Securities and Exchange Commission

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2008-09-19SEC Division of Trading and Markets no-action letter: Barclays Capital Inc.
2008-09-17Emergency Order Imposing Temporary Rule 204T and Rule 10b-21 on Short Selling
2008-09-10Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers
2008-09-10SEC Division of Trading and Markets no-action letter: Pershing LLC
2008-09-09SEC no-action letter: Petersen Energía Inversora S.A. tender offer for YPF S.A.
2008-09-04SEC Division of Corporation Finance no-action letter: Prudential Financial, Inc.
2008-08-18SEC Division of Corporation Finance no-action letter: Missouri Bankers Association
2008-08-18SEC Division of Trading and Markets no-action letter: Banco Santander, S.A.
2008-08-15SEC Division of Investment Management staff letter: Goldman Sachs Trust
2008-08-14SEC Division of Corporation Finance no-action letter: Horsepower Holdings, Inc.
2008-08-13SEC Division of Corporation Finance no-action letter: ArcelorMittal
2008-08-13SEC Division of Corporation Finance no-action letter: I.C. Isaacs & Company, Inc.
2008-08-13SEC Division of Trading and Markets no-action letter: SS&C Technologies, Inc.
2008-08-12SEC Division of Corporation Finance no-action letter: Prairie Creek Ethanol, LLC
2008-08-07Proposed Amendment to Municipal Securities Disclosure
2008-08-07Commission Guidance on the Use of Company Web Sites
2008-08-06Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors With Respect to Investment Adviser Portfolio Trading Practices
2008-08-06Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
2008-08-06SEC Division of Investment Management staff letter: Prudential Financial, Inc.
2008-08-04SEC Division of Corporation Finance no-action letter: JPMorgan Chase & Co.
2008-08-01SEC Division of Investment Management staff letter: Victory Institutional Money Market Fund, Victory Financial Reserves Fund, and Victory Prime Obligations Funds
2008-07-31SEC Division of Corporation Finance no-action letter: Midwest Real Estate Data LLC
2008-07-28SEC Division of Investment Management staff letter: Mayer Brown LLP
2008-07-18SEC Trading and Markets FAQ: Short Selling - 2008 Emergency Order
2008-07-18SEC Division of Corporation Finance no-action letter: Federal Home Loan Mortgage Corporation
2008-07-17Accelerated Approval of Proposed Rule Change to Phlx Governing Documents in Connection with NASDAQ OMX Acquisition
2008-07-17SEC Division of Corporation Finance no-action letter: Liberty Lane Acquisition Corp.
2008-07-16SEC Division of Investment Management staff letter: Northern Institutional Fund
2008-07-14Amendment to Regulation SHO: Reopening of Comment Period
2008-07-14SEC Division of Investment Management staff letter: JP Morgan Chase-Bear Stearns Asset Management
2008-07-11Security Ratings
2008-07-11SEC Division of Investment Management staff letter: First Trust/Gallatin Specialty Finance and Financial Opportunities Fund
2008-07-11References to Ratings of Nationally Recognized Statistical Rating Organizations
2008-07-11Commission Guidance and Amendment to the Rules Relating to Organization and Program Management Concerning Proposed Rule Changes Filed by Self-Regulatory Organizations
2008-07-11References to Ratings of Nationally Recognized Statistical Rating Organizations
2008-07-10SEC Division of Investment Management staff letter: T. Rowe Price Associates, Inc.
2008-07-09SEC Division of Investment Management staff letter: The Townsend Group, Inc.
2008-07-09Modernization of the Oil and Gas Reporting Requirements
2008-07-08Exemption of Certain Foreign Brokers or Dealers
2008-07-02Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
2008-07-01SEC Division of Corporation Finance no-action letter: Kraft Foods Inc.
2008-07-01SEC Division of Corporation Finance no-action letter: Knight Capital Group, Inc.
2008-07-01Indexed Annuities and Certain Other Insurance Contracts
2008-07-01SEC Division of Trading and Markets no-action letter: MACRO Securities Depositor, LLC
2008-06-27SEC Division of Corporation Finance no-action letter: Orbis Group
2008-06-27SEC Division of Investment Management staff letter: Western Asset Institutional Money Market Fund
2008-06-27SEC Division of Investment Management staff letter: Western Asset Money Market Fund
2008-06-26SEC Division of Corporation Finance no-action letter: Barclays (Netherlands) N.V.
