nationwide Financial Services, Inc. and Provident Mutual Life Insurance Company, August 9, 2002

Section 4(3) - Transactions by a dealer

• Bank of America Corporation, June 11, 2009
• J.P. Morgan Securities, Inc., June 5, 2007

Section 5 - Registration of offers and sales of securities

• The Money Management Institute, April 11, 2019
• Morgan Stanley Smith Barney LLC, November 22, 2016
• Oak Leaf B.V., June 18, 2013
• Bank of America, N.A., Merrill Lynch, Pierce, Fenner & Smith Inc., December 1, 2011
• Cleary Gottlieb Steen & Hamilton LLP, July 15, 2011
• Computershare Trust Company, N.A., July 26, 2010

Section 18

• The Options Clearing Corporation, February 19, 2013
• The Options Clearing Corporation, February 1, 2012

Rule 144 - Resales of restricted securities

• Rule 144(d)(1) Up-C Structure, November 1, 2016
• Bank of America, N.A., Merrill Lynch, Pierce, Fenner & Smith Incorporated, March 14, 2016
• Certain Canadian Issuers, September 6, 2013
• H&R Real Estate Investment Trust, May 29, 2012
• Bank of America, N.A., Merrill Lynch, Pierce, Fenner & Smith Inc., December 1, 2011
• Abacus Investments Limited, October 5, 2007
• Smart Move, Inc., May 16, 2007
• Mercer International Inc., December 12, 2005
• Triad Guaranty, Inc. and Collateral Investment Corp., August 12, 2005
• Ashland Inc., August 8, 2005
• Texas Roadhouse, Inc., July 28, 2005
• Bunzl plc, May 27, 2005
• Banc of America Investors, L.P., February 24, 2004
• Sprint Corporation, August 25, 2003
• Physica B.V. and Solvay S.A., April 8, 2003
• M/I Schottenstein Homes, Inc., February 28, 2003
• General Maritime Corp., June 14, 2002
• Intergraph Corp., May 15, 2002
• Gen Probe Inc/Chugai Pharmaceutical Co., Ltd., April 30, 2002

Rule 144A

• Fédération des caisses Desjardins du Québec, April 29, 2021
• Contingent Convertible Capital Securities, March 28, 2019

Rule 144A - Resales of restricted securities to qualified institutions

• College Savings Plans Network, January 12, 2016
• Alaska Permanent Fund, July 14, 2011
• Communicator Inc, September 20, 2002

Rule 145 - Reclassifications of securities, mergers, consolidations and acquisitions

• Constellium N.V., February 7, 2018
• Fresenius Aktiengesellschaft, October 10, 2006

Rule 701 - Exemption for certain employee benefit plans or compensation arrangements

• Arclight Systems, LLC, January 17, 2002

Regulation C - Registration

Rule 405 - Determination regarding ineligible issuer status

• Aon plc, January 25, 2024
• BlackRock, Inc., October 24, 2023
• M&T Bank Corporation, October 10, 2023
• The Charles Schwab Corporation, June 13, 2022
• Nokia Corporation, November 2, 2021
• Huntington Bancshares Incorporated, June 24, 2021
• Prudential Financial, Inc., December 23, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10916.pdf
• Intercontinental Exchange, Inc., December 9, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10898.pdf
• Dominion Energy, Inc., December 3, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10893.pdf
• Aegon N.V., September 30, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10864.pdf
• Hancock Whitney Corporation, September 25, 2020
• Northern Trust Corporation, September 18, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10846.pdf
• American International Group, Inc, July 28, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10808.pdf
• American International Group, Inc, July 28, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10807.pdf
• Franklin Resources, Inc., July 2, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10798.pdf
• U.S. Bancorp, June 1, 2020
• Morgan Stanley, May 12, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10784.pdf
• Royal Bank of Canada, April 24, 2020
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, April 17, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10774.pdf
• HSBC Holdings plc, March 16, 2020
• Morgan Stanley, November 7, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10727.pdf
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10713.pdf
• BGC Partners, Inc., September 27, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10711.pdf
• Bank of Montreal, September 27, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10708.pdf
• Raymond James Financial, Inc., September 17, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10690.pdf
• Prudential Financial, Inc., September 16, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10685.pdf
• Clear Channel Outdoor Holdings, Inc., August 14, 2019
• Valeant Pharmaceuticals International, Inc., April 4, 2019
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, March 11, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10612.pdf
• Deutsche Bank AG, Wells Fargo & Company, and Royal Bank of Canada, March 11, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10613.pdf
• The Bank of New York Mellon Corporation, December 17, 2018
• LendingClub Corporation, September 28, 2018
• Walgreens Boots Alliance, Inc., September 28, 2018
• Global Payments, Inc., September 21, 2018
• Aegon, N.V., August 27, 2018
• PG&E Corporation, August 16, 2018
• Ameriprise Financial, Inc., August 15, 2018
• Oaktree Capital Group, LLC, July 10, 2018
• Morgan Stanley, June 29, 2018
• The PNC Financial Services Group, Inc., April 6, 2018
• Casella Waste Systems, Inc., March 30, 2018
  • See Commission Order, available at: https://www.sec.gov/rules/other/2018/33-10475.pdf
• Voya Financial, Inc., March 8, 2018
• Intercontinental Exchange, Inc., March 6, 2018
  • See Commission Order, available at: https://www.sec.gov/rules/other/2018/33-10464.pdf
• Ameriprise Financial, Inc., February 28, 2018
• Ameriprise Financial, Inc., December 8, 2017
• SunTrust Banks, Inc., September 14, 2017
• Paramount Group, Inc., July 6, 2017
• Voya Financial, Inc., March 8, 2017
• Morgan Stanley, February 14, 2017
• Morgan Stanley, January 24, 2017
• Citigroup, Inc., January 24, 2017
  • See Commission Order, available at: https://www.sec.gov/rules/other/2017/33-10289.pdf
• Morgan Stanley, January 13, 2017
• Deutsche Bank AG, December 16, 2016
  • See Commission Order, available at: http://www.sec.gov/rules/other/2016/33-10273.pdf
• Deutsche Bank AG, December 16, 2016
  • See Commission Order, available at: http://www.sec.gov/rules/other/2016/33-10271.pdf
• State Street Corporation, December 12, 2016
• Aviva plc, September 23, 2016
• BOK Financial Corporation, September 9, 2016
• Raymond James Financial, Inc., September 8, 2016
• Invesco Ltd., August 24, 2016
• Apollo Global Management, LLC, August 23, 2016
• The Bank of New York Mellon Corporation, June 13, 2016
• American International Group, Inc., March 14, 2016
• Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative, February 2, 2016
  • See Commission Order, available at: http://www.sec.gov/rules/other/2016/33-10030.pdf
• Barclays PLC and Barclays Bank PLC, January 31, 2016
  • See Commission Order, available at: http://www.sec.gov/rules/other/2016/33-10012.pdf
• State Street Corporation, January 14, 2016
• Morgan Stanley, December 22, 2015
• KCG Holdings, Inc., December 21, 2015
• Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative, September 30, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9956.pdf
• Citigroup Inc., August 19, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9896.pdf
• Citigroup Inc., August 17, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9894.pdf
• KKR & Co. L.P., June 18, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9855.pdf
• Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative, June 18, 2015
  • See Commission Order, available at: http://www.sec.gov/litigation/admin/2015/33-9848.pdf
• Archer Daniels Midland Company, June 3, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9802.pdf
• UBS AG, May 20, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9782.pdf
• The Royal Bank of Scotland Group plc, May 20, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9781.pdf
• JPMorgan Chase & Co., May 20, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9780.pdf
• Citigroup Inc., May 20, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9779.pdf
• Barclays PLC, May 20, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9778.pdf
• Helmerich & Payne, Inc., May 13, 2015
• Deutsche Bank AG, May 1, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9764.pdf
• Deutsche Bank AG, April 23, 2015
• UBS AG, January 15, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9698.pdf
• Citigroup Inc., September 26, 2014
  • See Commission Order available at: http://www.sec.gov/rules/other/2014/33-9658.pdf
• Barclays PLC, September 23, 2014
  • See Commission Order available at: http://www.sec.gov/rules/other/2014/33-9650.pdf
• Morgan Stanley, July 24, 2014
• AEGON N.V., June 24, 2014
• The Royal Bank of Scotland Group plc, April 25, 2014
  • See Commission Order, available at: http://www.sec.gov/rules/other/2014/33-9578.pdf
• Nomura Holdings Inc., January 2, 2014
• Bank of America Corporation, December 12, 2013
• Fifth Third Bancorp, December 4, 2013
• The Royal Bank of Scotland Group plc, November 26, 2013
• UBS AG, September 19, 2013
• UBS AG, August 6, 2013
• Oppenheimer Holdings, Inc., March 26, 2013
• JPMorgan Chase & Co., January 8, 2013
• Credit Suisse AG, November 16, 2012
• Wells Fargo & Company, August 14, 2012
• Mizuho Financial Group, Inc., July 27, 2012
• UBS AG, May 10, 2012
• H&R Block, Inc., May 3, 2012
• General Electric Capital Corporation, Inc., January 24, 2012
• Wells Fargo & Company, December 9, 2011
• Morgan Stanley, November 16, 2011
• Credit Suisse AG, October 19, 2011
• JPMorgan Chase & Co., July 11, 2011
• Raymond James Financial, Inc., July 1, 2011
• JPMorgan Chase & Co., June 29, 2011
• Regions Financial Corporation, June 22, 2011
• UBS AG, May 6, 2011
• Wells Fargo & Company, April 7, 2011
• Merrill Lynch and Co., Inc. (P-01118), February 15, 2011
• Merrill Lynch and Co., Inc. (HO-10038), February 15, 2011
• Bank of America Corporation, January 26, 2011
• Charles Schwab Corporation, January 11, 2011
• Bank of America Corporation, December 7, 2010
• Regions Financial Corporation, September 24, 2010
• Goldman Sachs Group, Inc., July 23, 2010
• State Street Corporation, February 4, 2010
• TD Ameritrade Holding Corporation, December 16, 2009
• JPMorgan Chase & Co., November 4, 2009
• Regions Financial Corporation, September 22, 2009
• Morgan Stanley & Co. Incorporated, July 20, 2009
• TD Ameritrade Holding Corporation, July 20, 2009
• Deutsche Bank AG, June 16, 2009
• Bank of America Corporation, June 11, 2009
• Royal Bank of Canada, June 11, 2009
• Prudential Financial, Inc., June 9, 2009
• Wells Fargo & Company, June 8, 2009
• O'Reilly Automotive, Inc, May 26, 2009
• Wachovia Securities, LLC, February 26, 2009
• Merrill Lynch and Co., Inc. and Bank of America Corporation, February 11, 2009
• Citigroup, Inc., December 23, 2008
• UBS Financial Services, Inc. and UBS Securities LLC, December 23, 2008
• JPMorgan Chase & Co., August 4, 2008
• Knight Capital Group, Inc., July 1, 2008
• GAMCO Investors, Inc., June 9, 2008
• Analog Devices, Inc., May 30, 2008
• First Southwest Company, May 27, 2008
• Bank of America Corporation, May 1, 2008
• Cardinal Health, Inc., August 7, 2007
• Hewlett-Packard Company, July 20, 2007
• International Business Machines Corporation, June 26, 2007
• Manulife Financial Corporation, June 26, 2007
• Barclays PLC, June 6, 2007
• Morgan Stanley & Co. Incorporated, May 11, 2007
• RenaissanceRe Holdings Ltd., April 27, 2007
• Tenet Healthcare Corporation, April 19, 2007
• Nicor, Inc., March 29, 2007
• Banc of America Securities LLC, March 14, 2007
  Supplemental Letter, March 20, 2007
• Wilmington Trust Company, March 12, 2007
• MBIA Inc., January 29, 2007
• Bank of New York Company, January 9, 2007
• Deutsche Bank AG, January 9, 2007
• Hartford Investment Financial Services, November 8, 2006
• Waddell & Reed Financial, Inc., October 31, 2006
• Raytheon Company, October 5, 2006
• BISYS Fund Services, Inc., September 26, 2006
• Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc., September 28, 2006
• Citigroup, Inc., May 31, 2006
• Bank of America Corporation, May 31, 2006
• The Goldman Sachs Group, Inc., May 31, 2006
• JPMorgan Chase & Co., May 31, 2006
• Morgan Stanley, May 31, 2006
• Royal Bank of Canada, May 31, 2006
• Bear, Stearns & Co. Inc., March 16, 2006
• Lincoln National Corporation, August 31, 2006
• MetLife, Inc., February 21, 2006

