33-8707, 34-53898
May 31, 2006
3-12310
A.G. Edwards & Sons, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions)
PA-36
May 24, 2006
S7-09-06
Privacy Act of 1974: System of Records: Office of Inspector General Investigative Files (SEC-43) Comments Due: Federal Register version (71 FR 31230)
34-53851
May 23, 2006
600-29
Clearstream Banking, S.A.; Notice of Filing of Application To Continue an Existing Exemption From Clearing Agency Registration Comments Due: Federal Register version (71 FR 30969)
34-53828
May 18, 2006
Regulation NMS (Order Granting Exemption from Compliance) 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. Federal Register version (71 FR 27299)
33-8681, 34-53737
April 28, 2006
Order Making Fiscal Year 2007 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 1934 Federal Register version (71 FR 26132)
33-8681, 34-53737
April 28, 2006
Order Making Fiscal Year 2007 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 1934 Federal Register version (71 FR 26132)
34-53684
April 20, 2006
Regulation SHO (Order Extending Term of Short Sale Pilot)
33-8676, 34-53641
April 13, 2006
PCAOB (Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2006)
33-8676, 34-53641
April 13, 2006
PCAOB (Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2006)
33-8677, 34-53642
April 13, 2006
FASB (Order Regarding Review of Financial Accounting Standards Board Accounting Support Fee for 2006)
33-8677, 34-53642
April 13, 2006
FASB (Order Regarding Review of Financial Accounting Standards Board Accounting Support Fee for 2006)
34-53623
April 10, 2006
4-514
NASDAQ Stock Market LLC Federal Register version (71 FR 19769)
33-8674, 34-53595
April 4, 2006
265-23
Advisory Committee on Smaller Public Companies Comments Due: View Received Comments Federal Register version (71 FR 18122)
33-8674, 34-53595
April 4, 2006
265-23
Advisory Committee on Smaller Public Companies Comments Due: View Received Comments Federal Register version (71 FR 18122)
34-53581
March 31, 2006
81-935
Order Granting an Application of Peoples Financial Corporation Under Section 12(h) of the Securities Exchange Act of 1934 Federal Register version (71 FR 17501)
No release number 6
March 31, 2006
NASDAQ (Request for Modification of Order) 34-53128.pdf
33-8672, 34-53515
March 20, 2006
265-23
Advisory Committee on Smaller Public Companies Comments Due: View Received Comments Federal Register version (71 FR 14966)
33-8672, 34-53515
March 20, 2006
265-23
Advisory Committee on Smaller Public Companies Comments Due: View Received Comments Federal Register version (71 FR 14966)
34-53467
March 10, 2006
81-935
Notice of an Application of Peoples Financial Corporation Under Section 12(h) of the Securities Exchange Act of 1934 Comments Due: Federal Register version (71 FR 13639)
34-53428
March 7, 2006
4-514
The Nasdaq Stock Market LLC Comments Due: Federal Register version (71 FR 13645)
34-53406, IA-2492
March 3, 2006
Notice of Broker-Dealer/Investment Adviser Study Rel. No. 34-51523 Federal Register version (71 FR 12224)
34-53406, IA-2492
March 3, 2006
Notice of Broker-Dealer/Investment Adviser Study Rel. No. 34-51523 Federal Register version (71 FR 12224)
33-8666
Feb. 28, 2006
265-23
Exposure Draft of Final Report of Advisory Committee on Smaller Public Companies Comments Due: View Received Comments Federal Register version (71 FR 11089)
33-8663, : 34-53374, 39-2442, IA-2490, IC-27230
Feb. 27, 2006
S7-05-06
Regulatory Flexibility Agenda Comments Due:
33-8663, : 34-53374, 39-2442, IA-2490, IC-27230
Feb. 27, 2006
S7-05-06
Regulatory Flexibility Agenda Comments Due:
33-8663, : 34-53374, 39-2442, IA-2490, IC-27230
Feb. 27, 2006
S7-05-06
Regulatory Flexibility Agenda Comments Due:
33-8663, : 34-53374, 39-2442, IA-2490, IC-27230
Feb. 27, 2006
S7-05-06
Regulatory Flexibility Agenda Comments Due:
33-8663, : 34-53374, 39-2442, IA-2490, IC-27230
Feb. 27, 2006
S7-05-06
Regulatory Flexibility Agenda Comments Due:
34-53360
Feb. 24, 2006
4-511
Roundtable on Internal Control Reporting Requirements View Received Comments Federal Register version (71 FR 11001)
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, 34-53204
Feb. 1, 2006
265-23
Advisory Committee on Smaller Public Companies View Received Comments Federal Register version (71 FR 6297)
33-8659, 34-53204
Feb. 1, 2006
265-23
Advisory Committee on Smaller Public Companies View Received Comments Federal Register version (71 FR 6297)
PA-35
Jan. 31, 2006
S7-04-06
Privacy Act of 1974: Establishment of a New System of Records: Automated Emergency Notification System (SEC-53) Comments Due: Federal Register version (71 FR 6110)
No release number 5
Jan. 20, 2006
Classified National Security Information
PA-34
Jan. 18, 2006
S7-02-06
Privacy Act of 1974: Establishment of a New System of Records: Visitor Badge and Employee Day Pass System (SEC-52) Comments Due: Federal Register version (71 FR 3907)
34-53128
Jan. 13, 2006
In the Matter of the Application of the Nasdaq Stock Market LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission Release No. 34-52599 Federal Register version (71 FR 3550)
34-53060
Jan. 5, 2006
10-137
Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the Board of Trade of the City of Chicago, Inc. Federal Register version (71 FR 2603)
IA-2458, IC-27181
Dec. 7, 2005
Pilgrim Baxter & Associates, Ltd. (Order Directing Appointment of Tax Administrator)
IA-2458, IC-27181
Dec. 7, 2005
Pilgrim Baxter & Associates, Ltd. (Order Directing Appointment of Tax Administrator)
34-52909
Dec. 7, 2005
Extension of Order Regarding Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act 34-54920 , 34-50020 , 34-48281 Federal Register version (70 FR 73809)
34-52884
Dec. 5, 2005
Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet (Order Directing Appointment of Tax Administrator)
33-8638, 34-52862
Dec. 1, 2005
American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.) (Order Directing Appointment of Tax Administrator)
33-8638, 34-52862
Dec. 1, 2005
American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.) (Order Directing Appointment of Tax Administrator)
IA-2452, IC-27171
Dec. 1, 2005
American Express Financial Corporation (now known as Ameriprise Financial, Inc.) (Order Directing Appointment of Tax Administrator)
IA-2452, IC-27171
Dec. 1, 2005
American Express Financial Corporation (now known as Ameriprise Financial, Inc.) (Order Directing Appointment of Tax Administrator)
34-52857
Nov. 30, 2005
Order Regarding Alternative Net Capital Computation forBear, Stearns & Co. Inc., Which Has Elected to Be Supervised on aConsolidated Basis
33-8635, 34-52800
Nov. 18, 2005
265-23
Advisory Committee on Smaller Public Companies Comments Due: Federal Register version (70 FR 71179)
33-8635, 34-52800
Nov. 18, 2005
265-23
Advisory Committee on Smaller Public Companies Comments Due: Federal Register version (70 FR 71179)
34-52753
Nov. 9, 2005
Order Regarding Alternative Net Capital Computation for Lehman Brothers Inc., which Has Elected to be Supervised on a Consolidated Basis
34-52733
Nov. 4, 2005
81-934
Notice of an Application of Global Industries, Ltd. Under Section 12(h) of the Securities Exchange Act of 1934 Comments Due: 34-52840.pdf Federal Register version (70 FR 68115)
34-52642
Oct. 20, 2005
Janus Capital Management LLC
33-8628, 34-52629
Oct. 18, 2005
265-23
Advisory Committee on Smaller Public Companies View Received Comments Federal Register version (70 FR 61478)
