Securities and Exchange Commission

4,841 documents, newest first — showing 2,001–2,200.

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2011-06-17SEC Division of Corporation Finance no-action letter: Zynga Inc.
2011-06-16SEC Division of Trading and Markets no-action letter: AdvisorShares Madrona & Meidell ETFs
2011-06-15Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
2011-06-14SEC Division of Corporation Finance no-action letter: TMX Group
2011-06-14Beneficial Ownership Reporting Requirements and Security-Based Swaps
2011-06-10Credit Risk Retention: Extension of Comment Period
2011-06-07SEC Division of Trading and Markets no-action letter: Bank of Ireland
2011-06-07Correction to RIN and Authority Citation for Further Definition of Swap and Security-Based Swap Rules
2011-06-02SEC Division of Investment Management staff letter: Red Rocks Capital, LLC
2011-06-01Disqualification of Felons and Other Bad Actors From Rule 506 Offerings
2011-06-01SEC Division of Investment Management staff letter: BAC Home Loans Servicing, LP (formerly Countrywide Home Loans Servicing LP)
2011-05-24SEC Division of Trading and Markets no-action letter: Claymore Exchange-Traded Fund Trust
2011-05-23Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
2011-05-19Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
2011-05-17SEC Division of Corporation Finance no-action letter: Clarion Partners Property Trust Inc.
2011-05-13Investment Adviser Performance Compensation
2011-05-09SEC Division of Investment Management staff letter: UBS Financial Services Inc.
2011-05-09SEC no-action letter: UBS Financial Services Inc. waiver of Regulation A and Regulation D disqualifications
2011-05-06Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
2011-05-06SEC Division of Corporation Finance no-action letter: UBS AG
2011-05-06SEC Division of Trading and Markets no-action letter: Roadshow Broadcast LLC
2011-04-29SEC Division of Corporation Finance no-action letter: Bank of America Corporation and Affiliates (BAC)
2011-04-27SEC Division of Investment Management staff letter: New Mountain Finance Corporation
2011-04-21SEC Division of Investment Management staff letter: College Retirement Equities Fund Shareholder Proposal of Aaron Levitt
2011-04-21SEC Division of Corporation Finance no-action letter: Interactive Intelligence, Inc.
2011-04-14Incentive-Based Compensation Arrangements
2011-04-13Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations
2011-04-08SEC no-action letter: Bank of Montreal exemption from Regulation M Rules 101 and 102
2011-04-08SEC Division of Corporation Finance no-action letter: Segregated Account of Ambac Assurance Corporation
2011-04-08Letter from SEC Director of Corporation Finance and the SEC Chief Accountant to Cynthia M. Fornelli concerning Release No. 33-9002
2011-04-07SEC Division of Corporation Finance no-action letter: Deutsche Bank Microcredit Development Fund, Inc.
2011-04-07SEC Division of Corporation Finance no-action letter: Wells Fargo & Company
2011-04-06Listing Standards for Compensation Committees
2011-03-31Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the $2.50 Strike Price Program
2011-03-30SEC Division of Investment Management staff letter: Nationwide Mutual Funds, et al.
2011-03-30SEC Division of Corporation Finance no-action letter: Behringer Harvard Mid-Term Value Enhancement Liquidating Trust
2011-03-28SEC Division of Corporation Finance no-action letter: Constar International Inc.
2011-03-25Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders
2011-03-24SEC Division of Investment Management staff letter: Chicago Mercantile Exchange
2011-03-23SEC Division of Corporation Finance no-action letter: REMEC Liquidating Trust
2011-03-22SEC Division of Corporation Finance no-action letter: CPG International Inc.
2011-03-22CFR Correction to 17 CFR Part 230 Section 230.501
2011-03-22Beneficial Ownership Reporting Requirements and Security-Based Swaps
2011-03-18SEC Division of Corporation Finance no-action letter: Wimm-Bill-Dann Foods OJSC
2011-03-18SEC Division of Corporation Finance no-action letter: Live Current Media Inc.
2011-03-16SEC Division of Corporation Finance no-action letter: Decorator Industries, Inc.
2011-03-16Clearing Agency Standards for Operation and Governance
2011-03-16SEC Division of Corporation Finance no-action letter: enherent Corp.
2011-03-15SEC Division of Investment Management staff letter: LCH.Clearnet Limited
2011-03-11SEC Division of Trading and Markets no-action letter: Certified Financial Planner Board of Standards, Inc.
