RegAlertSecurities and Exchange Commission
4,841 documents, newest first — showing 2,401–2,600.
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- 2009-05-20SEC Proposed Rule on Custody of Funds or Securities of Clients by Investment Advisers
- 2009-05-15General Motors Corporation Request for Exemptive Relief from Exchange Act Section 13(e) and Rule 13e-4(f)(2)
- 2009-05-14SEC Division of Corporation Finance no-action letter: Silverstar Holdings, Ltd.
- 2009-05-12SEC Division of Trading and Markets no-action letter: Morgan Stanley and Citigroup Inc.
- 2009-05-11SEC no-action letter regarding Amerisure Mutual Insurance Company reorganization
- 2009-05-08SEC Division of Corporation Finance no-action letter: PharmaNet Development Group, Inc.
- 2009-05-07Interactive Data for Mutual Fund Risk/Return Summary; Correction
- 2009-05-06SEC Division of Trading and Markets no-action letter: Grail Advisors ETF Trust
- 2009-05-05SEC Division of Investment Management staff letter: Berthel Growth & Income Trust I
- 2009-04-27SEC Division of Investment Management staff letter: U.S. Government Reserves and Fidelity Cash Reserves
- 2009-04-23Adoption of Updated EDGAR Filer Manual
- 2009-04-23SEC Division of Corporation Finance no-action letter: Satyam Computer Services Ltd.
- 2009-04-23Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies
- 2009-04-22SEC Division of Corporation Finance no-action letter: Rusoro Mining Ltd.
- 2009-04-20SEC Division of Trading and Markets no-action letter: Lloyds Banking Group plc
- 2009-04-20SEC Division of Investment Management staff letter: SEI Daily Income Trust ? Prime Obligation Fund
- 2009-04-20SEC Division of Investment Management staff letter: SEI Liquid Asset Trust ? Prime Obligation Fund
- 2009-04-20Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
- 2009-04-20SEC Division of Trading and Markets no-action letter: FS Investment Corporation
- 2009-04-17SEC Division of Corporation Finance no-action letter: American Skandia Investment Services, Inc.
- 2009-04-16Adoption of Updated EDGAR Filer Manual
- 2009-04-15SEC no-action letter: Exemption from Rule 14e-1(a) for SoFFin tender offer of Hypo Real Estate Holding AG
- 2009-04-15Seward & Kissel LLP Request Regarding Redemption Fees and Form 24F-2 Calculations
- 2009-04-14SEC Division of Corporation Finance no-action letter: Radvision
- 2009-04-14SEC Division of Investment Management staff letter: Iridian Asset Management LLC
- 2009-04-13SEC Division of Investment Management staff letter: College Retirement Equities Fund (CREF)
- 2009-04-13SEC Staff Accounting Bulletin: SAB 111
- 2009-04-07Interactive Data To Improve Financial Reporting: Final Rule Correction
- 2009-04-07SEC Division of Trading and Markets no-action letter: Legg Mason Investor Services, LLC
- 2009-04-02SEC Division of Investment Management staff letter: Bank of Ireland Asset Management (U.S.) Ltd.
- 2009-04-01SEC Division of Corporation Finance no-action letter: East Isles Reinsurance Ltd.
- 2009-03-30SEC Division of Corporation Finance no-action letter: Icahn Associates Corp.
- 2009-03-30SEC Division of Investment Management staff letter: Regions Morgan Keegan Funds
- 2009-03-30SEC Division of Corporation Finance no-action letter: Eastbourne Capital, L.L.C.
- 2009-03-27SEC Division of Corporation Finance no-action letter: Sunshine Financial, Inc. and Sunshine Savings Bank 401(k) Profit Sharing Plan
- 2009-03-26SEC Division of Corporation Finance no-action letter: Mountain Valley Bancshares, Inc.
- 2009-03-25SEC Division of Corporation Finance no-action letter: Minrad International, Inc.