Rule 411 - Incorporation by reference

• XL Capital Assurance, Inc., July 23, 2002

Rule 414 - Registration by certain successor issuers

• Oncothyreon Inc. and Biomira Inc., January 31, 2008

Regulation D - Rule 501(a)

• College Savings Plans Network, January 12, 2016
• Alaska Permanent Fund, July 14, 2011

Regulation D - Rule 502

• Citizen VC, Inc., August 6, 2015
• Agristar Global Networks, Ltd., February 9, 2004

Regulation D - Rule 506(d) Waivers of Disqualification

• Morgan Stanley Smith Barney LLC, December 9, 2024
• Off-Channel Communications at Registered Entities, September 24, 2024
  • See Commission Order, available at: 33-11308.pdf (sec.gov)
• Off-Channel Communications at Registered Entities, August 14, 2024
  •  See Commission Order, available at: 33-11298.pdf (sec.gov)
• Senvest, April 3, 2024
• Certain Broker-Dealer Practices, February 9, 2024
  • See Commission Order, available at: 33-11270.pdf (sec.gov)
• Certain Broker-Dealer Practices, September 29, 2023
  • See Commission Order, available at: 33-11249.pdf (sec.gov)
• Certain Broker-Dealer Practices, August 8, 2023
  • See Commission Order, available at: 33-11221.pdf (sec.gov)
• Certain Broker-Dealer Practices, May 11, 2023
  • See Commission Order, available at: Certain Broker Dealer Practices (sec.gov)
• Walleye Capital LLC, December 12, 2022
• Certain Broker-Dealer Practices, September 27, 2022
  • See Commission Order, available at: https://www.sec.gov/rules/other/2022/33-11109.pdf
• First Republic Investment Management, Inc., May 19, 2022
• BTIG, LLC, May 2, 2022
• DF Growth REIT II, LLC, March 16, 2022
  • See Commission Order, available at: https://www.sec.gov/rules/other/2022/33-11041.pdf
• Tierion, Inc., December 23, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10915.pdf
• BancWest Investment Services, Inc., December 7, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10895.pdf
• Public Service Company of North Carolina, Incorporated, December 3, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10894.pdf
• Salt Blockchain Inc., September 30, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10866.pdf
• Morgan Stanley & Co. LLC,, September 30, 2020
• FuelCell Energy, Inc., September 3, 2020
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, April 17, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10774.pdf
• Wells Fargo & Company , February 20, 2020
  • See Commission Order, available at: https://www.sec.gov/rules/other/2020/33-10758.pdf
• Blockchain of Things, Inc., December 18, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10737.pdf
• Nebulous, Inc., September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10716.pdf
• Block.one, September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10717.pdf
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10713.pdf
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10712.pdf
• BioCardia, Inc., September 3, 2019
• Certain Existing Funds affiliated with Och-Ziff Capital Management Group LLC and OZ Management LP , June 13, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10646.pdf
• Deer Park Road Management Company, LP, June 4, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10644.pdf
• Salix Pharmaceuticals, Ltd., April 4, 2019
• Wells Fargo Securities, LLC, March 20, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10616.pdf
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, March 11, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10612.pdf
• Deutsche Bank Securities, Inc., RBC Capital Markets, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC, March 11, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10613.pdf
• Central States Capital Markets, LLC, December 19, 2018
  • See Commission Order, available at: https://www.sec.gov/rules/other/2018/33-10589.pdf
• The Boring Company, October 16, 2018
• Neuralink Corp., October 16, 2018
• Space Exploration Technologies Corp., October 16, 2018
• Tesla Inc., October 16, 2018
• Charles Schwab & Co., Inc., July 9, 2018
• Morgan Stanley Smith Barney LLC, June 29, 2018
• Alexander Capital, L.P., June 29, 2018
• SELLAS Life Sciences Group, Inc., June 6, 2018
• Noble Capital Markets, Inc., May 31, 2018
• Aegis Capital Corporation, March 28, 2018
• Merrill Lynch, Pierce, Fenner & Smith, Incorporated, March 8, 2018
  • See Commission Order, available at: https://www.sec.gov/rules/other/2018/33-10466.pdf
• Wedbush Securities Inc., February 5, 2018
  • See Commission Order, available at: http://www.sec.gov/rules/other/2018/33-10455.pdf
• Blue Sand Securities LLC, June 30, 2017
• Bank of America N.A. et al., May 24, 2017
• Leon G. Cooperman et al., May 22, 2017
• Citizens Bank, N.A. and Citizens Bank of Pennsylvania, May 2, 2017
• Rhode Island Commerce Corporation, April 3, 2017
• Citigroup Global Markets Inc., January 26, 2017
• Morgan Stanley Smith Barney LLC, January 13, 2017
• The Goldman Sachs Group, Inc., et al., December 21, 2016
  • See Commission Order, available at: https://www.sec.gov/rules/other/2016/33-10275.pdf
• Stifel, Nicolaus & Co., Inc., December 6, 2016
  • See Commission Order, available at: http://www.sec.gov/rules/other/2016/33-10263.pdf
• Equidate, Inc. and Equidate Holdings LLC, December 6, 2016
• Pacific Investment Management Company LLC, December 1, 2016
• Moloney Securities Co., Inc., September 30, 2016
• SG Americas Securities, LLC, September 28, 2016
  • See Commission Order, available at: http://www.sec.gov/rules/other/2016/33-10224.pdf
• Feltl & Company, Inc., June 21, 2016
• Canaccord Genuity Inc., March 24, 2016
• Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation, March 14, 2016
• Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative, February 2, 2016
  • See Commission Order, available at: http://www.sec.gov/rules/other/2016/33-10030.pdf
• Barclays Capital Inc., January 31, 2016
  • See Commission Order, available at: http://www.sec.gov/rules/other/2016/33-10011.pdf
• In the Matter of Steven A. Cohen, January 8, 2016
• JPMorgan Chase Bank, N.A., December 18, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9993.pdf
  • See report prepared by Waterside Enterprises, LLC, December 9, 2016
  • See report prepared by Waterside Enterprises, LLC, December 13, 2017
  • See report prepared by Waterside Enterprises, LLC, December 12, 2018
  • See report prepared by Waterside Enterprises, LLC, December 5, 2019
  • See report prepared by Waterside Enterprises, LLC, December 11, 2020
• National Asset Management, Inc., October 26, 2015
• Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative, September 30, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9956.pdf
• Aegis Capital Corp., September 14, 2015
• Citigroup Global Markets, Inc., August 19, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9895.pdf
• Guggenheim Partners Investment Management, LLC, August 10, 2015
  • See Commission Order, available at: http://www.sec.gov/rules/other/2015/33-9884.pdf
• Piper Jaffray & Co., July 20, 2015
• Macquarie Capital (USA) Inc., July 6, 2015
  • Macquarie Capital (USA) Inc., May 15, 2015
• Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative, June 18, 2015
  • See Commission Order, available at: http://www.sec.gov/litigation/admin/2015/33-9848.pdf
• Merrill Lynch, Pierce, Fenner & Smith Incorporated, June 1, 2015
• Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc., May 20, 2015
  • See Commission Order available at: http://www.sec.gov/rules/other/2015/33-9786.pdf
• UBS AG, May 20, 2015
  • See Commission Order available at: http://www.sec.gov/rules/other/2015/33-9787.pdf
• BlackRock Advisors, LLC, April 20, 2015
• H.D. Vest Investment Services, Inc., March 4, 2015
• Oppenheimer & Co. Inc., January 27, 2015
  • See Commission Order available at: http://www.sec.gov/rules/other/2015/33-9712.pdf
• Bank of America N.A. et al., November 25, 2014
  • See Commission Order available at: http://www.sec.gov/rules/other/2014/33-9682.pdf
• Citigroup Global Markets Inc., September 26, 2014
  • See Commission Order available at: http://www.sec.gov/rules/other/2014/33-9657.pdf
• Barclays Capital Inc., September 23, 2014
  • See Commission Order available at: http://www.sec.gov/rules/other/2014/33-9651.pdf
• Wells Fargo Advisors, LLC, September 22, 2014
  • See Commission Order available at: http://www.sec.gov/rules/other/2014/33-9649.pdf
• Dominick & Dominick LLC, July 28, 2014
  • See Commission Order available at: http://www.sec.gov/rules/other/2014/33-9619.pdf
• Credit Suisse AG, May 19, 2014
  • See Commission Order, available at: http://www.sec.gov/rules/other/2014/33-9589.pdf
• Jefferies LLC, March 12, 2014
• Diamond Foods, Inc., March 6, 2014
• Credit Suisse Group AG, February 21, 2014
• Instinet LLC, December 26, 2013
• RBS Securities Inc., November 25, 2013