2011-03-11SEC Division of Corporation Finance no-action letter: Wentworth Energy, Inc.
2011-03-09References to Credit Ratings in Certain Investment Company Act Rules and Forms
2011-03-08Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
2011-03-02Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
2011-03-02SEC Division of Corporation Finance no-action letter: CoSine Communications, Inc.
2011-03-01SEC Division of Investment Management staff letter: ICE Trust U.S. LLC
2011-02-28Registration and Regulation of Security-Based Swap Execution Facilities
2011-02-24SEC Division of Corporation Finance no-action letter: Inland American Real Estate Trust, Inc.
2011-02-16Security Ratings
2011-02-15SEC Division of Corporation Finance no-action letter: Merrill Lynch and Co., Inc. (HO-10038)
2011-02-15SEC Division of Corporation Finance no-action letter: Merrill Lynch and Co., Inc. (P-01118)
2011-02-14SEC Division of Investment Management staff letter: Calamos Convertible Opportunities and Income Fund, Calamos Convertible and High Income Fund, and Calamos Global Total Return Fund
2011-02-09SEC Division of Corporation Finance no-action letter: Patni Computer Systems Limited
2011-02-08SEC Division of Trading and Markets no-action letter: AdvisorShares Sim Income & Growth ETF
2011-02-07SEC no-action letter: Sumitomo Mitsui Financial Group, Inc. exemption from Regulation M Rule 102
2011-02-07SEC Division of Trading and Markets no-action letter: NYSE LLC and NYSE Amex LLC
2011-02-04SEC Division of Investment Management staff letter: H & Q Life Sciences Investors
2011-02-03SEC Division of Corporation Finance no-action letter: The Mosaic Company
2011-02-03Mine Safety Disclosure: Extension of Comment Period
2011-02-02Shareholder Approval of Executive Compensation and Golden Parachute Compensation
2011-01-31Net Worth Standard for Accredited Investors
2011-01-26SEC no-action letter: Bank of America Corporation waiver of ineligible issuer status under Rule 405
2011-01-26SEC Division of Investment Management staff letter: Adams Express Company
2011-01-25Issuer Review of Assets in Offerings of Asset-Backed Securities
2011-01-24Rules of Practice
2011-01-21Trade Acknowledgment and Verification of Security-Based Swap Transactions
2011-01-19SEC Division of Trading and Markets no-action letter: AdvisorShares Active Bear ETF
2011-01-18Delegation of Authority to the Chief Accountant
2011-01-13Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction
2011-01-13SEC Division of Corporation Finance no-action letter: Mexican Restaurants, Inc.
2011-01-12Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934
2011-01-11SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2011-01-11SEC Division of Corporation Finance no-action letter: Charles Schwab Corporation
2011-01-11Adoption of Updated EDGAR Filer Manual
2011-01-11SEC Division of Corporation Finance no-action letter: Charles Schwab & Co., Inc.
2011-01-10SEC Division of Investment Management staff letter: Lazard Global Total Return and Income Fund, Inc. and Lazard World Dividend & Income Fund, Inc.
2011-01-06SEC Division of Corporation Finance no-action letter: American Securitization Forum
2011-01-04Amendments To Form ADV; Extension of Compliance Date
2011-01-03SEC Division of Corporation Finance no-action letter: National Consumer Cooperative Bank
2010-12-30Principal Trades with Certain Advisory Clients
2010-12-29SEC Division of Investment Management staff letter: Nuveen Asset Management, Inc., et al.
2010-12-23Conflict Minerals Proposed Rule
2010-12-23Disclosure of Payments by Resource Extraction Issuers
2010-12-23SEC Division of Investment Management staff letter: American Institute of Certified Public Accountants
2010-12-22Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
2010-12-22Mine Safety Disclosure Proposed Rule
2010-12-21End-User Exception to Mandatory Clearing of Security-Based Swaps
2010-12-21Further Definition of Swap Dealer, Security-Based Swap Dealer, Major Swap Participant, Major Security-Based Swap Participant and Eligible Contract Participant
2010-12-20Security-Based Swap Data Repository Registration, Duties, and Core Principles Correction
2010-12-20Semiannual Regulatory Agenda
2010-12-16SEC Division of Trading and Markets no-action letter: AdvisorShares Trust Actively Managed ETF
2010-12-10Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
2010-12-10Security-Based Swap Data Repository Registration, Duties, and Core Principles
2010-12-08SEC Division of Corporation Finance no-action letter: Goodman Global Group, Inc.