- 2009-03-25SEC Division of Trading and Markets no-action letter: Index IQ ETF Trust
- 2009-03-24TS&W/Claymore Tax-Advantaged Balanced Fund: Omission of Shareholder Proposal
- 2009-03-23SEC Division of Corporation Finance no-action letter: Interlink Electronics, Inc.
- 2009-03-19SEC Division of Corporation Finance no-action letter: UBS AG
- 2009-03-19SEC Division of Investment Management staff letter: UBS AG
- 2009-03-19SEC Division of Trading and Markets no-action letter: Omgeo
- 2009-03-17SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority, Inc.
- 2009-03-13SEC Division of Corporation Finance no-action letter: Beverly Hills Bancorp Inc.
- 2009-03-13Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Name of NYSE Alternext U.S. LLC to NYSE Amex LLC
- 2009-03-13SEC Division of Trading and Markets no-action letter: The Depository Trust & Clearing Corporation
- 2009-03-13Attaching Authenticating Documents to Online Form ID Applications
- 2009-03-12SEC Division of Investment Management staff letter: Kohlberg Capital Corporation
- 2009-03-12SEC Division of Investment Management staff letter: E*Trade Capital Markets LLC
- 2009-03-12SEC Division of Investment Management staff letter: Investment Company Institute
- 2009-03-12Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of ICE U.S. Trust LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments
- 2009-03-12SEC Division of Investment Management staff letter: Automated Trading Desk Specialists, LLC
- 2009-03-11SEC Division of Corporation Finance no-action letter: Automated Trading Desk Specialists, LLC
- 2009-03-11SEC Division of Corporation Finance no-action letter: Merrill Lynch, Pierce, Fenner & Smith Incorporated
- 2009-03-10SEC Division of Corporation Finance no-action letter: MinnErgy, LLC
- 2009-03-03Adjustments to Civil Monetary Penalty Amounts
- 2009-03-02SEC Division of Investment Management staff letter: Master Portfolio Trust - Liquid Reserves Portfolio and Legg Mason Partners Money Market Trust - Western Asset Money Market Fund
- 2009-03-02SEC Division of Investment Management staff letter: Columbia Funds Series Trust - Columbia Cash Reserves
- 2009-03-02SEC Division of Investment Management staff letter: Northern Institutional Funds - Diversified Assets Portfolio, Liquid Assets Portfolio and Prime Obligations Portfolio and Northern Funds - Money Market Fund
- 2009-03-02SEC Division of Investment Management staff letter: SEI Liquid Asset Trust - Prime Obligation Fund
- 2009-03-02SEC Division of Investment Management staff letter: Columbia Funds Series Trust - Columbia Money Market Reserves
- 2009-02-26SEC Division of Investment Management staff letter: AXA Equitable Life Insurance Company
- 2009-02-26SEC Division of Corporation Finance no-action letter: Hungarian Telephone and Cable Corp., Invitel Holdings A/S
- 2009-02-26SEC Division of Corporation Finance no-action letter: Wachovia Securities, LLC
- 2009-02-26SEC Division of Corporation Finance no-action letter: Wachovia Securities, LLC
- 2009-02-26SEC Division of Corporation Finance no-action letter: Commonwealth of Australia
- 2009-02-25SEC Division of Corporation Finance no-action letter: Willbros Group, Inc.
- 2009-02-24SEC Division of Corporation Finance no-action letter: TIAA-CREF U.S. Real Estate Fund I, L.P.
- 2009-02-19Interactive Data for Mutual Fund Risk/Return Summary
- 2009-02-18SEC Division of Trading and Markets no-action letter: The Royal Bank of Scotland Group plc and ABN AMRO Holding N.V.
- 2009-02-18SEC Division of Investment Management staff letter: Wachovia Securities LLC
- 2009-02-17SEC no-action letter: Federal Reserve Bank of New York TALF exemption
- 2009-02-17SEC Division of Corporation Finance no-action letter: Anheuser-Busch Companies, Inc.