Regulation S - Offers and sales made outside the United States

• Taipei Exchange Main Board and Taipei Exchange Bond Market, September 3, 2019
• NZX Limited, April 12, 2019
• Deutsche Access Investments Limited, November 20, 2018
• International Stock Exchange Authority Limited, November 2, 2018
• BSE Limited, May 15, 2018
• Aequitas NEO Exchange Inc., January 5, 2017
• Hellenic Exchanges & Athens Stock Exchange, SA, July 15, 2016
• Oslo B?rs - Merkur Market, April 13, 2016
• On-Market Bookbuilds Pty Ltd., November 13, 2014
• First North, April 25, 2014
• The Malta Stock Exchange plc, July 9, 2013
• Coach, Inc. and J.P. Morgan Chase Bank N.A., November 28, 2011
• The Bahamas International Securities Exchange, October 20, 2011
• Bursa Malaysia Securities Berhad, September 10, 2010
• CNSX Markets Inc., February 24, 2010
• Eurolist by Euronext and the Alternext Market, March 16, 2007
• The Korea Exchange, February 28, 2007
• The Panama Stock Exchange, June 21, 2006
• Euronext Amsterdam N.V., April 7, 2006
• Wiener Börse, December 14, 2004
• Taiwan Stock Exchange Corporation, December 14, 2004
• Euronext Brussels SA/NV, November 10, 2004
• Tokyo Stock Exchange, Inc., August 20, 2004
• Prague Stock Exchange, May 28, 2004
• europrospectus.com limited, April 28, 2004
• Cairo and Alexandria Stock Exchanges, April 16, 2003
• Barcelona Stock Exchange, Bilbao Stock Exchange, Madrid Stock Exchange and Valencia Stock Exchange, March 11, 2003
• Channel Islands Stock Exchange, September 6, 2002
• SWX Swiss Exchange, July 3, 2002

Form F-7

• Form F-7, February 1, 2017

Form F-3

• Bank of Montreal, July 3, 2013
• The Bank of Nova Scotia, May 31, 2013
• Royal Bank of Canada, May 18, 2012
• ArcelorMittal, August 13, 2008

Form F-10

• TransCanada PipeLines Limited, March 20, 2014

Form S-3

• Allstate Life Insurance Company, August 23, 2002
• CarMax, Inc., December 6, 2002

Form S-8

• Beazer Homes USA, Inc., March 12, 2007

Schedule B - Foreign Government registration statement

• Asian Infrastructure Investment Bank, December 9, 2019
• Republic of Indonesia, February 16, 2018
• Republic of the Philippines, December 6, 2017
• Japan International Cooperation Agency, December 8, 2016
• Republic of Peru, July 30, 2015
• Republic of Chile, April 27, 2015
• FMS Wertmanagement and the Federal Republic of Germany, February 20, 2013
• Council of Europe Development Bank, April 23, 2010
• Commonwealth of Australia, January 11, 2010
• New South Wales Treasury Corporation, The Crown in Right of New South Wales, September 15, 2009
• Commonwealth of Australia, February 26, 2009
• Republic of Hungary, September 28, 2007
• Oesterreichische Kontrollbank Aktiengesellschaft and the Republic of Austria, July 20, 2007
• Landeskreditbank Baden-Württemberg - Förderbank, April 18, 2005
• Republic of Uruguay, March 8, 2005
• Bolivarian Republic of Venezuela, April 28, 2004
• Financement Quebec, June 24, 2002
• Republic of Italy, February 4, 2002
• Government of Jamaica, May 22, 2002
• Landwirtschaftliche Rentenbank — Federal Republic of Germany, January 30, 2003

Securities Exchange Act of 1934

Rule 10A-3

• Brazilian Foreign Private Issuers, November 8, 2018

Section 12 - Registration requirements for a class of securities

• Cleary Gottlieb Steen & Hamilton LLP, July 15, 2011
• Tennessee Valley Authority, December 14, 2006
• Federal Home Loan Bank of Topeka, May 23, 2006
• Federal Home Loan Bank of Seattle, May 23, 2006
• Federal Home Loan Bank of Des Moines, May 23, 2006
• Federal Home Loan Bank of Atlanta, March 20, 2006
• Federal Home Loan Bank of Indianapolis, February 22, 2006
• Federal Home Loan Bank of Chicago, January 20, 2006
• Federal Home Loan Bank of Boston, December 23, 2005
• Federal Home Loan Bank of Pittsburgh, September 28, 2005
• Federal Home Loan Bank of Dallas, September 15, 2005
• Federal Home Loan Bank of Cincinnati, September 13, 2005
• Federal Home Loan Bank of San Francisco, August 26, 2005
• Federal Home Loan Bank of New York, August 26, 2005
• Federal National Mortgage Association, July 12, 2002
• Federal Home Loan Mortgage Corporation, July 12, 2002

