Securities and Exchange Commission

4,841 documents, newest first — showing 2,801–3,000.

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• 2007-08-10Revisions of Limited Offering Exemptions in Regulation D
• 2007-08-10Short Selling in Connection With a Public Offering
• 2007-08-10Deletion of References to IRS Identification Numbers
• 2007-08-09Definition of the Term Significant Deficiency
• 2007-08-09Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles
• 2007-08-07SEC Division of Trading and Markets no-action letter: ABN AMRO Holding N.V.
• 2007-08-07SEC Division of Corporation Finance no-action letter: Cardinal Health, Inc.
• 2007-08-07SEC no-action letter: Barclays PLC exemptive relief from Rule 102 of Regulation M
• 2007-08-07SEC Division of Corporation Finance no-action letter: Barclays PLC tender offer for ABN AMRO Holding N.V.
• 2007-08-06SEC Division of Corporation Finance no-action letter: T REIT, Inc. and T REIT Liquidating Trust
• 2007-08-03Shareholder Proposals Relating to the Election of Directors
• 2007-08-03Shareholder Proposals
• 2007-08-02SEC Division of Trading and Markets no-action letter: Barclays PLC
• 2007-08-01Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
• 2007-08-01Shareholder Choice Regarding Proxy Materials
• 2007-07-31SEC Division of Trading and Markets no-action letter: Nasdaq Stock Market LLC/The Portal Market
• 2007-07-30SEC Division of Trading and Markets no-action letter: Boston Stock Exchange, Inc.'s Request for Exemption Under Rule 608(e) of Regulation NMS
• 2007-07-27SEC Division of Trading and Markets no-action letter: NASD
• 2007-07-24SEC Division of Corporation Finance no-action letter: Rio Tinto plc
• 2007-07-24SEC Division of Corporation Finance no-action letter: Registration of PORTAL Securities under Section 12(g)
• 2007-07-23SEC Division of Trading and Markets no-action letter: Royal Bank of Scotland Group plc
• 2007-07-23SEC no-action letter: Fortis SA/NV and Fortis NV exemption from Regulation M Rule 102
• 2007-07-23SEC Division of Investment Management staff letter: McDermott, Will & Emery
• 2007-07-23SEC no-action letter: Banco Santander Central Hispano, S.A. exemption from Regulation M Rule 102
• 2007-07-20SEC Division of Trading and Markets no-action letter: Royal Bank of Scotland Group plc
• 2007-07-20SEC Division of Corporation Finance no-action letter: Hewlett-Packard Company
• 2007-07-19SEC Division of Corporation Finance no-action letter: Royal Bank of Scotland Group plc tender offer for ABN AMRO Holding N.V.
• 2007-07-19Smaller Reporting Company Regulatory Relief and Simplification
• 2007-07-17Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information
• 2007-07-13SEC Division of Corporation Finance no-action letter: Oesterreichische Kontrollbank Aktiengesellschaft and the Republic of Austria
• 2007-07-12SEC Division of Investment Management staff letter: Cooley Godward & Kronish
• 2007-07-11Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
• 2007-07-10Exemption of Compensatory Employee Stock Options From Registration Under Section 12(g) of the Securities Exchange Act of 1934
• 2007-07-09SEC Division of Corporation Finance no-action letter: EMC Corporation and VMware, Inc.
• 2007-07-03SEC Division of Trading and Markets no-action letter: SunGard Institutional Brokerage, Inc.
• 2007-07-03Regulation SHO and Rule 10a-1
• 2007-07-03SEC Division of Corporation Finance no-action letter: Endesa, S.A.
• 2007-07-02SEC Division of Trading and Markets no-action letter: American Stock Exchange LLC
• 2007-07-02SEC Division of Market Regulation no-action letter: SIFMA request for temporary relief from Regulation SHO Rule 200(g)
• 2007-06-29SEC Division of Trading and Markets no-action letter: Ameristock ETF Trust
• 2007-06-29SEC Division of Corporation Finance no-action letter: Roper Industries, Inc.