33-8628, 34-52629
Oct. 18, 2005
265-23
Advisory Committee on Smaller Public Companies View Received Comments Federal Register version (70 FR 61478)
34-52628
Oct. 18, 2005
Miles A. Bahl (Order Approving Application for Relief from a Statutory Disqualification)
34-52611
Oct. 14, 2005
SR-CBOE-2004-16
Marshall Spiegel (Order Denying Stay) File Nos.:
34-52606
Oct. 13, 2005
REFCO Securities, LLC and REFCO Clearing, LLC (Order Regarding Withdrawals, Unsecured Loans or Advances from REFCO Securities, LLC and REFCO Clearing, LLC)
33-8623, 34-52575
Oct. 7, 2005
265-23
Advisory Committee on Smaller Public Companies Federal Register version (70 FR 59790)
33-8623, 34-52575
Oct. 7, 2005
265-23
Advisory Committee on Smaller Public Companies Federal Register version (70 FR 59790)
IA-2439
Oct. 7, 2005
Approval of Investment Adviser Registration Depository Filing Fees 2005 Federal Register version (70 FR 59789)
34-52559
Oct. 4, 2005
10-131
The Nasdaq Stock Market Inc., Notice of Filing of Amendment Nos. 4 and 5 to Its Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: View Received Comments Comments received electronically are available Federal Register version (70 FR 59097)
33-8619, 34-52522
Sept. 28, 2005
265-23
Advisory Committee on Smaller Public Companies; Meeting Federal Register version (70 FR 57631)
33-8619, 34-52522
Sept. 28, 2005
265-23
Advisory Committee on Smaller Public Companies; Meeting Federal Register version (70 FR 57631)
33-8613
Sept. 21, 2005
Legg Mason Wood Walker, Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
IA-2431
Sept. 16, 2005
Gary L. Pittsford (Order Granting Consent to Associate)
34-52382
Sept. 6, 2005
Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis Federal Register version (70 FR 53695)
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055
Sept. 2, 2005
S7-07-05
Regulatory Flexibility Agenda
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055
Sept. 2, 2005
S7-07-05
Regulatory Flexibility Agenda
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055
Sept. 2, 2005
S7-07-05
Regulatory Flexibility Agenda
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055
Sept. 2, 2005
S7-07-05
Regulatory Flexibility Agenda
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055
Sept. 2, 2005
S7-07-05
Regulatory Flexibility Agenda
33-8608, 34-52378, 35-28025, 39-2438, IA-2424, IC-27055
Sept. 2, 2005
S7-07-05
Regulatory Flexibility Agenda
IC-27047
Aug. 25, 2005
UBS Securities LLC, UBS Financial Services Inc., UBS Fund Advisor, LLC, UBS Aspen Management, LLC, UBS Willow Management, LLC, UBS Eucalyptus Management, LLC, UBS Tamarack Management, LLC, UBS Juniper Management, LLC, UBS Sequoia Management, LLC (f/k/a UBS Redwood/Sequoia Management, LLC), UBS Global Asset Management (NY) Inc., UBS Global Asset Management (US) Inc., UBS Global Asset Management (Americas) Inc., DSI International Management, Inc., UBS Global Asset Management International Ltd., GAM International Management Ltd., GAM USA Inc., and GAM Services Inc. (Order Pursuant to Section 9(C) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(A) of the Act)
33-8607, 34-52329
Aug. 24, 2005
265-23
Advisory Committee on Smaller Public Companies Federal Register version (70 FR 51388)
33-8607, 34-52329
Aug. 24, 2005
265-23
Advisory Committee on Smaller Public Companies Federal Register version (70 FR 51388)
34-52266
Aug. 15, 2005
10-136
Acknowledgment of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the CBOE Futures Exchange, LLC Federal Register version (70 FR 48990)
33-8599, 34-52189
Aug. 2, 2005
265-23
Advisory Committee on Smaller Public Companies Federal Register version (70 FR 45446)
33-8599, 34-52189
Aug. 2, 2005
265-23