Sections 12(g) and 12(h) - Relief from reporting

• FSP 303 East Wacker Drive Corp. Liquidating Trust, November 13, 2018
• Royal Dutch Shell plc, August 7, 2015
• FSP 50 South Tenth Street Corp. Liquidating Trust, November 14, 2014
• FSP Galleria North Corp. Liquidating Trust, August 13, 2014
• FSP Phoenix Tower Corp. Liquidating Trust, April 1, 2013
• Behringer Harvard Short-Term Opportunity Liquidating Trust, March 28, 2013
• ICON Income Fund Nine Liquidating Trust, March 26, 2013
• Motors Liquidation Company GUC Trust, May 23, 2012
• ERM Worldwide Limited, March 23, 2012
• Fenwick & West LLP, February 13, 2012
• Twitter, Inc., September 13, 2011
• Zynga Inc., June 17, 2011
• Behringer Harvard Mid-Term Value Enhancement Liquidating Trust, March 31, 2011
• REMEC Liquidating Trust, March 28, 2011
• Camp Dresser & McKee Inc., October 25, 2010
• G REIT Liquidating Trust, August 5, 2010
• ICON Cash Flow Partners L.P. Seven Liquidating Trust, July 9, 2010
• Freedom Financial Group, Inc., March 24, 2010
• T REIT Liquidating Trust, March 16, 2010
• Facebook, Inc., October 14, 2008
• G REIT, Inc. and G REIT Liquidating Trust, February 25, 2008
• ICON Cash Flow Partners L.P. Seven and ICON Cash Flow Partners L.P. Seven Liquidating Trust, August 14, 2007
• T REIT, Inc. and T REIT Liquidating Trust, August 9, 2007
• Pepco Holdings, Inc., December 6, 2006
• BH Lodging Corp., November 8, 2006
• Loudeye Corp., November 7, 2006
• VG Holding Corporation, October 31, 2006
• Avago Technologies Limited, October 6, 2006
• Network General Central Corporation, May 22, 2006
• Cygnus, Inc., March 27, 2006
• FORE Holdings LLC and FORE Holdings Liquidating Trust, December 1, 2005
• Jazz Semiconductor, Inc., November 21, 2005
• WinCo Foods, LLC and WinCo Holdings, Inc., November 21, 2005
• McKinsey & Company, Inc., January 11, 2005
• Galey & Lord, Inc., May 10, 2004
• Shelbourne Properties I, Inc., April 29, 2004
• Abetterwayhome Corp., January 30, 2004
• Marengo Bancshares, Inc., November 7, 2003
• Wilmington Trust Company, as Trustee, and AFG Investment Liquidating Trusts, June 18, 2003
• PLM Equipment Growth Fund III, Liquidating Trust, June 9, 2003
• ISE Labs, Inc., June 2, 2003
• Seagate Removable Storage Solutions Holdings, March 7, 2003
• Headstrong Corporation, February 28, 2003
• Wilmington Trust Company et al., February 26, 2003
• DataCard Corporation, October 15, 2002
• Accredited Home Lenders, Inc., July 26, 2002
• Pae Tec Corp., July 16, 2002
• J.P. Morgan Chase & Co and other Affiliates, June 26, 2002
• Cobalt Group Inc., June 25, 2002
• Burnham Pacific Properties, Inc., June 21, 2002
• MWH Global Inc., May 9, 2002
• Nordstrom.com, LLC, February 28, 2002
• InFlowGroup, Inc., February 13, 2002
• SI International, Inc., February 4, 2002
• Unisphere Networks, Inc., January 15, 2002

Rule 12g-3 - Successor issuers

• ITT Corporation, May 5, 2016
• Pavonia Limited, January 22, 2016
• ARRIS Group, Inc., ARRIS International Limited, and Pace plc., October 30, 2015
• Forest City Enterprises, Inc., August 5, 2015
• New Monster Corporation and New Laser Corporation, June 12, 2015
• C&J Energy Services, Inc., March 23, 2015
• Sanchez Production Partners LLC, February 19, 2015
• Mylan Inc., February 18, 2015
• Medtronic, Inc., Medtronic Holdings Limited, and Covidien plc, January 23, 2015
• Remy International, Inc. and New Remy Holdco Corp., December 18, 2014
• Iron Mountain Incorporated, November 17, 2014
• Media General, Inc., November 10, 2014
• Woori Finance Holdings Co., Ltd., and Woori Bank, October 31, 2014
• Rocky Mountain Chocolate Factory, Inc., October 15, 2014
• UBS AG and UBS Group AG, October 1, 2014
• Eteris B.V., Applied Materials, Inc. and Tokyo Electron Limited, September 29, 2014
• Horizon Pharma, Inc. and Horizon Pharma plc, September 10, 2014
• Oshkosh Corporation, June 30, 2014
• NorthStar Realty Finance Corp., June 30, 2014
• Pentair-Switzerland and Pentair-Ireland, May 1, 2014
• Endo Health Solutions, Inc., February 28, 2014
• Perrigo Company, Perrigo Company Limited and Elan Corporation plc, December 17, 2013
• Gastar Exploration, Inc. and Gastar Exploration USA, Inc., November 26, 2013
• Actavis, Inc., September 30, 2013
• Sirius XM Radio Inc., September 30, 2013
• Starburst II, Inc. and Sprint Nextel Corporation, July 3, 2013
• LIN TV Corp., April 30, 2013
• Genworth Financial, Inc., March 27, 2013
• Coca-Cola Hellenic Bottling Company S.A. and Coca-Cola HBC AGC, March 14, 2013
• Tower Group, Inc., December 7, 2012
• Eaton Corporation, November 8, 2012
• Pentair, Inc., September 20, 2012
• SAIC, Inc., April 27, 2012
• Alexander & Baldwin, Inc., April 3, 2012
• ADA-ES, Inc., March 15, 2012
• Jazz Pharmaceuticals, Inc., January 12, 2012
• XOMA Ltd., December 8, 2011
• GP Strategies Corporation, October 11, 2011
• MGP Ingredients, Inc., October 11, 2011
• Interactive Intelligence, Inc., April 27, 2011
• The Mosaic Company, February 3, 2011
• HCA, Inc., November 22, 2010
• GrafTech International Ltd., November 4, 2010
• Sun Healthcare Group, Inc., September 29, 2010
• The Dress Barn, Inc., August 13, 2010
• GulfMark Offshore, Inc., January 11, 2010
• MF Global Ltd., December 15, 2009
• Hungarian Telephone and Cable Corp., Invitel Holdings A/S, February 27, 2009
• Willbros Group, Inc., February 27, 2009
• Pediatrix Medical Group, Inc., December 22, 2008
• Galileo Holding Corporation, December 19, 2008
• Otter Tail Corporation, December 19, 2008
• Mentor Corporation, September 26, 2008
• Reuters Group PLC and Thomson Reuters PLC, March 20, 2008
• Dollar Tree Stores, Inc., February 20, 2008
• Energy West, Incorporated, January 15, 2008
• Roper Industries, Inc., July 19, 2007
• InterDigital Communications Corporation, June 25, 2007
• ABX Air, Inc., June 13, 2007
• Equitable Resources, Inc., April 25, 2007
• Ford Motor Credit Company, March 21, 2007
• Hecla Mining Company, October 31, 2006
• Global Preferred Holdings, Inc., July 18, 2006
• Southwestern Energy Company, June 29, 2006
• Duke Energy Corporation, Duke Energy Holding Corp., Cinergy Corp., March 30, 2006
• Shire Pharmaceuticals Group PLC and Shire PLC, November 17, 2005
• CanWest Media Inc., November 15, 2005
• Aether Systems, Inc., April 26, 2005
• Royal Dutch Shell PLC, May 17, 2005
• Matria Healthcare, Inc., February 10, 2005
• News Corporation Limited, November 3, 2004
• Johnson Controls, Inc., October 1, 2004
• Bookham Technology plc, September 22, 2004
• Russell Corporation, March 18, 2004
• Ampco-Pittsburgh Corporation, January 22, 2004
• Hanson PLC, Hanson Building Materials PLC, October 9, 2003
• Adolph Coors Company, August 25, 2003
• Six Continents PLC, March 28, 2003
• Friedman, Billings, Ramsey Group Inc., FBR Asset Investment Corporation, Forest Merger Corporation, March 25, 2003
• Crown, Cork & Seal Company, Inc., February 25, 2003
• AT&T Comcast Corporation, November 18, 2002
• ConocoPhillips, August 23, 2002
• Weatherford International, June 25, 2002
• Nabors Industries, Inc., April 30, 2002

Rule 12g3-2(b) - Exemptions for American depositary receipts and certain foreign securities

• Deutsche Bank Trust Company Americas, April 9, 2013
• Registration of PORTAL Securities under Section 12(g), July 31, 2007

Rule 12h-1 - Exemptions from registration under Section 12(g) of the Act

• ViewSonic Corporation, March 14, 2008

Rule 12h-3 - Suspension of duty to file reports under Section 15(d)

