Securities and Exchange Commission

4,841 documents, newest first — showing 2,201–2,400.

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• 2010-05-26SEC Division of Trading and Markets no-action letter: EDGA Exchange
• 2010-05-26SEC Division of Trading and Markets no-action letter: EDGX Exchange
• 2010-05-17SEC Division of Corporation Finance no-action letter: Towers Watson & Co.
• 2010-05-17SEC Division of Trading and Markets no-action letter: Brumberg, Mackey & Wall, P.L.C.
• 2010-05-17SEC Division of Trading and Markets no-action letter: Republic of Argentina
• 2010-05-14SEC Division of Trading and Markets no-action letter: The Investment Archive, LLC
• 2010-05-12SEC Division of Corporation Finance no-action letter: Intraop Medical Corporation
• 2010-05-10SEC Division of Corporation Finance no-action letter: CBOE Holdings, Inc.
• 2010-05-05SEC Division of Investment Management staff letter: The Swiss Helvetia Fund, Inc.
• 2010-05-03Asset-Backed Securities Proposed Rule
• 2010-04-27SEC Division of Investment Management staff letter: Claymore Advisors, LLC
• 2010-04-26Semiannual Regulatory Flexibility Agenda
• 2010-04-23Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 for ICE Clear Europe
• 2010-04-23SEC Exemptive Letter: America Movil Offer for Telmex Internacional
• 2010-04-23SEC Division of Corporation Finance no-action letter: Council of Europe Development Bank
• 2010-04-22SEC Division of Investment Management staff letter: Tortoise Energy Infrastructure Corporation and Tortoise Energy Capital Corporation
• 2010-04-22SEC Division of Trading and Markets no-action letter: Bank of Ireland
• 2010-04-20Proposed Amendments to Rule 610 of Regulation NMS
• 2010-04-08Adoption of Updated EDGAR Filer Manual
• 2010-04-05Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 for Chicago Mercantile Exchange Inc. Central Clearing of Credit Default Swaps
• 2010-04-02SEC Final Rule on Money Market Fund Reform
• 2010-04-01SEC Division of Trading and Markets no-action letter: Highbury Financial Inc.
• 2010-03-31SEC Division of Trading and Markets no-action letter: Securities Information Center
• 2010-03-29SEC Division of Corporation Finance no-action letter: Sielox, Inc.
• 2010-03-25SEC Division of Corporation Finance no-action letter: AutoImmune, Inc.
• 2010-03-25SEC Division of Corporation Finance no-action letter: BankGreenville Financial Corporation
• 2010-03-24SEC Division of Corporation Finance no-action letter: TXCO Resources Inc.
• 2010-03-19SEC Division of Corporation Finance no-action letter: GrandSouth Bancorporation
• 2010-03-15SEC Staff Legal Bulletin: SLB 18
• 2010-03-11Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 for ICE Trust U.S. LLC Central Clearing of Credit Default Swaps
• 2010-03-11SEC Division of Corporation Finance no-action letter: Freedom Financial Group, Inc.
• 2010-03-10Amendments to Regulation SHO
• 2010-03-04Money Market Fund Reform
• 2010-03-03SEC Division of Corporation Finance no-action letter: PureDepth, Inc.
• 2010-03-01Proxy Disclosure Enhancements; Correction
• 2010-03-01SEC Division of Corporation Finance no-action letter: i2 Technologies, Inc.
• 2010-02-26Amendments to Rules Requiring Internet Availability of Proxy Materials
• 2010-02-25SEC Division of Trading and Markets no-action letter: BATS Exchange, Inc.
• 2010-02-24SEC no-action letter: CNSX Markets Inc. designation as offshore securities market
• 2010-02-23SEC Division of Investment Management staff letter: Fifth Street Finance Corp.
• 2010-02-23SEC Division of Corporation Finance no-action letter: Marvel Entertainment, LLC
• 2010-02-22SEC Division of Corporation Finance no-action letter: T REIT Liquidating Trust
• 2010-02-10Purchases of Certain Equity Securities by the Issuer and Others; Correction
• 2010-02-08SEC Division of Corporation Finance no-action letter: California Micro Devices Corporation
• 2010-02-08Commission Guidance Regarding Disclosure Related to Climate Change
• 2010-02-05SEC no-action letter: VimpelCom Ltd. dual offer structure and related exemptions
• 2010-02-04SEC Division of Corporation Finance no-action letter: State Street Corporation
• 2010-02-03SEC no-action letter: Perot Systems Corporation
• 2010-02-03SEC Division of Corporation Finance no-action letter: Sun Microsystems, Inc.