Advisory Committee on Smaller Public Companies Federal Register version (70 FR 45446)
34-52145
July 28, 2005
Morgan Stanley & Co. (Order Regarding Alternative Net Capital Computation for Morgan Stanley & Co., which has Elect to be Supervised on a Consolidated Basis)
34-52134
July 27, 2005
Two Sigma Investments, LLC (Order Denying Requests for Confidential Treatment)
34-52135
July 27, 2005
Two Sigma Investments, LLC (Order Denying Requests for Confidential Treatment)
33-8589, 34-52047
July 18, 2005
265-23
Advisory Committee on Smaller Public Companies View Received Comments Federal Register version (70 FR 42117)
33-8589, 34-52047
July 18, 2005
265-23
Advisory Committee on Smaller Public Companies View Received Comments Federal Register version (70 FR 42117)
34-51893
June 21, 2005
List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities Federal Register version (70 FR 37128)
33-8576
May 31, 2005
Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8577
May 31, 2005
Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (Order Under Section 27A(B) of the Securities Act of 1933 and Section 21E(B) of the Securities Exchange Act of 1934 Granting Waivers of the Disqualification Provisions of Section 27A(B)(1)(A)(II) of the Securities Act Of 1933 and Section 21E(B)(1)(A)(Ii) of the Securities Exchange Act of 1934)
33-8575, 34-51730 Requests and Statements Due: Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005.
May 24, 2005
265-23
Advisory Committee on Smaller Public Companies. Federal Register version (70 FR 30978)
33-8575, 34-51730 Requests and Statements Due: Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005.
May 24, 2005
265-23
Advisory Committee on Smaller Public Companies. Federal Register version (70 FR 30978)
33-8575, 34-51730 Requests and Statements Due: Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005.
May 24, 2005
265-23
Advisory Committee on Smaller Public Companies. Federal Register version (70 FR 30978)
33-8575, 34-51730 Requests and Statements Due: Requests to present oral testimony should be received on or before June 6, 2005. Written statements should be received on or before June 8, 2005.
May 24, 2005
265-23
Advisory Committee on Smaller Public Companies. Federal Register version (70 FR 30978)
34-51697
May 16, 2005
Neurotech Development Corp. (Order Withdrawing Application and Dismissing Review Proceedings and Notice that Initial Decision has become Final) Initial Decision
IC-26867
May 13, 2005
S7-11-04
Mutual Fund Redemption Fees Federal Register version (70 FR 28965)
33-8572, 34-51631
April 29, 2005
Order Making Fiscal Year 2006 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b) and 31(c) of the Securities Exchange Act of 1934 Fee Rates FY 2006 Tables Federal Register version (70 FR 23271)
33-8572, 34-51631
April 29, 2005
Order Making Fiscal Year 2006 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b) and 31(c) of the Securities Exchange Act of 1934 Fee Rates FY 2006 Tables Federal Register version (70 FR 23271)
33-8571, 34-51610
April 26, 2005
265-23
Summary of Proposed Committee Agenda of Advisory Committee on Smaller Public Companies Comments Due: View Received Comments Federal Register version (70 FR 22378)
33-8571, 34-51610
April 26, 2005
265-23
Summary of Proposed Committee Agenda of Advisory Committee on Smaller Public Companies Comments Due: View Received Comments Federal Register version (70 FR 22378)
IC-26838
April 21, 2005
812-13182
The PNC Financial Services Group, Inc., et al.; Notice of Application Federal Register version (70 FR 21829)
IC-26827
April 1, 2005
Credit Suisse First Boston LLC (Order Pursuant to Section 9(c) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(a) of the Act)