• Interline Brands, Inc., August 24, 2015
• Biomet, Inc., August 11, 2015
• Circle Entertainment, Inc., May 13, 2015
• Greer Bancshares, Incorporated, March 4, 2015
• First Physicians Capital Group, Inc., December 19, 2014
• Affymax, Inc., November 14, 2014
• Orbit International Corp., November 13, 2014
• Madison Bancorp, Inc., May 27, 2014
• Beam Inc., now known as Beam Suntory Inc., May 12, 2014
• VSB Bancorp, Inc., March 31, 2014
• Gasco Energy, Inc., March 31, 2014
• Actavis, Inc., February 26, 2014
• Provident Community Bancshares, Inc., February 10, 2014
• Willbros Group, Inc., November 5, 2013
• Maxygen, Inc., October 30, 2013
• Oak Ridge Financial Services, Inc., September 9, 2013
• Frederick County Bancorp, Inc, June 19, 2013
• Environmental Tectonics Corporation, March 22, 2013
• Croghan Bancshares, Inc., March 21, 2013
• iSecuretrac Corp., February 1, 2013
• Birmingham Bloomfield Bancshares, Inc., January 30, 2013
• Northern Illinois Gas Company, January 18, 2013
• Mid-Wisconsin Financial Services, Inc., December 19, 2012
• Alarion Financial Services, Inc., November 29, 2012
• RadView Software Ltd., November 14, 2012
• North State Bancorp, September 27, 2012
• Britton & Koontz Capital Corporation, September 27, 2012
• First Citizens Bancshares, Inc., September 26, 2012
• Peoples Financial Services Corp., August 16, 2012
• Central Virginia Bankshares, Inc., August 8, 2012
• AB&T Financial Corporation, July 27, 2012
• AmerisourceBergen Corporation, July 25, 2012
• Botetourt Bankshares, Inc., July 24, 2012
• Republic Services, Inc., July 24, 2012
• First Ottawa Bancshares, Inc., July 23, 2012
• Potomac Bancshares, Inc., July 23, 2012
• China Shenghuo Pharmaceutical Holdings, Inc., July 20, 2012
• Skagit State Bancorp, Inc., July 20, 2012
• Touchmark Bancshares, Inc., July 17, 2012
• GlenRose Instruments Inc., July 16, 2012
• Mango Capital, Inc., March 28, 2012
• DT Sale Corp., November 14, 2011
• MXenergy Holdings Inc., August 18, 2011
• Aeroflex Incorporated, August 4, 2011
• Constar International Inc., March 29, 2011
• CPG International Inc., March 23, 2011
• Decorator Industries, Inc., March 23, 2011
• enherent Corp., March 17, 2011
• Live Current Media Inc., March 18, 2011
• CoSine Communications, Inc., March 15, 2011
• Wentworth Energy, Inc., March 15, 2011
• Mexican Restaurants, Inc., January 13, 2011
• Goodman Global Group, Inc., December 14, 2010
• Tix Corporation, November 5, 2010
• Congoleum Corporation, August 16, 2010
• Greenville Federal Financial Corporation, July 13, 2010
• Nyer Medical Group, Inc., June 30, 2010
• Intraop Medical Corporation, May 12, 2010
• Sielox, Inc., March 29, 2010
• AutoImmune, Inc., March 26, 2010
• BankGreenville Financial Corporation, March 26, 2010
• TXCO Resources Inc., March 25, 2010
• GrandSouth Bancorporation, March 24, 2010
• Harrington West Financial Group Inc., March 24, 2010
• PureDepth, Inc., March 8, 2010
• i2 Technologies, Inc., March 8, 2010
• Marvel Entertainment, LLC, February 26, 2010
• California Micro Devices Corporation, February 8, 2010
• Sun Microsystems, Inc., February 5, 2010
• Perot Systems Corporation, February 3, 2010
• Semitool, Inc., January 29, 2010
• Craftmade International, Inc., January 27, 2010
• Telemig Celular Participacoes S.A., December 14, 2009
• Charlotte Russe Holding, Inc., December 10, 2009
• DPH Holdings Corp., November 12, 2009
• Caraustar Industries, Inc., November 9, 2009
• Medialink Worldwide Incorporated, November 9, 2009
• Woodbridge Holdings Corporation, November 9, 2009
• International Wire Group, Inc., November 6, 2009
• Wyeth, November 4, 2009
• Map Financial Group, Inc., November 3, 2009
• Residential Capital, LLC, November 3, 2009
• Comtech Telecommunications Corp., August 27, 2009
• DATATRAK International, Inc., August 12, 2009
• PlanetOut Inc., August 12, 2009
• Gateway Pacific Bancorp, August 7, 2009
• Cox Radio, Inc., August 6, 2009
• SumTotal Systems, Inc., August 6, 2009
• Hearst Television Inc., August 5, 2009
• Neuro-Hitech, Inc., July 30, 2009
• Westaff, Inc., May 19, 2009
• Silverstar Holdings, Ltd., May 15, 2009
• PharmaNet Development Group, Inc., May 8, 2009
• Rusoro Mining Ltd., April 22, 2009
• Mountain Valley Bancshares, Inc., March 30, 2009
• Sunshine Financial, Inc. and Sunshine Savings Bank 401(k) Profit Sharing Plan, March 30, 2009
• Minrad International, Inc., March 27, 2009
• Interlink Electronics, Inc., March 26, 2009
• Beverly Hills Bancorp Inc., March 13, 2009
• TIAA-CREF U.S. Real Estate Fund I, L.P., March 10, 2009
• MinnErgy, LLC, March 10, 2009
• Metro One Telecommunications, Inc., March 4, 2009
• Anheuser-Busch Companies, Inc., February 18, 2009
• UST Inc., February 18, 2009
• EnergySouth, Inc., December 11, 2008
• Ampex Corporation, November 14, 2008
• Consonus Technologies, Inc., November 10, 2008
• United Online, Inc., November 7, 2008
• Energy East Corporation, October 31, 2008
• ACE*COMM Corporation, September 26, 2008
• Horsepower Holdings, Inc., August 14, 2008
• I.C. Isaacs & Company, Inc., August 13, 2008
• Prairie Creek Ethanol, LLC, August 12, 2008
• Liberty Lane Acquisition Corp., July 28, 2008
• Barclays (Netherlands) N.V., June 26, 2008
• Questar Assessment, Inc., June 13, 2008
• CollaGenex Pharmaceuticals, Inc., May 12, 2008
• SunCom Wireless Holdings, Inc., February 29, 2008
• Planet Technologies, Inc., February 7, 2008
• MetLife Life and Annuity Company of Connecticut, January 22, 2008
• RARE Hospitality International, Inc., January 22, 2008
• International Securities Exchange, Inc., January 3, 2008
• Bausch & Lomb Incorporated, November 6, 2007
• FoxHollow Technologies, Inc., November 2, 2007
• Victory Renewable Fuels, LLC, October 15, 2007
• Eagle Hospitality Properties Trust, Inc., August 30, 2007
• Telemar Participações S.A., June 20, 2007
• American Physicians Insurance Company, March 30, 2007
• DSL.net, Inc., March 30, 2007
• Summit Bank Corporation, March 14, 2007
• CPA:14 Holdings Inc., December 11, 2006
• Wintegra, Inc., August 11, 2006
• Global Preferred Holdings, Inc., July 18, 2006
• Watchdata Technologies Ltd., June 29, 2006
• WaveRider Communications Inc., March 31, 2006
• ADVISORS REIT I, Inc., March 31, 2006
• PacifiCare Health Systems, Inc., March 16, 2006
• IVAX Corporation, March 10, 2006
• Unocal Corporation, October 21, 2005
• Infiniti Solutions Ltd., March 8, 2005
• ATX Group, Inc., October 15, 2004
• Synetics Solutions, Inc., October 15, 2004
• Engenio Information Technologies, Inc., September 13, 2004
• Kerr-McGee (Nevada) LLC, August 9, 2004
• 3333 Holding Corporation, Centex Development Company, L.P., March 17, 2004
• CoorsTek, Inc., August 14, 2003
• Medialive International, Inc., August 13, 2003
• Royal Precision, Inc., April 9, 2003
• IBM Credit LLC, March 24, 2003
• PayPal, Inc., November 13, 2002
• NOMOS Corporation, November 12, 2002
• Medco Health Solutions, Inc., August 13, 2002
• Neogenesis Pharmaceuticals, Inc., April 1, 2002
• Westfield America, Inc., January 29, 2002