2008-06-25Proposed Rules for Nationally Recognized Statistical Rating Organizations
2008-06-25SEC Division of Investment Management staff letter: HSBC Investor Funds
2008-06-25SEC Division of Corporation Finance no-action letter: Society of Corporate Secretaries & Corporate Governance Professionals
2008-06-24SEC Division of Trading and Markets no-action letter: Republic of Uruguay
2008-06-23SEC Division of Investment Management staff letter: Munder Series Trust
2008-06-23Interactive Data for Mutual Fund Risk/Return Summary
2008-06-20SEC Division of Corporation Finance no-action letter: Banc of America Investment Services, Inc. and Columbia Management Advisors, LLC
2008-06-18SEC Staff Legal Bulletin: SLB 3A
2008-06-17SEC Division of Investment Management staff letter: Cabot Wellington, LLC
2008-06-16SEC Division of Trading and Markets no-action letter: Barclays PLC
2008-06-13SEC Division of Corporation Finance no-action letter: Questar Assessment, Inc.
2008-06-13SEC Division of Corporation Finance no-action letter: Eaton Vance Management
2008-06-12Adoption of Updated EDGAR Filer Manual
2008-06-11Adoption of Updated EDGAR Filer Manual
2008-06-09SEC no-action letter: GAMCO Investors, Inc. waiver of ineligible issuer status under Rule 405
2008-06-05Regional Office Reorganization
2008-05-30SEC Division of Corporation Finance no-action letter: Analog Devices, Inc.
2008-05-27SEC Division of Corporation Finance no-action letter: First Southwest Company
2008-05-27SEC Division of Corporation Finance no-action letter: First Southwest Company
2008-05-20Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
2008-05-16SEC Division of Trading and Markets no-action letter: UBS AG
2008-05-15SEC Division of Corporation Finance no-action letter: Elron Electronics Industries Ltd.
2008-05-14SEC no-action letter: Hartford Investment Financial Services, LLC; HL Investment Advisors, LLC; and Hartford Securities Distribution Company, Inc.
2008-05-09SEC Division of Corporation Finance no-action letter: CollaGenex Pharmaceuticals, Inc.
2008-05-09Revisions to the Cross-Border Tender Offer, Exchange Offer, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions
2008-05-09SEC Division of Trading and Markets no-action letter: WisdomTree Trust
2008-05-05SEC Division of Investment Management staff letter: Allianz Dresdner Daily Asset Fund
2008-05-02SEC Division of Trading and Markets no-action letter: TIAA-CREF
2008-05-01SEC Division of Corporation Finance no-action letter: Bank of America Corporation
2008-04-30SEC Division of Investment Management staff letter: Institutional Liquidity Trust
2008-04-30Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007
2008-04-29SEC Division of Investment Management staff letter: ING Series Fund, Inc., et al.
2008-04-24SEC Division of Corporation Finance no-action letter: Gabelli Funds LLC
2008-04-23SEC Division of Corporation Finance no-action letter: Pritchard Capital Partners, LLC et al.
2008-04-22SEC Division of Trading and Markets no-action letter: UBS AG
2008-04-21SEC no-action letter: Royal Bank of Scotland Group plc and ABN AMRO Holding N.V.
2008-04-18SEC Division of Investment Management staff letter: Master Portfolio Trust
2008-04-17Definitions of Terms and Exemptions Relating to the Broker Exceptions for Banks
2008-04-17Proposed Rule Changes of Self-Regulatory Organizations: Correction of Comment Due Date
2008-04-15Revisions to Form S-11 To Permit Historical Incorporation by Reference
2008-04-10SEC Division of Investment Management staff letter: Janus Aspen Series
2008-04-07SEC Division of Investment Management staff letter: Highbridge Statistical Market Neutral Fund
2008-04-04SEC Division of Investment Management staff letter: Master Portfolio Trust
2008-04-04SEC Division of Trading and Markets no-action letter: PowerShares Actively Managed ETF Trust
2008-04-04SEC Trading and Markets FAQ: Regulation NMS - Rule 610 and Rule 611
2008-04-01Internet Availability of Proxy Materials; Regulation of Takeovers and Security Holder Communications; Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings; Certain Other Related Rule Corrections
2008-03-27SEC no-action letter granting Loews Corporation exemption from Rule 14e-5 for open market stock purchases
2008-03-24SEC Division of Trading and Markets no-action letter: Bear Stearns Active ETF Trust
2008-03-21Naked Short Selling Anti-Fraud Rule
2008-03-20SEC no-action letter regarding Reuters Group PLC and Thomson Reuters PLC
2008-03-19SEC Division of Trading and Markets no-action letter: JPMorgan Chase & Co.