• 2007-06-27Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting
• 2007-06-27SEC no-action letter: Combination Exchange-traded Funds
• 2007-06-27Definition of a Significant Deficiency
• 2007-06-26SEC Division of Corporation Finance no-action letter: Wells REIT II, Inc.
• 2007-06-26SEC Division of Corporation Finance no-action letter: International Business Machines Corporation
• 2007-06-26SEC Division of Corporation Finance no-action letter: Manulife Financial Corporation
• 2007-06-26Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 And F-3
• 2007-06-25SEC no-action letter: Banco Bilbao Vizcaya Argentaria, S.A. exemption from Regulation M
• 2007-06-22SEC Division of Corporation Finance no-action letter: InterDigital Communications Corporation
• 2007-06-20Correction to Final Rule on Termination of Foreign Private Issuer Registration Under Section 12(G)
• 2007-06-14Order Exempting Certain Error Correction Transactions From Rule 611 of Regulation NMS Under the Securities Exchange Act of 1934
• 2007-06-13SEC Division of Corporation Finance no-action letter: ABX Air, Inc.
• 2007-06-12SEC Division of Corporation Finance no-action letter: Telemar Participações S.A.
• 2007-06-12SEC Division of Corporation Finance no-action letter: HCC Insurance Holdings, Inc.
• 2007-06-11SEC Division of Trading and Markets no-action letter: Hallmark Capital Corporation
• 2007-06-06SEC Division of Corporation Finance no-action letter: Barclays PLC
• 2007-06-05SEC Division of Corporation Finance no-action letter: J.P. Morgan Securities, Inc.
• 2007-05-30SEC Division of Investment Management staff letter: Barclays Bank PLC
• 2007-05-25SEC Division of Corporation Finance no-action letter: Asia Satellite Telecommunications Holdings Limited
• 2007-05-24SEC no-action letter: UBS Financial Services Inc. exemption from Rule 10b-10(a)
• 2007-05-24SEC Division of Investment Management staff letter: Capital Trust, Inc.
• 2007-05-23Fund of Funds Investments
• 2007-05-23Amendments to Financial Responsibility Rules for Broker-Dealers: Extension of Comment Period
• 2007-05-23SEC Office of Credit Ratings staff guidance: Japan Credit Rating Agency, Ltd.
• 2007-05-23SEC Division of Corporation Finance no-action letter: Verint Systems Inc.
• 2007-05-23SEC Division of Trading and Markets no-action letter: Fixed Income Clearing Corporation
• 2007-05-21SEC Office of Credit Ratings staff guidance: Rating and Investment Information, Inc.
• 2007-05-16SEC Division of Corporation Finance no-action letter: Smart Move, Inc.
• 2007-05-11SEC Division of Corporation Finance no-action letter: Morgan Stanley & Co. Incorporated
• 2007-05-09SEC no-action letter: Grupo Aeropotuario del Sureste, S.A.B. de C.V. cash tender offer exemptions
• 2007-04-30SEC Division of Market Regulation no-action letter: Wachovia Securities
• 2007-04-27SEC Division of Corporation Finance no-action letter: RenaissanceRe Holdings Ltd.
• 2007-04-25SEC Division of Corporation Finance no-action letter: Vail Resorts, Inc.
• 2007-04-24Technical Amendments to Form BD and Form BDW
• 2007-04-24Covered Securities Pursuant to Section 18 of the Securities Act of 1933
• 2007-04-24SEC Division of Trading and Markets no-action letter: Barclays/ABN AMRO
• 2007-04-19SEC Division of Corporation Finance no-action letter: Tenet Healthcare Corporation
• 2007-04-13SEC Division of Trading and Markets no-action letter: Capital Institutional Services, Inc.
• 2007-04-11SEC Division of Trading and Markets no-action letter: Cole Credit Property Trust II
• 2007-04-09Class Relief for Fixed Income Exchange-Traded Funds
• 2007-04-06SEC Division of Corporation Finance no-action letter: CANTV
• 2007-04-05Termination of a Foreign Private Issuer's Registration Under Section 12(g) and Reporting Duties Under Section 13(a) or 15(d)
• 2007-04-04SEC Division of Corporation Finance no-action letter: Equitable Resources, Inc.