- 2009-02-11SEC Division of Corporation Finance no-action letter: Merrill Lynch and Co., Inc. and Bank of America Corporation
- 2009-02-10Interactive Data To Improve Financial Reporting
- 2009-02-09SEC Division of Corporation Finance no-action letter: Metro One Telecommunications, Inc.
- 2009-02-09Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
- 2009-02-03SEC Division of Corporation Finance no-action letter: UST Inc.
- 2009-02-02SEC Division of Corporation Finance no-action letter: Water Works Engineers, LLC
- 2009-01-29SEC Division of Investment Management staff letter: Capital Trust, Inc.
- 2009-01-27SEC Division of Investment Management staff letter: Fortis Group, et al.
- 2009-01-26Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
- 2009-01-26List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
- 2009-01-22Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
- 2009-01-16Indexed Annuities And Certain Other Insurance Contracts
- 2009-01-14SEC Division of Corporation Finance no-action letter: OMNI Brokerage, Inc.
- 2009-01-14SEC Division of Investment Management staff letter: American Capital, Ltd.
- 2009-01-14Modernization of Oil and Gas Reporting
- 2009-01-14SEC Division of Corporation Finance no-action letter: Weatherford International Ltd.
- 2009-01-08SEC Division of Investment Management staff letter: Mount Vernon Securities Lending Trust
- 2009-01-07SEC Division of Trading and Markets no-action letter: WisdomTree Trust Dreyfus Emerging Currency Fund
- 2009-01-06SEC Division of Investment Management staff letter: Auction Rate Securities
- 2009-01-05SEC Division of Corporation Finance no-action letter: Sierra Wireless
- 2009-01-05SEC no-action letter: Qtel exemption from Rule 14d-10(a)(1)
- 2009-01-02Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 for Central Clearing of Credit Default Swaps
- 2008-12-31Records Services, Fee Schedule
- 2008-12-30SEC Division of Corporation Finance no-action letter: Goldman, Sachs & Co.
- 2008-12-23SEC Division of Investment Management staff letter: Columbia Funds, et al.
- 2008-12-23SEC Division of Corporation Finance no-action letter: UBS Financial Services, Inc. and UBS Securities LLC
- 2008-12-23SEC Division of Investment Management staff letter: UBS Securities LLC/UBS Financial Services Inc.
- 2008-12-23SEC Division of Corporation Finance no-action letter: UBS Securities LLC et al.
- 2008-12-23SEC Division of Corporation Finance no-action letter: Citigroup, Inc.
- 2008-12-23SEC Division of Trading and Markets no-action letter: Boston Stock Exchange
- 2008-12-23SEC Division of Investment Management staff letter: Citigroup Global Markets, Inc.
- 2008-12-23SEC Division of Corporation Finance no-action letter: Citigroup Global Markets Inc.
- 2008-12-22SEC Division of Trading and Markets no-action letter: Banco Santander, S.A.
- 2008-12-18SEC Division of Corporation Finance no-action letter: Retalix Ltd.
- 2008-12-18SEC Division of Corporation Finance no-action letter: Galileo Holding Corporation
- 2008-12-18SEC Division of Corporation Finance no-action letter: Otter Tail Corporation
- 2008-12-17SEC Division of Corporation Finance no-action letter: Pediatrix Medical Group, Inc.
- 2008-12-15Amendment to Municipal Securities Disclosure
- 2008-12-15SEC Division of Trading and Markets no-action letter: Direxion Shares ETF Trust
- 2008-12-10SEC Division of Corporation Finance no-action letter: Her Majesty's Government
- 2008-12-08SEC Division of Investment Management staff letter: Master Portfolio Trust - Liquid Reserves Portfolio
- 2008-12-03SEC Division of Corporation Finance no-action letter: ShareGift USA
- 2008-12-02SEC Division of Investment Management staff letter: BNY Mellon Funds Trust
- 2008-12-01SEC Division of Trading and Markets no-action letter: MS&Co. OTC Swap Transactions Referencing a Merger Arbitrage Index
- 2008-11-26Temporary Exemption for Liquidation of Certain Money Market Funds
- 2008-11-25SEC Division of Corporation Finance no-action letter: EnergySouth, Inc.