2010-12-07SEC Division of Corporation Finance no-action letter: Bank of America Corporation
2010-12-06Temporary Rule Regarding Principal Trades With Certain Advisory Clients
2010-12-03Order Extending Temporary Conditional Exemptions Under The Securities Exchange Act of 1934 for Ice Clear Europe, Limited
2010-12-03Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 for Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps
2010-11-30SEC Division of Trading and Markets no-action letter: Nemzoff & Company, LLC
2010-11-29SEC Division of Investment Management staff letter: CME Group, Inc.
2010-11-29Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 for Eurex Clearing AG
2010-11-26Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
2010-11-22SEC Division of Corporation Finance no-action letter: HCA, Inc.
2010-11-19SEC Division of Trading and Markets no-action letter: Omgeo LLC
2010-11-18SEC Staff Letter on Broker-Dealer Annual Audit Requirements Under Rule 17a-5
2010-11-15Risk Management Controls for Brokers or Dealers With Market Access
2010-11-12SEC Division of Corporation Finance no-action letter: Booz Allen Hamilton Holding Corp.
2010-11-12Boulder Total Return Fund, Inc. request for interpretive guidance regarding Section 18(i) and the Maryland Control Share Acquisition Act
2010-11-11SEC Division of Corporation Finance no-action letter: Segregated Account of Ambac Assurance Corporation
2010-11-09Regulation SHO: Extension of Compliance Date for Rule 201 and Rule 200(g)
2010-11-08Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
2010-11-03SEC Division of Corporation Finance no-action letter: UnionBanCal Corporation
2010-11-03SEC Division of Corporation Finance no-action letter: Tix Corporation
2010-11-03SEC Division of Investment Management staff letter: Nuveen Municipal High Income Opportunity Fund, Nuveen Municipal High Income Opportunity Fund 2, Nuveen Floating Rate Income Opportunity Fund, Nuveen Senior Income Fund, Nuveen Floating Rate Income Fund, and Nuveen Municipal Value Fund, Inc.
2010-11-02SEC Division of Investment Management staff letter: Independent Directors Council and Mutual Fund Directors Forum
2010-10-28Shareholder Approval of Executive Compensation and Golden Parachute Compensation
2010-10-28Reporting of Proxy Votes on Executive Compensation and Other Matters
2010-10-28SEC Division of Trading and Markets no-action letter: Banco Bilbao Vizcaya Argentaria, S.A.
2010-10-26Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
2010-10-25Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act: Correction
2010-10-22SEC Division of Investment Management staff letter: Citigroup Inc.
2010-10-20Withdrawal of Rule 151A on Indexed Annuities
2010-10-20SEC Division of Trading and Markets no-action letter: AdvisorShares Cambria Global Tactical ETF
2010-10-19Issuer Review of Assets in Offerings of Asset-Backed Securities
2010-10-19SEC Division of Corporation Finance no-action letter: Citigroup, Inc.
2010-10-18Proposed Rule to Exclude Family Offices from Investment Adviser Definition
2010-10-15SEC Division of Corporation Finance no-action letter: Net Serviços de Comunicação S.A.
2010-10-14SEC Division of Corporation Finance no-action letter: GrafTech International Ltd.
2010-10-13Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
2010-10-13SEC Division of Corporation Finance no-action letter: Dell Inc.
2010-10-12Delegation of Authority to the Director of the Division of Trading and Markets
2010-10-12SEC Division of Trading and Markets no-action letter: BATS Y-Exchange
2010-10-12SEC Division of Investment Management staff letter: Seward & Kissell
2010-10-12SEC Division of Corporation Finance no-action letter: Melco Crown Entertainment Limited
2010-10-04Removal From Regulation FD of the Exemption for Credit Rating Agencies
2010-10-01Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers
2010-10-01SEC Division of Corporation Finance no-action letter: Poplogix LLC
2010-09-29SEC Division of Corporation Finance no-action letter: Sun Healthcare Group, Inc.