2008-03-18Proposed Rule for Exchange-Traded Funds
2008-03-17SEC Division of Corporation Finance no-action letter: JPMorgan Chase & Co.
2008-03-16SEC Division of Investment Management staff letter: JPMorgan Chase; Bear Stearns Asset Management II
2008-03-14SEC Division of Corporation Finance no-action letter: Municipal Auction Rate Securities
2008-03-14SEC Division of Corporation Finance no-action letter: ViewSonic Corporation
2008-03-13Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
2008-03-12Foreign Issuer Reporting Enhancements
2008-03-12SEC Division of Trading and Markets no-action letter: Omgeo LLC
2008-03-03SEC Division of Corporation Finance no-action letter: Clal Industries and Investments Ltd.
2008-02-29SEC Division of Investment Management staff letter: SEI Daily Income Trust – Prime Obligation Fund
2008-02-29SEC Division of Corporation Finance no-action letter: Reuters Group PLC and Thomson Reuters PLC
2008-02-29SEC Division of Trading and Markets no-action letter: Reuters Group PLC and Thomson Reuters PLC
2008-02-28SEC Division of Investment Management staff letter: Northern Institutional Funds
2008-02-26SEC Division of Corporation Finance no-action letter: SunCom Wireless Holdings, Inc.
2008-02-25Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers
2008-02-20SEC Division of Corporation Finance no-action letter: G REIT, Inc. and G REIT Liquidating Trust
2008-02-15Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves
2008-02-15Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007
2008-02-13SEC Division of Investment Management staff letter: Wells Fargo Funds Trust – Prime Money Market Fund and Heritage Money Market Fund
2008-02-07Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
2008-02-05SEC Division of Corporation Finance no-action letter: Dollar Tree Stores, Inc.
2008-01-29SEC Division of Corporation Finance no-action letter: Oncothyreon Inc. and Biomira Inc.
2008-01-28Technical Amendments to Forms MSD, MSDW, BD-N, BD, BDW, ADV, and ADV-W and to Exchange Act and Advisers Act Rules
2008-01-25Electronic Shareholder Forums
2008-01-23SEC Division of Corporation Finance no-action letter: Planet Technologies, Inc.
2008-01-22Request for No-Action Letter Regarding Omission of Shareholder Proposal from Fidelity Funds Proxy Materials
2008-01-22SEC Division of Corporation Finance no-action letter: MetLife Life and Annuity Company of Connecticut
2008-01-18SEC Division of Corporation Finance no-action letter: RARE Hospitality International, Inc.
2008-01-18SEC Division of Investment Management staff letter: HSBC Investor Funds
2008-01-15SEC Division of Corporation Finance no-action letter: Energy West, Incorporated
2008-01-14SEC Division of Trading and Markets no-action letter: Woodstock Financial Group, Inc.
2008-01-10SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2008-01-09SEC Division of Corporation Finance no-action letter: DnB NOR ASA
2008-01-08SEC Office of the Chief Accountant Staff Letter on QSPE Status and Mortgage Modifications
2008-01-04Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
2008-01-04Smaller Reporting Company Regulatory Relief and Simplification
2008-01-03SEC Division of Corporation Finance no-action letter: International Securities Exchange, Inc.
2008-01-02SEC Division of Investment Management staff letter: STI Classic Funds
2007-12-31Staff Accounting Bulletin No. 110
2007-12-31SEC Division of Trading and Markets no-action letter: Bloomberg Tradebook LLC and Calyon Inc.
2007-12-28SEC Division of Investment Management staff letter: NGP Capital Resources Company
2007-12-27Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
2007-12-27SEC Division of Investment Management staff letter: CUNA Mutual Life Insurance Company, et al.
2007-12-26SEC Division of Investment Management staff letter: Dexia Municipal Agency
2007-12-26SEC Division of Corporation Finance no-action letter: ACE Aviation Holdings, Inc.
2007-12-21SEC Division of Investment Management staff letter: TDAM Money Market Portfolio
2007-12-21SEC Staff Accounting Bulletin: SAB 110
2007-12-21SEC no-action letter: Toronto-Dominion Bank exemption from Regulation M
2007-12-20Revisions to Form S-11 To Permit Historical Incorporation by Reference
2007-12-18Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves
2007-12-18SEC Division of Investment Management staff letter: Franklin Universal Trust
2007-12-18SEC Division of Trading and Markets no-action letter: PT Media Nusantara Tbk
2007-12-11Shareholder Proposals Relating to the Election of Directors
2007-12-07Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934
2007-12-05SEC no-action letter: SAP AG exemption from Rule 14e-5 and Rule 14d-10(a)(1) regarding Business Objects S.A. tender offers
2007-12-04SEC Division of Corporation Finance no-action letter: Genesee Corporation
2007-12-04SEC Division of Trading and Markets no-action letter: ADP TotalSource, Inc.