- 2008-11-24SEC Division of Corporation Finance no-action letter: Telefónica S.A.
- 2008-11-24SEC Division of Corporation Finance no-action letter: Federal Deposit Insurance Corporation
- 2008-11-21Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
- 2008-11-20SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
- 2008-11-20SEC Division of Investment Management staff letter: Franklin Templeton Investments
- 2008-11-18SEC Division of Investment Management staff letter: Reserve New York Municipal Money-Market Trust - New York Municipal Money-Market Fund
- 2008-11-18SEC Division of Investment Management staff letter: SEI Daily Income Trust - Prime Obligation Fund
- 2008-11-14SEC Division of Trading and Markets no-action letter: PowerShares Actively Managed Exchange-Traded Fund Trust
- 2008-11-14SEC Division of Corporation Finance no-action letter: Ampex Corporation
- 2008-11-10SEC no-action letter: AirShares EU Carbon Allowances Fund and XShares Advisors LLC
- 2008-11-10SEC Division of Corporation Finance no-action letter: Consonus Technologies, Inc.
- 2008-11-07SEC Division of Trading and Markets no-action letter: Banco Santander, S.A.
- 2008-11-07SEC Division of Corporation Finance no-action letter: Gemalto S.A.
- 2008-11-07SEC Corporation Finance interpretation: Staff Legal Bulletin No. 14D, Nov. 7, 2008
- 2008-11-07SEC Division of Corporation Finance no-action letter: United Online, Inc.
- 2008-11-05SEC Division of Corporation Finance no-action letter: EGS Acquisition Co LLC
- 2008-11-04SEC Division of Corporation Finance no-action letter: BlackRock Advisers LLC
- 2008-11-04Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E
- 2008-10-31Reserve Municipal Money-Market Trust, et al.; Notice of Application and Temporary Order
- 2008-10-30SEC Division of Corporation Finance no-action letter: BlackRock Advisers LLP
- 2008-10-30SEC Division of Trading and Markets no-action letter: Direxion Shares ETF Trust
- 2008-10-24SEC Division of Investment Management staff letter: Russell Investment Company
- 2008-10-24SEC Division of Corporation Finance no-action letter: Energy East Corporation
- 2008-10-24SEC Division of Investment Management staff letter: Mount Vernon Securities Lending Trust
- 2008-10-23SEC Division of Trading and Markets no-action letter: BATS Exchange, Inc.
- 2008-10-22SEC Division of Investment Management staff letter: RidgeWorth Funds
- 2008-10-22SEC Division of Investment Management staff letter: Morgan Stanley Institutional Liquidity Funds
- 2008-10-22SEC Division of Investment Management staff letter: ING Funds Trust, ING Investors Trust, and ING Series Fund, Inc.
- 2008-10-22SEC Division of Investment Management staff letter: Phoenix Opportunities Trust
- 2008-10-22SEC Division of Investment Management staff letter: MainStay VP Cash Management Portfolio
- 2008-10-22SEC Division of Investment Management staff letter: Penn Series Funds Inc.
- 2008-10-22SEC Division of Investment Management staff letter: Legg Mason Partners Institutional Trust
- 2008-10-22SEC Division of Investment Management staff letter: USAA Mutual Funds Trust
- 2008-10-22SEC Division of Investment Management staff letter: Morgan Stanley Money Market Funds
- 2008-10-22SEC Division of Investment Management staff letter: Tamarack Funds Trust
- 2008-10-22SEC Division of Investment Management staff letter: J.P. Morgan Securities Inc.
- 2008-10-22SEC Division of Investment Management staff letter: Columbia Funds Series Trust
- 2008-10-22SEC Division of Investment Management staff letter: Principal Funds, Inc. and Principal Variable Contracts Funds, Inc.