Rule 12h-6

• Sundance Energy Australia Limited, May 7, 2014

Section 13 - Periodic and other reports

• Certain Trust Preferred Securities, November 10, 2020
• KBS Legacy Partners Apartment REIT, Inc., July 26, 2018
• Behringer Harvard Opportunity REIT I, Inc., , March 23, 2018
• KBS Real Estate Investment Trust, Inc., February 28, 2018
• Berkshire Hathaway Energy Company, February 22, 2018
• E. I. du Pont de Nemours and Company, February 12, 2018
• Swisher Hygiene Inc., August 5, 2016
• Federal Home Loan Mortgage Corporation, October 8, 2015
• Sooner Holdings, Inc., August 11, 2014
• The Allied Defense Group, Inc., November 13, 2013
• CIL&D, LLC, f/k/a Kaiser Ventures LLC, August 12, 2013
• NBCUniversal, April 30, 2013
• Summit Materials, LLC, March 20, 2013
• Chai-Na-Ta Corp., November 29, 2012
• NBCUniversal, June 24, 2011
• Melco Crown Entertainment Limited, October 18, 2010
• Tim Hortons Inc., September 9, 2009
• Motors Liquidation Company, formerly known as General Motors Corporation, July 9, 2009
• Federal Home Loan Mortgage Corporation, July 18, 2008
• Genesee Corporation, December 5, 2007
• Overseas Partners Ltd., March 16, 2007
• Southern Investors Service Company, Inc., June 24, 2005
• Manulife Financial Corporation, March 15, 2005
• EnCana Corporation, December 3, 2004
• Fannie Mae, August 20, 2004
• Enstar Income/Growth Program Five-A, L.P., August 7, 2004
• Axtel. S.A. de C.V., July 21, 2004
• AmeriVision Communications, Inc., June 14, 2004
• Weirton Steel Corporation, March 23, 2004
• Pegasus Aircraft Partners, L.P., February 9, 2004
• Microsoft Corporation, October 15, 2003
• Hawaiian Holdings, Inc., October 1, 2003
• Atchison Casting Corporation, October 7, 2003
• Hauser, Inc., July 17, 2003
• Evolve Software, Inc., July 16, 2003
• Insilco Holding Co., March 18, 2003
• Allstate Life Insurance Company, August 23, 2002
• Laclede Steel Company, July 25, 2002
• Opticon Medical Inc., June 28, 2002
• RBC Centura Banks, Inc., February 26, 2002
• Cambridge Advantaged Properties II Limited Partnership, February 6, 2002

Section 13(k) - Prohibition on Personal Loans to Executives

• RingsEnd Partners, LLC/EBIC Program, March 4, 2013

Regulation 13D-G - Beneficial Ownership Reports

• Booz Allen Hamilton Holding Corp., November 12, 2010
• Morgan Stanley Smith Barney LLC, May 29, 2009
  Supplemental Letter, September 14, 2009
• Goldman, Sachs & Co., December 30, 2008
• Her Majesty's Government, December 10, 2008
• Auction Rate Securities — Global Exemptive Relief, September 22, 2008
• Orbis Group, July 16, 2008
• DnB NOR ASA, January 9, 2008
• Natixis S.A., Banque Fédérale des Banques Populaires and Caisse National des Caisses d'Epargne, October 9, 2007
• Mellon Financial Corporation, Newton Investment Management Limited and Mellon Global Investments Limited, November 16, 2006
• Canada Pension Plan Investment Board, May 5, 2006
• Mitsubishi UFJ Financial Group, Inc., January 23, 2006
• Credit Agricole S.A., April 4, 2005
• Citigroup Inc., May 27, 2004
• Stichting Pensioenfonds ABP, May 7, 2004
• Centre Solutions Limited, July 25, 2002
• CGNU plc, March 19, 2002
• Deutsche Bank AG, February 14, 2002

Rules 13a-14 and 15d-14 - Certification of disclosure in annual and quarterly reports

• Claymore MACROshares Oil Up Holding Trust et al., March 30, 2007
• CurrencyShares Japanese Yen Trust, March 27, 2007
• iShares COMEX Gold Trust, November 27, 2006
• iShares GSCI Commodity-Indexed Trust and iShares GSCI Commodity-Indexed Investing Pool LLC, November 14, 2006
• CurrencyShares Australian Dollar Trust, September 13, 2006
• CurrencyShares British Pound Sterling Trust, September 13, 2006
• CurrencyShares Canadian Dollar Trust, September 13, 2006
• CurrencyShares Mexican Peso Trust, September 13, 2006
• CurrencyShares Swiss Franc Trust, September 13, 2006
• CurrencyShares Swedish Krona Trust, September 13, 2006
• iShares Silver Trust, August 11, 2006
• Euro Currency Trust, March 22, 2006
• iShares COMEX Gold Trust, May 19, 2005
• streetTRACKS Gold Trust, February 18, 2005
• Mitsui & Co., Ltd., August 20, 2003
• Hechinger Liquidation Trust, May 15, 2003
• Merrill Lynch Depositor, Inc., March 28, 2003
• Mitsubishi Motors Credit of America, Inc., March 27, 2003
• Bank of America, N.A., November 13, 2002

Rule 13e-3 - Going Private Transactions

• Telefonica S.A., October 7, 2009
• SUNDAY Communications Limited, November 1, 2006
• SUNDAY Communications Limited, November 7, 2005
• Equant N.V. and France Telecom S.A., April 18, 2005
• Saipem SpA, July 29, 2002

Rule 13e-4 - Issuer Tender Offers

• Imperial Oil Ltd., November 2, 2023
• SoftSol India Ltd. December 22, 2022
• Imperial Oil Ltd., November 2, 2022
• Imperial Oil Ltd., May 4, 2022
• BRP Inc., June 23, 2021
• Eagle Bancorp Montana, Inc., May 20, 2021
• Companhia Paranaense de Energia – Copel, March 17, 2021
• InvenTrust Properties Corp., September 9, 2019
• BRP Inc., June 13, 2019
• HCL Technologies Limited, September 4, 2018
• Thomson Reuters Corporation, August 28, 2018
• CBS Corporation, September 26, 2017
• Griffin Capital Essential Asset REIT II, Inc., September 20, 2017
• Black Creek Diversified Property Fund Inc., September 1, 2017
• Infosys Limited, August 16, 2017
• Yahoo! Inc., May 12, 2017
• Hines Global REIT II, Inc., April 26, 2017
• GTJ REIT, Inc., December 22, 2016
• Rich Uncles NNN REIT, Inc., December 21, 2016
• Metalink Ltd., December 8, 2016
• Blackstone Real Estate Income Trust, Inc., September 12, 2016
• The Procter & Gamble Company Exchange Offer, September 1, 2016
• Lockheed Martin Corporation, July 11, 2016
• Baxter International Inc., April 21, 2016
• General Electric Company, October 19, 2015
• The Dow Chemical Company, September 2, 2015
• PHH Corporation, June 12, 2015
• Danaher Corporation, May 13, 2015
• GenCorp Inc., December 19, 2014
• Weyerhaeuser Company, June 26, 2014
• CBS Corporation, June 11, 2014
• Group 1 Automotive, Inc, May 16, 2014
• American Equity Investment Life Holding Company, August 23, 2013
• IMH Financial Corporation, July 17, 2013
• Pfizer Inc., May 22, 2013
• CNO Financial Group, Inc., February 11, 2013
• RREEF Property Trust, Inc., January 4, 2013
• PPG Industries, Inc., December 21, 2012
• Jones Lang LaSalle Income Property Trust, Inc., October 11, 2012
• United Realty Trust Incorporated, August 15, 2012
• Sonic Automotive, Inc., July 24, 2012
• Dividend Capital Total Realty Trust Inc., July 12, 2012
• American Realty Capital Global Daily Net Asset Value Trust, Inc., April 18, 2012
• Clarion Partners Property Trust Inc., February 24, 2012
• Boston Properties Limited Partnership, December 29, 2011
• Cole Real Estate Income Strategy (Daily NAV), Inc., December 6, 2011
• Textron, Inc., October 7, 2011
• Horizon Lines, Inc., October 3, 2011
• American Realty Capital Daily Net Asset Value Trust, Inc., July 21, 2011
• Clarion Partners Property Trust Inc., May 17, 2011
• Inland American Real Estate Trust, Inc., February 24, 2011
• Radvision Ltd., July 23, 2010
• Towers Watson & Co., May 17, 2010
• CBOE Holdings, Inc., May 10, 2010
• Bristol-Myers Squibb Company, November 16, 2009
• Thermo Fisher Scientific Inc., November 13, 2009
• General Motors Corporation, May 15, 2009
• The Procter & Gamble Company, October 8, 2008
• Kraft Foods Inc., July 1, 2008
• Reuters Group PLC and Thomson Reuters PLC, February 29, 2008
• ACE Aviation Holdings, Inc., December 26, 2007
• Microtune, Inc., September 13, 2007
• EMC Corporation and VMware, Inc., July 9, 2007
• Wells REIT II, Inc., June 26, 2007
• HCC Insurance Holdings, Inc., June 12, 2007
• Chordiant Software, Inc., March 26, 2007
• Halliburton Company, March 23, 2007
• Juniper Networks, Inc., March 6, 2007
• MDS Inc., February 28, 2007
• Adobe Systems Incorporated, February 28, 2007
• CNET Networks, Inc., February 28, 2007
• Weyerhaeuser Company, February 23, 2007
• CenterPoint Energy, December 21, 2006
• Security Capital Assurance Ltd. and XL Capital Ltd., October 31, 2006
• SPARTA, Inc., October 4, 2006
• McDonald's Corporation, September 27, 2006
• Alliance Semiconductor Corporation, September 22, 2006
• Hines Real Estate Investment Trust, Inc., September 7, 2006
• PMI Group, Inc., July 6, 2006
• Apple REIT Six, Inc., June 30, 2006
• Swedish Match AB, June 20, 2006
• Vodafone PLC, June 12, 2006
• Scottish Power plc, April 3, 2006
• Fresenius Medical Care AG, January 13, 2006
• Publicis Groupe S.A., January 13, 2006
• Special Situations Fund III, L.P., November 17, 2005
• Korea Fund, Inc., July 1, 2005
• National Grid Transco plc, June 6, 2005
• Peter Kiewit Sons', Inc., May 17, 2005
• Boston Capital Real Estate Investment Trust, Inc., February 10, 2005
• Man-Glenwood Lexington, LLC, January 31, 2005
• Behringer Harvard REIT, et. al., October 26, 2004
• Paladin Realty Income Properties, Inc., October 14, 2004
• Comcast Corporation, October 7, 2004
• TXU Corporation, September 13, 2004
• Hines Real Estate Investment Trust, Inc., June 18, 2004
• Scitex Corporation Ltd., June 14, 2004
• PetroKazakhstan Inc., June 10, 2004
• AB Electrolux, May 4, 2004
• CNL Income Properties, Inc. , March 11, 2004
• Lodgian, Inc., April 27, 2004
• General Electric Company and GE Investments, Inc., February 24, 2004
• Martha Stewart Living Omnimedia, Inc., November 7, 2003
• Microsoft Corporation, October 15, 2003
• The Prudential Insurance Company of America, September 5, 2003
• Journal Company, July 24, 2003
• Accenture Ltd., January 10, 2003
• Issuer Exchange Offers Conducted for Compensatory Purposes, March 21, 2001