• 2007-04-04SEC no-action letter: Rule 14e-5 relief for Financial Advisors' trading activities
• 2007-04-02SEC Division of Investment Management staff letter: Ameritas Life Insurance Corp.
• 2007-03-30SEC Division of Corporation Finance no-action letter: Claymore MACROshares Oil Up Holding Trust et al.
• 2007-03-30Amendments to Regulation SHO
• 2007-03-29SEC Division of Corporation Finance no-action letter: Nicor, Inc.
• 2007-03-29SEC Division of Corporation Finance no-action letter: DSL.net, Inc.
• 2007-03-28Technical Amendment to Regulation S-T
• 2007-03-27SEC Division of Trading and Markets no-action letter: Allianz SE
• 2007-03-26SEC Division of Corporation Finance no-action letter: American Physicians Insurance Company
• 2007-03-26SEC Division of Corporation Finance no-action letter: Chordiant Software, Inc.
• 2007-03-23SEC Division of Corporation Finance no-action letter: CurrencyShares Japanese Yen Trust
• 2007-03-23SEC Division of Trading and Markets no-action letter: Allianz SE
• 2007-03-23SEC Division of Corporation Finance no-action letter: Halliburton Company
• 2007-03-20SEC Division of Corporation Finance no-action letter: Ford Motor Credit Company
• 2007-03-19Amendments to Financial Responsibility Rules for Broker-Dealers
• 2007-03-16SEC Division of Investment Management staff letter: Lear Corporation Retirement Savings Plan Trusts
• 2007-03-16SEC Division of Corporation Finance no-action letter: Overseas Partners Ltd.
• 2007-03-15SEC Division of Corporation Finance no-action letter: STATS ChipPAC Ltd.
• 2007-03-14SEC no-action letter: Banc of America Securities LLC waiver of ineligible issuer status under Rule 405
• 2007-03-12SEC Division of Corporation Finance no-action letter: Wilmington Trust Company
• 2007-03-12SEC Division of Corporation Finance no-action letter: Beazer Homes USA, Inc.
• 2007-03-12SEC Division of Investment Management staff letter: Goldman Sachs Asset Management, L.P.
• 2007-03-08SEC no-action letter: HealthShares Composite Exchange-Traded Fund
• 2007-03-07SEC Division of Corporation Finance no-action letter: Summit Bank Corporation
• 2007-03-06SEC Division of Corporation Finance no-action letter: Juniper Networks, Inc.
• 2007-03-02SEC Division of Trading and Markets no-action letter: Sulzer AG
• 2007-03-01SEC Division of Investment Management staff letter: M&G Investment Management Ltd.
• 2007-03-01SEC Division of Trading and Markets no-action letter: Asia Satellite Communications Holdings Limited
• 2007-02-28SEC Division of Corporation Finance no-action letter: MDS Inc.
• 2007-02-28SEC Division of Corporation Finance no-action letter: Eurolist by Euronext and the Alternext Market
• 2007-02-28SEC Division of Corporation Finance no-action letter: CNET Networks, Inc.
• 2007-02-28SEC Division of Corporation Finance no-action letter: The Korea Exchange
• 2007-02-28SEC Division of Corporation Finance no-action letter: Adobe Systems Incorporated
• 2007-02-23SEC Division of Corporation Finance no-action letter: Weyerhaeuser Company
• 2007-02-23SEC Division of Trading and Markets no-action letter: Chicago Board Options Exchange, Inc.
• 2007-02-20Exemptive Relief for Purchases Pursuant to Statutory Puts in Japanese Tender Offers
• 2007-02-12SEC Division of Investment Management staff letter: Heitman Capital Management, LLC
• 2007-02-12Extension of Interactive Data Voluntary Reporting Program on the EDGAR System To Include Mutual Fund Risk/Return Summary Information
• 2007-02-09SEC Division of Market Regulation no-action letter: REpower Systems AG tender offer
• 2007-02-08SEC Division of Trading and Markets no-action letter: UnumProvident Corporation, Inc.