2010-09-28Short-Term Borrowings Disclosure
2010-09-24National Credit Union Administration no-action letter regarding Legacy Assets Resolution Program Guaranteed Securities
2010-09-24SEC Division of Corporation Finance no-action letter: Regions Financial Corporation
2010-09-22SEC Division of Trading and Markets no-action letter: PIMCO ETF Trust - Actively Managed ETF
2010-09-21Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading
2010-09-21SEC Division of Investment Management staff letter: BNY ConvergEx Group
2010-09-16Facilitating Shareholder Director Nominations
2010-09-15Adoption of Updated EDGAR Filer Manual
2010-09-10List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2010-09-10SEC Division of Corporation Finance no-action letter: Bursa Malaysia Securities Berhad
2010-09-09SEC Division of Trading and Markets no-action letter: NASDAQ OMX PHLX
2010-09-03Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
2010-09-03SEC Division of Trading and Markets no-action letter: Boston Options Exchange
2010-09-02SEC Division of Trading and Markets no-action letter: WisdomTree Trust Dreyfus Commodity Currency Fund an Actively Managed ETF
2010-08-20Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
2010-08-19SEC Division of Investment Management staff letter: Investment Company Institute Designated NRSROs
2010-08-17SEC Division of Trading and Markets no-action letter: iShares Trust Equity-Index Exchange Traded Funds
2010-08-16SEC Division of Corporation Finance no-action letter: Congoleum Corporation
2010-08-13SEC Division of Investment Management staff letter: Royalty Pharma
2010-08-12SEC Division of Investment Management staff letter: The Ibero-America Fund, Inc.
2010-08-12SEC Division of Corporation Finance no-action letter: The Dress Barn, Inc.
2010-08-10SEC Division of Investment Management staff letter: Investment Company Institute
2010-08-06SEC Division of Trading and Markets no-action letter: WisdomTree Trust Emerging Markets Local Debt Fund an Actively Managed ETF
2010-08-06Amendments to Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of PCAOB Inspection Reports and Regulation P
2010-08-04SEC Division of Corporation Finance no-action letter: G REIT Liquidating Trust
2010-07-30SEC Division of Corporation Finance no-action letter: General Electric Company, et al.
2010-07-30SEC Division of Investment Management staff letter: General Electric Company
2010-07-29SEC Division of Corporation Finance no-action letter: Camp Dresser & McKee Inc.
2010-07-28SEC Division of Investment Management staff letter: WilmerHale, LLP
2010-07-23SEC Division of Investment Management staff letter: ASA Limited
2010-07-23SEC Division of Investment Management staff letter: Energy Income and Growth Fund and First Trust Active Dividend Income Fund
2010-07-23SEC Division of Corporation Finance no-action letter: Radvision Ltd.
2010-07-23SEC Division of Corporation Finance no-action letter: Goldman Sachs Group, Inc.
2010-07-22SEC Division of Investment Management staff letter: Goldman, Sachs & Co.
2010-07-22SEC Division of Corporation Finance no-action letter: Ford Motor Credit Company LLC
2010-07-21SEC Division of Corporation Finance no-action letter: Computershare Trust Company, N.A.
2010-07-20SEC Division of Corporation Finance no-action letter: Goldman Sachs & Co.
2010-07-16SEC Division of Investment Management staff letter: CME Group, Inc.
2010-07-14Political Contributions by Certain Investment Advisers
2010-07-12FDIC Pilot Securitization-Guaranteed Senior Certificates
2010-07-09Elimination of Flash Order Exception From Rule 602 of Regulation NMS
2010-07-09SEC Division of Corporation Finance no-action letter: ICON Cash Flow Partners L.P. Seven Liquidating Trust
2010-07-02SEC Division of Corporation Finance no-action letter: Greenville Federal Financial Corporation
2010-06-28SEC Division of Corporation Finance no-action letter: Nyer Medical Group, Inc.
2010-06-18SEC Division of Trading and Markets no-action letter: AdvisorShares Trust Actively-Managed ETF, WCM/BNY Mellon Focused Growth ADR
2010-06-10Amendment to Municipal Securities Disclosure
2010-06-08Consolidated Audit Trail
2010-06-07SEC Division of Investment Management staff letter: Accor Services
2010-06-04SEC Division of Investment Management staff letter: ABA Retirement Funds Program
2010-05-28SEC Division of Corporation Finance no-action letter: Lloyds Banking Group plc
2010-05-27SEC Division of Trading and Markets no-action letter: WisdomTree Trust Real Return Actively Managed ETF
2010-05-27SEC Division of Trading and Markets no-action letter: Society for Worldwide Interbank Financial Telecommunication