• 2010-02-03SEC Division of Trading and Markets no-action letter: NYSE, LLC and NYSE Amex LLC
• 2010-01-29Purchases of Certain Equity Securities by the Issuer and Others
• 2010-01-27SEC Division of Trading and Markets no-action letter: Grail Advisors ETF Trust Actively Managed Fixed Income ETF
• 2010-01-26Risk Management Controls for Brokers or Dealers With Market Access
• 2010-01-26SEC Division of Corporation Finance no-action letter: Assurant, Inc.
• 2010-01-22SEC Division of Corporation Finance no-action letter: Craftmade International, Inc.
• 2010-01-22SEC Division of Corporation Finance no-action letter: Semitool, Inc.
• 2010-01-19Policy Statement Concerning Cooperation by Individuals in Its Investigations and Related Enforcement Actions
• 2010-01-19SEC Proxy Disclosure Enhancements Transition for Registered Investment Companies
• 2010-01-19Shareholder Approval of Executive Compensation of TARP Recipients
• 2010-01-12SEC Division of Corporation Finance no-action letter: Section 3(a)(9) Upstream Guarantees
• 2010-01-11Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940
• 2010-01-11SEC Division of Corporation Finance no-action letter: GulfMark Offshore, Inc.
• 2010-01-11Commonwealth of Australia: Request for Interpretive Letter on Securities Filing Procedures
• 2010-01-11SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
• 2010-01-06Temporary Rule Regarding Principal Trades With Certain Advisory Clients
• 2009-12-31SEC no-action letter: BNY Mellon Capital Markets exemption from Rule 10b-10
• 2009-12-31SEC Division of Trading and Markets no-action letter: Putnam Investor Services, Inc.
• 2009-12-30Temporary Rule Regarding Principal Trades With Certain Advisory Clients
• 2009-12-28Revisions To Rule 163
• 2009-12-23SEC Division of Trading and Markets no-action letter: WisdomTree Trust Index-Based ETF of ETFs
• 2009-12-23SEC Division of Trading and Markets no-action letter: Cash Offer of Franco-Nevada Corporation for Common Shares of International Royalty Corporation
• 2009-12-23Proxy Disclosure Enhancements
• 2009-12-21Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
• 2009-12-18Facilitating Shareholder Director Nominations
• 2009-12-16SEC Division of Corporation Finance no-action letter: TD Ameritrade Holding Corporation
• 2009-12-16SEC Division of Corporation Finance no-action letter: Investools Inc. et al.
• 2009-12-14SEC No-Action and Exemptive Letter: Singfuel Investment Pte. Limited Cash Tender Offer for Chemoil Energy Limited
• 2009-12-14SEC Division of Corporation Finance no-action letter: Telemig Celular Participacoes S.A.
• 2009-12-10Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request From ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments
• 2009-12-10SEC Division of Corporation Finance no-action letter: MF Global Ltd.
• 2009-12-09SEC No-Action and Exemptive Letter: Kraft Foods, Inc. Offer for Cadbury plc Shares
• 2009-12-08SEC Division of Corporation Finance no-action letter: Charlotte Russe Holding, Inc.
• 2009-12-04Amendments to Rules for Nationally Recognized Statistical Rating Organizations
• 2009-12-04Proposed Rules for Nationally Recognized Statistical Rating Organizations
• 2009-11-23Regulation of Non-Public Trading Interest
• 2009-11-19SEC Division of Trading and Markets no-action letter: ING
• 2009-11-16SEC Division of Corporation Finance no-action letter: Bristol-Myers Squibb Company
• 2009-11-13SEC no-action letter: VWAP Pricing in Thermo Fisher Scientific Inc. Issuer Cash Tender Offer
• 2009-11-12SEC Division of Trading and Markets no-action letter: iShares Diversified Alternatives Trust Actively-Managed Commodity-Based Investment Vehicle
• 2009-11-12SEC Division of Corporation Finance no-action letter: DPH Holdings Corp.
• 2009-11-12Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date
• 2009-11-10SEC Division of Trading and Markets no-action letter: PIMCO ETF Trust Actively Managed Fixed Income ETF
• 2009-11-09SEC Division of Corporation Finance no-action letter: Woodbridge Holdings Corporation
• 2009-11-09SEC Division of Corporation Finance no-action letter: Caraustar Industries, Inc.
• 2009-11-06SEC Division of Corporation Finance no-action letter: International Wire Group, Inc.
• 2009-11-04SEC Division of Corporation Finance no-action letter: Medialink Worldwide Incorporated
• 2009-11-04SEC Division of Corporation Finance no-action letter: JPMorgan Chase & Co.