2007-12-03SEC Division of Investment Management staff letter: SEI Liquid Asset Trust Prime Obligation Fund
2007-12-03SEC Division of Investment Management staff letter: First American Funds, Inc. – Prime Obligation Fund
2007-12-03SEC Division of Trading and Markets no-action letter: eEmployers Solutions, Inc.
2007-11-28SEC Division of Trading and Markets no-action letter: LiquidityHub Limited
2007-11-26Order Granting Application for Exemption: Grupo Iusacell Celular, S.A. de C.V.
2007-11-23Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism
2007-11-16SEC Exemption Under Rule 608(e) of Regulation NMS for the American Stock Exchange Relating to Principal Acting as Agent Orders
2007-11-16SEC Division of Investment Management staff letter: Old Mutual Advisors Funds
2007-11-15SEC Division of Trading and Markets no-action letter: Chicago Stock Exchange, Inc.
2007-11-09SEC Division of Investment Management staff letter: SEI Daily Income Trust - Money Market Fund
2007-11-09Rulemaking for EDGAR System; Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E
2007-11-09Staff Accounting Bulletin No. 109
2007-11-08SEC Division of Investment Management staff letter: SEI Daily Income Trust - Prime Obligation Fund
2007-11-07SEC Division of Trading and Markets no-action letter: Woodstock Financial Group, Inc.
2007-11-05SEC Division of Corporation Finance no-action letter: Bausch & Lomb Incorporated
2007-11-05SEC Staff Accounting Bulletin: SAB 109
2007-11-01SEC Division of Corporation Finance no-action letter: FoxHollow Technologies, Inc.
2007-10-31SEC Division of Trading and Markets no-action letter: Rydex ETF Trust
2007-10-26SEC Division of Investment Management staff letter: STI Classic Funds
2007-10-22Class Relief for Real Estate Investment Trust Share Redemption Programs
2007-10-17SEC Office of the Chief Accountant staff letter: Letter from SEC Chief Accountant to Zions Bancorporation concerning the use of Employee Stock Option Appreciation Rights Securities (ESOARS) to value employee share-based payment awards under FASB Statement No. 123R
2007-10-15SEC Division of Corporation Finance no-action letter: Victory Renewable Fuels, LLC
2007-10-12SEC Division of Trading and Markets no-action letter: Deutsche Bank AG (Exchange-traded Notes)
2007-10-09SEC Division of Corporation Finance no-action letter: Telemar Participações S.A.
2007-10-09SEC Division of Corporation Finance no-action letter: Natixis S.A., Banque Fédérale des Banques Populaires and Caisse National des Caisses d'Epargne
2007-10-09SEC Division of Trading and Markets no-action letter: REITPlus, Inc.
2007-10-05SEC Division of Corporation Finance no-action letter: Abacus Investments Limited
2007-10-03Definitions of Terms and Exemptions Relating to the Broker Exceptions for Banks
2007-10-03Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
2007-10-03SEC Division of Trading and Markets no-action letter: www.DisclosureUSA.org - Texas MAC's Central Post Office
2007-09-28Interpretive Rule Under the Advisers Act Affecting Broker-Dealers
2007-09-28Temporary Rule Regarding Principal Trades With Certain Advisory Clients
2007-09-20SEC Division of Investment Management staff letter: Investment Adviser Association
2007-09-20SEC Division of Corporation Finance no-action letter: Republic of Hungary
2007-09-13SEC Division of Investment Management staff letter: Exelon Corporation
2007-09-13SEC Division of Corporation Finance no-action letter: Microtune, Inc.
2007-09-11SEC Division of Corporation Finance no-action letter: Pregis Corporation
2007-09-07SEC Division of Corporation Finance no-action letter: MP Environmental Funding LLC, PE Environmental Funding LLC
2007-08-22SEC Division of Corporation Finance no-action letter: Eagle Hospitality Properties Trust, Inc.
2007-08-21Adoption of Updated EDGAR Filer Manual
2007-08-14SEC Division of Corporation Finance no-action letter: ICON Cash Flow Partners L.P. Seven and ICON Cash Flow Partners L.P. Seven Liquidating Trust
2007-08-14Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards
2007-08-14Amendments to Regulation SHO
2007-08-13SEC Division of Trading and Markets no-action letter: ASX Limted