- 2008-10-22SEC Division of Investment Management staff letter: Northwestern Mutual Series Fund, Inc.
- 2008-10-22SEC Division of Investment Management staff letter: Legg Mason Partners Institutional Trust
- 2008-10-22SEC Division of Investment Management staff letter: Penn Series Funds Inc.
- 2008-10-22SEC Division of Investment Management staff letter: Mount Vernon Securities Lending Trust
- 2008-10-22SEC Division of Investment Management staff letter: Touchstone Variable Series Trust
- 2008-10-22SEC Division of Investment Management staff letter: iShares Trust, et al.
- 2008-10-21SEC no-action letter: Lloyds TSB Group plc exemption from Regulation M Rule 102
- 2008-10-20SEC Division of Investment Management staff letter: The Hartford Mutual Funds, Inc. and Hartford Series Fund, Inc.
- 2008-10-20SEC Division of Investment Management staff letter: Sun Capital Advisers Trust
- 2008-10-20SEC Division of Investment Management staff letter: Dreyfus Money Funds
- 2008-10-20SEC Division of Investment Management staff letter: Dreyfus Cash Management Plus
- 2008-10-20SEC Division of Investment Management staff letter: Advantus Series Fund
- 2008-10-20SEC Division of Investment Management staff letter: Dreyfus Money Funds
- 2008-10-20SEC Division of Investment Management staff letter: Russell Investment Company
- 2008-10-17Naked Short Selling Antifraud Rule
- 2008-10-17Indexed Annuities and Certain Other Insurance Contracts
- 2008-10-17SEC Division of Corporation Finance no-action letter: WorleyParsons Limited
- 2008-10-17Amendments to Regulation SHO
- 2008-10-17Amendments to Regulation SHO
- 2008-10-17Disclosure of Short Sales and Short Positions by Institutional Investment Managers
- 2008-10-17SEC Division of Trading and Markets no-action letter: Royal Bank of Scotland Group plc and ABN AMRO Holding N.V.
- 2008-10-14SEC Office of the Chief Accountant letter on impairment assessment for perpetual preferred securities
- 2008-10-13SEC Division of Corporation Finance no-action letter: Facebook, Inc.
- 2008-10-10SEC Division of Investment Management staff letter: Investment Company Institute
- 2008-10-09SEC Division of Corporation Finance no-action letter: International Business Machines Corporation tender offer for ILOG S.A.
- 2008-10-09Commission Guidance and Revisions to the Cross-Border Tender Offer, Exchange Offer, Rights Offerings, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions
- 2008-10-08SEC Division of Investment Management staff letter: Investment Company Institute
- 2008-10-06Foreign Issuer Reporting Enhancements
- 2008-10-02Technical Amendment to Item 407 of Regulation S-K
- 2008-09-29SEC Division of Investment Management staff letter: Highbridge Statistical Market Neutral Fund
- 2008-09-28SEC Trading and Markets FAQ: Sale of Loaned But Recalled Securities
- 2008-09-26SEC Division of Corporation Finance no-action letter: ACE*COMM Corporation
- 2008-09-25SEC Division of Investment Management staff letter: Investment Company Institute
- 2008-09-25SEC Division of Investment Management staff letter: Dreyfus Cash Management, et al.
- 2008-09-25SEC Division of Corporation Finance no-action letter: Mentor Corporation
- 2008-09-24Adoption of Updated EDGAR Filer Manual
- 2008-09-24SEC Division of Investment Management staff letter: The TCW Group, Inc.
- 2008-09-22SEC Division of Corporation Finance no-action letter: Auction Rate Securities — Global Exemptive Relief
- 2008-09-22SEC Order Temporarily Suspending Redemption of The Reserve Fund Shares
- 2008-09-22SEC Division of Corporation Finance no-action letter: Telefónica S.A.
- 2008-09-21Amendment to Emergency Order Regarding Short Selling Disclosure
- 2008-09-19SEC Division of Trading and Markets no-action letter: Barclays Capital Inc.