• 2009-11-04Staff Accounting Bulletin No. 113
• 2009-11-03SEC Division of Corporation Finance no-action letter: Residential Capital, LLC
• 2009-11-02SEC no-action letter: Lloyds Banking Group plc exemption from Regulation M Rule 102
• 2009-11-02SEC Division of Corporation Finance no-action letter: Wyeth
• 2009-10-30Adoption of Updated EDGAR Filer Manual
• 2009-10-30SEC Staff Accounting Bulletin: SAB 113
• 2009-10-29SEC Division of Trading and Markets no-action letter: Chicago Board Options Exchange, Inc.
• 2009-10-28SEC Division of Corporation Finance no-action letter: Map Financial Group, Inc.
• 2009-10-27Credit Ratings Disclosure: Correction of File Number
• 2009-10-27SEC Staff Legal Bulletin: SLB 14E
• 2009-10-27Correction to Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933
• 2009-10-23SEC Division of Corporation Finance no-action letter: Banc of America Investment Services, Inc.
• 2009-10-23Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
• 2009-10-21Amendments to Rules Requiring Internet Availability of Proxy Materials
• 2009-10-19Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
• 2009-10-15Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933
• 2009-10-09References to Ratings of Nationally Recognized Statistical Rating Organizations
• 2009-10-09References to Ratings of Nationally Recognized Statistical Rating Organizations
• 2009-10-08SEC Division of Investment Management staff letter: T. Rowe Price Associates, Inc.
• 2009-10-07Exemptive Letter: Telefonica S.A.'s mandatory acquisition of Telefonica de Argentina S.A.
• 2009-10-07SEC Division of Corporation Finance no-action letter: National Credit Union Administration
• 2009-10-01SEC Division of Investment Management staff letter: Sisters of Mercy of the Americas, Inc.
• 2009-10-01Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps
• 2009-09-28SEC Division of Trading and Markets no-action letter: Grail Advisors ETF Trust – Actively Managed ETF
• 2009-09-23Elimination of Flash Order Exception From Rule 602 of Regulation NMS
• 2009-09-23Disclosure of Certain Money Market Fund Portfolio Holdings
• 2009-09-22SEC Division of Corporation Finance no-action letter: Regions Financial Corporation
• 2009-09-17Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
• 2009-09-14SEC Division of Trading and Markets no-action letter: AdvisorShares Trust Actively-Managed ETF of ETFs and Exchange Traded Products
• 2009-09-11SEC Division of Corporation Finance no-action letter: New South Wales Treasury Corporation, The Crown in Right of New South Wales
• 2009-09-09SEC Division of Corporation Finance no-action letter: Tim Hortons Inc.
• 2009-09-02Emeriti Consortium for Retirement Health Solutions No-Action Letter
• 2009-08-28SEC Division of Trading and Markets no-action letter: Chicago Board Options Exchange
• 2009-08-28SEC Division of Trading and Markets no-action letter: NASDAQ OMX BX, Inc.
• 2009-08-25Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification
• 2009-08-21SEC Division of Corporation Finance no-action letter: Citizens Republic Bancorp, Inc.
• 2009-08-21SEC Division of Trading and Markets no-action letter: Federal Reserve Board New York
• 2009-08-20SEC Division of Trading and Markets no-action letter: PIMCO ETF Trust
• 2009-08-20SEC Division of Corporation Finance no-action letter: Comtech Telecommunications Corp.
• 2009-08-20Amendments to Regulation SHO
• 2009-08-13SEC Division of Investment Management staff letter: Omgeo LLC
• 2009-08-12SEC Division of Corporation Finance no-action letter: PlanetOut Inc.
• 2009-08-11SEC Division of Corporation Finance no-action letter: General Electric Company
• 2009-08-11Regulation S-AM: Limitations on Affiliate Marketing
• 2009-08-11SEC Division of Corporation Finance no-action letter: DATATRAK International, Inc.
• 2009-08-11SEC Division of Investment Management staff letter: General Electric Company
• 2009-08-07Political Contributions by Certain Investment Advisers
• 2009-08-05SEC Division of Corporation Finance no-action letter: Hearst Television Inc.
• 2009-08-05SEC Division of Corporation Finance no-action letter: SumTotal Systems, Inc.
• 2009-08-05SEC Division of Corporation Finance no-action letter: Cox Radio, Inc.
• 2009-08-04Adoption of Updated EDGAR Filer Manual
• 2009-08-04SEC Division of Corporation Finance no-action letter: Gateway Pacific Bancorp
• 2009-08-03SEC Division of Investment Management staff letter: Dechert LLP
• 2009-08-03SEC Division of Investment Management staff letter: Victory Institutional Money Market Fund, Victory Financial Reserves Fund, and Victory Prime Obligations Fund
• 2009-08-03SEC Division of Investment Management staff letter: The Hartford Mutual Funds, Inc. and Hartford Series Fund, Inc.