Section 14 - Proxy and tender offer rules

• Mphasis Limited, May 28, 2021
• ShareGift USA, December 3, 2008

Proxy solicitations

• LyondellBasell Industries N.V., November 15, 2024
• Transocean Ltd., March 3, 2021
• Pacific Drilling SA., April 6, 2020
• MiMedx Group, Inc., May 30, 2019
• Teva Pharmaceutical Industries Limited, October 25, 2018
• Rowan Companies plc, March 2, 2017
• Ensco plc, December 3, 2015
• Ingersoll-Rand plc, March 13, 2015
• Avago Technologies, November 7, 2014
• Garmin Ltd., September 30, 2014
• Aon plc, March 31, 2014
• Schlumberger Limited, January 31, 2014
• Genworth Financial, Inc., March 27, 2013
• Eastbourne Capital, L.L.C., March 30, 2009
• Icahn Associates Corp., March 30, 2009

Tender offers

• Piramal Enterprises Ltd., July 28, 2023
• Larsen & Toubro Ltd., July 25, 2023
• Tanla Platforms Limited, November 17, 2022
• Lloyds Banking Group plc, November 10, 2021
• NIIT Ltd., March 24, 2021
• Enel S.p.A., December 16, 2020
• Majesco Limited, October 30, 2020
• Just Dial Limited, July 24, 2020
• Barclays Bank PLC, May 28, 2020
• Magal Security Systems Ltd., May 21, 2020
• QIAGEN N.V., May 15, 2020
• LINE Corporation, January 17, 2020
• Baillie Gifford European Growth Trust plc, December 20, 2019
• Adani Ports and Special Economic Zone Limited, August 1, 2019
• KPIT Technologies, Limited, June 27, 2019
• Hulst B.V., June 13, 2019
• Indian Energy Exchange Limited, March 1, 2019
• Just Dial Limited, November 30, 2018
• Mphasis Limited, November 5, 2018
• Redington (India) Limited, October 17, 2018
• Cyren Limited, November 17, 2017
• Mphasis Limited , April 7, 2017
• Standard Industries Inc., October 25, 2016
• AIXTRON SE, August 17, 2016
• SABMiller, August 2, 2016
• Sun Pharmaceutical Industries Ltd., July 19, 2016
• Mphasis Limited,, June 28, 2016
• Syngenta AG, March 21, 2016
• Just Dial Ltd. , January 29, 2016
• Abbreviated Tender or Exchange Offers for Non-Convertible Debt Securities, January 23, 2015
• Lloyds Banking Group plc, May 28, 2010
• Citizens Republic Bancorp, Inc., August 21, 2009
• UBS AG, July 29, 2009
• BlackRock Advisers LLP, October 30, 2008
• Auction Rate Securities — Global Exemptive Relief, September 22, 2008
• Eaton Vance Management, June 13, 2008

Third-party tender offers

Domestic

Cross-border

• Aavas Financiers Limited, December 5, 2024
• Ping An Insurance (Group) Company of China, Ltd., September 19, 2024
• MorphoSys AG, July 3, 2024
• Banco Bilbao Vizcaya Argentaria, S.A., May 29, 2024
• MorphoSys AG, April 9, 2024
• Compagnie Maritime Belge NV, February 9, 2024
• Rothschild & Co Concordia SAS, June 7, 2023
• R Systems International Ltd., April 11, 2023
• Banco Santander, S.A., February 6, 2023
• PagoNxt Merchant Solutions, October 31, 2022
• Grindrod Shipping Holdings Ltd., October 11, 2022
• Swedish Match AB, June 27, 2022
• Intertrust N.V., March 25, 2022
• Grupo Aeroportuario de Centro Norte, S.A.B. de C.V., May 19, 2021
• Vedanta Limited, March 15, 2021
• TOA Oil Company Ltd., January 27, 2021
• HealthCare Global Enterprises Limited, July 16, 2020
• Banco Santander, S.A., August 8, 2019
• Mastercard UK Holdco Limited, February 5, 2019
• Yahoo Japan Corporation, July 9, 2018
• TiGenix NV, April 19, 2018
• Ablynx NV, March 27, 2018
• Comcast Corporation tender offer for Sky plc, March 12, 2018
• Transportadora de Gas del Sur S.A., March 6, 2017
• Biotie Therapies Oyj, March 8, 2016
• Metalink Ltd., February 16, 2016
• Siliconware Precision Industries Co., Ltd., December 28, 2015
• Nokia Corporation, November 17, 2015
• Siliconware Precision Industries Co., Ltd., September 17, 2015
• BHG S.A.-Brazil Hospitality Group, March 27, 2015
• Songbird Estates Plc., December 19, 2014
• Gilat Satellite Networks, Ltd., November 24, 2014
• UBS AG, September 29, 2014
• Banco Santander, S.A., September 18, 2014
• HudBay Minerals Inc., July 15, 2014
• D.E. Master Blenders 1753 N.V, May 21, 2013
• Elan Corporation, plc, May 1, 2013
• Coca-Cola Hellenic Bottling Company S.A. and Coca-Cola HBC AGC, March 14, 2013
• Aurizon Mines Ltd., March 7, 2013
• Amil Participações S.A., November 20, 2012
• Patni Computer Systems Limited, May 25, 2012
• Teléfonos de México, S.A.B. de C.V., October 3, 2011
• TMX Group, June 14, 2011
• Wimm-Bill-Dann Foods OJSC, March 18, 2011
• Patni Computer Systems Limited, February 9, 2011
• Net Serviços de Comunicação S.A., October 15, 2010
• BHP Billiton Limited, August 26, 2010
• America Movil, S.A.B. de C.V., April 23, 2010
• VimpelCom Ltd., February 5, 2010
• Chemoil Energy Limited, December 14, 2009
• Kraft Foods, Inc., December 9, 2009
• KCPS PE Investment Management, June 5, 2009
• Satyam Computer Services Ltd., April 28, 2009
• SoFFin, April 15, 2009
• Radvision, April 14, 2009
• Sierra Wireless, January 5, 2009
• Qtel, January 5, 2009
• Retalix Ltd., December 18, 2008
• Telefónica S.A., November 24, 2008
• Gemalto S.A., November 7, 2008
• EGS Acquisition Co LLC, November 5, 2008
• International Business Machines Corporation tender offer for ILOG S.A., October 9, 2008
• Telefónica S.A., September 22, 2008
• Petersen Energía Inversora S.A., September 9, 2008
• Elron Electronics Industries Ltd., May 15, 2008
• Clal Industries and Investments Ltd., March 3, 2008
• Telemar Participações S.A., October 9, 2007
• Barclays PLC tender offer for ABN AMRO Holding N.V., August 7, 2007
• Rio Tinto plc, July 24, 2007
• Royal Bank of Scotland Group plc tender offer for ABN AMRO Holding N.V., July 23, 2007
• Endesa, S.A., July 3, 2007
• Asia Satellite Telecommunications Holdings Limited, May 25, 2007
• CANTV, April 6, 2007
• STATS ChipPAC Ltd., March 15, 2007
• ProSiebenSat.1 Media AG, January 30, 2007
• Portugal Telecom, SGPS, S.A., December 19, 2006
• Embratel Participacoes, S.A., December 6, 2006
• E.ON Aktiengesellschaft, December 6, 2006
• NASDAQ Stock Market, Inc., November 20, 2006
• Barrick Gold Corporation, October 10, 2006
• Bayer AG, September 26, 2006
• Bayer Entities, June 29, 2006
• Teck Cominco Limited, June 21, 2006
• AstraZeneca PLC, May 23, 2006
• Bayer AG, April 28, 2006
• Gas Natural SDG, S.A., March 2, 2006
• Barrick Gold Corporation, January 19, 2006
• Nordic Telephone Company ApS, January 3, 2006
• BBVA Privanza International (Gibraltar) Limited, December 23, 2005
• Jilin Chemical Industrial Company Limited, December 21, 2005
• Axel Springer AG, September 12, 2005
• Royal Dutch Shell PLC, May 17, 2005
• Harmony Gold Mining Company Limited, March 10, 2005
• Blackstone Entities, December 16, 2004
• Harmony Gold Mining Company Limited, November 19, 2004
• Equitable Life Assurance Society, November 15, 2004
• Discount Investment Corporation Ltd., June 14, 2004
• Aventis, June 10, 2004
• UCB S.A., May 19, 2004
• Epicor Software Corporation, May 13, 2004
• SERENA Software, Inc., April 13, 2004
• Alcan, Inc. for Common Shares, ADSs, Bonus Allocation Rights and OCEANEs of Pechiney, October 7, 2003
• BCP Crystal Acquisition GmbH & Co, February 3, 2004
• Zimmer Holdings, Inc., June 19, 2003
• Smith & Nephew Group plc and Smith & Nephew plc, April 24, 2003
• Serono S.A., September 12, 2002
• Koninklijke Ahold N.V., September 10, 2002
• Alliance Capital Management Holding L.P. et al., August 1, 2002
• Saipem SpA, July 29, 2002
• Madison Dearborn Partners, LLC, July 9, 2002
• Panatone Finvest Ltd, May 6, 2002
• RWE Aktiengesellschaft, March 22, 2002
• Southern Cross, March 5, 2002