• 2009-08-03SEC Division of Investment Management staff letter: Mount Vernon Securities Lending Trust
• 2009-08-03SEC Division of Investment Management staff letter: Allianz Funds
• 2009-07-31Amendments to Regulation SHO
• 2009-07-31SEC Division of Investment Management staff letter: Maxim Series Fund, Inc., et al.
• 2009-07-30Order Approving the National Market System Plan Relating to Options Order Protection and Locked/Crossed Markets
• 2009-07-30SEC Division of Corporation Finance no-action letter: Neuro-Hitech, Inc.
• 2009-07-29SEC Division of Trading and Markets no-action letter: LIFFE Administration and Management
• 2009-07-29SEC Division of Corporation Finance no-action letter: UBS AG
• 2009-07-27SEC Division of Investment Management staff letter: Straight-A Funding, LLC
• 2009-07-24Proposed Amendment to Municipal Securities Disclosure
• 2009-07-23Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 for ICE Clear Europe Limited Regarding Central Clearing of Credit Default Swaps
• 2009-07-23Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 for Eurex Clearing AG Central Clearing of Credit Default Swaps
• 2009-07-20SEC Division of Corporation Finance no-action letter: Morgan Stanley & Co. Incorporated
• 2009-07-20SEC Division of Corporation Finance no-action letter: TD Ameritrade Holding Corporation
• 2009-07-17Proxy Disclosure and Solicitation Enhancements
• 2009-07-09SEC Division of Corporation Finance no-action letter: Motors Liquidation Company, formerly known as General Motors Corporation
• 2009-07-08Shareholder Approval of Executive Compensation of TARP Recipients
• 2009-06-29SEC Division of Investment Management staff letter: Madison Asset Management, LLC, et al.
• 2009-06-25Technical Amendment; Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
• 2009-06-19SEC Division of Investment Management staff letter: Franklin Templeton Investments
• 2009-06-16SEC Division of Corporation Finance no-action letter: Deutsche Bank AG
• 2009-06-11SEC Division of Corporation Finance no-action letter: Royal Bank of Canada
• 2009-06-11SEC Division of Corporation Finance no-action letter: Bank of America Corporation
• 2009-06-10SEC Division of Trading and Markets no-action letter: Standard & Poor's Securities Evaluations, Inc.
• 2009-06-10SEC Division of Trading and Markets no-action letter: Bloomberg L.P.
• 2009-06-10SEC Division of Investment Management staff letter: Banc of America Securities LLC
• 2009-06-10SEC Division of Trading and Markets no-action letter: Interactive Data Corporation
• 2009-06-10SEC Division of Trading and Markets no-action letter: DPC Data Inc.
• 2009-06-10Staff Accounting Bulletin No. 112
• 2009-06-09SEC Division of Trading and Markets no-action letter: Sanford C. Bernstein & Co., LLC
• 2009-06-09SEC Division of Corporation Finance no-action letter: Bank of America Corporation
• 2009-06-09SEC Division of Investment Management staff letter: Deutsche Bank Securities Inc.
• 2009-06-09SEC no-action letter: Deutsche Bank Securities, Inc. waiver of Regulation A and Regulation D disqualifications
• 2009-06-09SEC Division of Corporation Finance no-action letter: RBC Capital Markets Corporation
• 2009-06-09SEC Division of Corporation Finance no-action letter: Prudential Financial, Inc.
• 2009-06-09SEC Division of Corporation Finance no-action letter: Banc of America Securities LLC and Banc of America Investment Services, Inc.
• 2009-06-08SEC Division of Corporation Finance no-action letter: Wells Fargo & Company
• 2009-06-08SEC no-action letter: Evergreen Investment Management Company, LLC waiver request
• 2009-06-04SEC Division of Corporation Finance no-action letter: KCPS PE Investment Management
• 2009-06-04SEC Staff Accounting Bulletin 112: Amendments to Staff Accounting Bulletin Series
• 2009-06-04Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
• 2009-06-04SEC Division of Investment Management staff letter: American Capital, Ltd
• 2009-06-01SEC Division of Trading and Markets no-action letter: PIMCO ETF Trust
• 2009-05-29SEC Division of Corporation Finance no-action letter: Morgan Stanley Smith Barney LLC
• 2009-05-29SEC Division of Corporation Finance no-action letter: Morgan Stanley Smith Barney LLC
• 2009-05-28SEC Division of Investment Management staff letter: Citigroup Global Markets, Inc
• 2009-05-26SEC Division of Corporation Finance no-action letter: O'Reilly Automotive, Inc
• 2009-05-22SEC Division of Investment Management staff letter: Vanguard Group, Inc.