Rule 14b-1

• Swingvote, LLC, July 15, 2005

Rule 14b-2

• Swingvote, LLC, July 15, 2005

Rule 14e-5 - Purchases Outside a Tender Offer

• John Hancock Exchange-Traded Fund Trust, September 26, 2023
• Principal ETFs, July 7, 2023
• Natixis ETF Trust II, June 21, 2023
• J.P. Morgan Exchange-Traded Fund Trust, March 30, 2023
• Thrivent ETF Trust, May 20, 2022
• IndexIQ Active ETF Trust, May 10, 2022
• Principal ETFs, April 11, 2022
• Columbia ETF Trust I, March 1, 2022
• DoubleLine ETF Trust, December 20, 2021
• Hartford Funds Exchange-Traded Trust, September 30, 2021
• The Advisors’ Inner Circle Fund, September 21, 2021
• Schwab Strategic Trust, September 14, 2021
• Fidelity Covington Trust, June 3, 2021
• Putnam ETF Trust, April 22, 2021
• ALPS ETF Trust, February 3, 2021
• Gabelli ETFs Trust, January 14, 2021
• Fidelity Covington Trust, January 14, 2021
• The Alger ETF Trust, December 30, 2020
• Invesco Funds, December 9, 2020
• Natixis ETF Trust II, August 26, 2020
• First Trust Exchange-Traded Fund VIII, July 22, 2020
• American Century ETF Trust, July 16, 2020
• T. Rowe Price Exchange-Traded Fund, Inc., July 1, 2020
• First Trust Exchange-Traded Fund III, April 7, 2020
• First Trust Exchange-Traded Fund III, February 5, 2020
• Bank of America Securities, Inc., January 27, 2020
• American Century ETF Trust, January 21, 2020
• Fidelity Covington Trust, December 18, 2019
• American Century ETF Trust, December 12, 2019
• First Trust Exchange-Traded Fund VIII, December 4, 2019
• First Trust Exchange-Traded Fund IV, August 20, 2019
• FQF Trust, May 23, 2019
• Precidian ETF Trust II, May 22, 2019
• iShares Trust, January 31, 2019
• ARK ETF Trust, January 31, 2019
• Brandes Investment Trust, May 2, 2018
• Causeway ETMF Trust, April 17, 2018
• PowerShares Exchange-Traded Fund Trust, March 26, 2018
• WisdomTree U.S. Quality Shareholder Yield Fund, February 6, 2018
• Calvert Management Series, January 11, 2018
• ARK ETF Trust, December 19, 2017
• Hartford Funds NextShares Trust, December 7, 2017
• John Hancock Exchange-Traded Fund Trust, December 7, 2017
• Eaton Vance NextShares Trust II, November 15, 2017
• First Trust Exchange-Traded Fund III, August 23, 2017
• First Trust Exchange-Traded Fund VIII, April 11, 2017
• Gabelli NextShares Trust, November 30, 2016
• Ivy NextShares, October 20, 2016
• First Trust Exchange-Traded Fund VIII, October 6, 2016
• First Trust Exchange-Traded Fund III, September 6, 2016
• Endesa Americas S.A., August 24, 2016
• First Trust Exchange-Traded Fund III, April 27, 2016
• iShares MSCI Frontier 100 ETF, March 14, 2016
• Eaton Vance ETMF Trust, February 26, 2016
• First Trust Exchange-Traded Fund IV, November 12, 2015
• First Trust Exchange-Traded Fund IV, November 4, 2015
• Cambria ETF Trust, June 16, 2015
• iShares Commodities Select Strategy ETF, December 19, 2014
• First Trust Exchange-Traded Fund III, December 18, 2014
• First Trust Exchange-Traded Fund IV, August 15, 2014
• ARK ETF Trust, July 31, 2014
• UBS AG, July 22, 2014
• iShares Enhanced International Small Cap ETF, February 19, 2014
• First Trust Exchange-Traded Fund VI, January 8, 2014
• BGS Acquisition Corp., September 20, 2013
• AdvisorShares Trust, July 11, 2013
• SSgA Active ETF Trust, July 3, 2013
• Blue Wolf Mongolia Holdings Corp., April 16, 2013
• iShares Enhanced U.S. Small Cap ETF, April 16, 2013
• Prime Acquisition Corp., March 28, 2013
• SSgA Active ETF Trust, November 13, 2012
• First Trust Exchange-Traded Fund IV, June 21, 2012
• Business Objects S.A., December 5, 2007
• Grupo Aeropotuario del Sureste, S.A.B. de C.V. (Southeast Airport Group), May 9, 2007
• CANTV, April 6, 2007
• STATS ChipPAC Ltd., March 15, 2007
• ProSiebenSat.1 Media AG, January 30, 2007
• CenterPoint Energy, December 21, 2006
• PMI Group, Inc., July 6, 2006
• Scottish Power plc, April 3, 2006
• Axel Springer AG, September 12, 2005

Section 15(d)

• American Securitization Forum, January 6, 2011

Regulation RR - Credit Risk Retention

• Sancus Capital Management LP, September 1, 2016
• Crescent Capital Group LP, July 17, 2015

Section 16 - Directors, officers and principal stockholders

• PG&E Fire Victim Trust, May 28, 2021
• Bank of America, N.A., Merrill Lynch, Pierce, Fenner & Smith Incorporated, April 8, 2019
• Carlyle GMS Finance, October 8, 2015
• Davis Polk & Wardwell LLP, January 28, 2013
• Simon Property Group, Inc. , November 21, 2011
• Liberty Media Corporation / Liberty Interactive Corporation, November 3, 2011
• Bank of America Corporation and Affiliates ("BAC"), April 29, 2011
• Morgan Stanley Smith Barney LLC, May 29, 2009
  Supplemental Letter, September 14, 2009
• BlackRock Advisers LLC, November 4, 2008
• Auction Rate Securities — Global Exemptive Relief, September 22, 2008
• Society of Corporate Secretaries & Corporate Governance Professionals, June 25, 2008
• Babson Capital Management LLC, December 14, 2006
• Credit Suisse First Boston, March 18, 2004

Rule 17a-1 - Keep and Preserve Paper Copies

• Investors Exchange LLC, March 1, 2018
• NASDAQ Stock Market LLC, August 1, 2006

Regulation Blackout Trading Restriction

• CBS Corporation, June 9, 2014
• Pfizer Inc., May 21, 2013

Trust Indenture Act of 1939

• Pregis Corporation, December 7, 2007
• Tuition Account Investment PR, June 26, 2002
• Arch Wireless Inc., May 24, 2002

Exemptive Orders

• Grupo Iusacell Celular, S.A. de C.V., November 26, 2007
  Notice, October 15, 2007
  Application, October 12, 2007
• Mrs. Fields Famous Brands, LLC, Mrs. Fields Financing Company, Inc., and Certain Guarantors, March 24, 2005
• Petroleos Mexicanos and the Pemex Project Funding Master Trust, October 13, 2004
• Algoma Steel Inc., December 23, 2002
• Armstrong World Industries, Inc., July 16, 2002
• USG Corporation, April 23, 2002

United States Bankruptcy Code

• XO Communications, Inc., June 1, 2004
• Mooney Aerospace Group, Ltd., December 20, 2002

Other — Alaska Native Claims Settlement Act

• Cook Inlet Region, Inc., April 2, 2003

Other — Municipal Auction Rate Securities

• Municipal Auction Rate Securities, March 14, 2008