• 2007-02-01SEC Division of Trading and Markets no-action letter: NYSE Request for Exemptions from Certain Provisions of the Intermarket Trading System (ITS) Plan
• 2007-01-31SEC Division of Trading and Markets no-action letter: NYSE Arca, Inc.
• 2007-01-31SEC Division of Investment Management staff letter: Van Kampen Funds Inc.
• 2007-01-30Regulation NMS
• 2007-01-30SEC Division of Trading and Markets no-action letter: Extension of the Exemptions from Certain Provisions of the Intermarket Trading System Plan
• 2007-01-30SEC Division of Market Regulation no-action letter: Extension of the Exemption from the Order Protection Provisions of the Intermarket Trading System ("ITS") Plan with Respect to Single-Priced Closing Transactions
• 2007-01-30SEC Division of Trading and Markets no-action letter: Extension of the Exemption under Rule 608(e) of Regulation NMS Under the Securities Exchange Act of 1934 from Certain Provisions of the Intermarket Trading System Plan
• 2007-01-30SEC no-action letter: FSC Securities Corporation exemption from Rule 10b-10(a) for Vision2020 Advisor Program
• 2007-01-30SEC Division of Trading and Markets no-action letter: Extension of the Exemption from the Order Protection Provisions of the Intermarket Trading System (ITS) Plan with Respect to Single-Priced Closing Transactions
• 2007-01-30SEC No-Action and Exemptive Letter: ProSiebenSat.1 Media AG
• 2007-01-30Extension of Exemptions for Initial Version of the American Stock Exchange's AEMI Hybrid Market Trading Platform
• 2007-01-29SEC Division of Corporation Finance no-action letter: MBIA Inc.
• 2007-01-29Universal Internet Availability of Proxy Materials
• 2007-01-29Internet Availability of Proxy Materials
• 2007-01-26SEC Division of Investment Management staff letter: Investment Company Institute
• 2007-01-26SEC Division of Trading and Markets no-action letter: Nippon Katan
• 2007-01-25SEC Staff Letter on Zions Bancorporation's ESOARS Valuation Under FASB Statement 123R
• 2007-01-24SEC Division of Trading and Markets no-action letter: ProShares Trust
• 2007-01-23SEC Division of Trading and Markets no-action letter: Philadelphia Stock Exchange, Inc.
• 2007-01-22SEC no-action letter: Areva S.A. exemption from Rule 14e-5
• 2007-01-22SEC Division of Trading and Markets no-action letter: Hurriyet Invest
• 2007-01-22SEC Division of Trading and Markets no-action letter: HealthShares Emerging Cancer Exchange-Traded Fund and HealthShares Cardio Devices Exchange-Traded Fund
• 2007-01-17SEC Division of Trading and Markets no-action letter: Goldman, Sachs & Co.
• 2007-01-16SEC Division of Corporation Finance no-action letter: Friedman, Billings, Ramsey & Co., Inc.
• 2007-01-16SEC Division of Investment Management staff letter: Emanuel J. Friedman and EJF Capital LLC
• 2007-01-12SEC Division of Trading and Markets no-action letter: Pfleiderer AG
• 2007-01-11Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934
• 2007-01-11Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction
• 2007-01-11Investment Company Governance; Correction
• 2007-01-09SEC Division of Corporation Finance no-action letter: Deutsche Bank AG
• 2007-01-09SEC Division of Corporation Finance no-action letter: Bank of New York Company
• 2007-01-08Investment Company Governance: Notice of Comment Deadline
• 2007-01-04Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles
• 2006-12-29SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
• 2006-12-29Executive Compensation Disclosure
• 2006-12-27SEC Division of Investment Management staff letter: GuideStone Financial, et al.
• 2006-12-27Management’s Report on Internal Control Over Financial Reporting
• 2006-12-26Definitions of Terms and Exemptions Relating to the Broker Exceptions for Banks
• 2006-12-26Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
• 2006-12-22SEC Division of Trading and Markets no-action letter: MACRO Securities Depositor, LLC
• 2006-12-22SEC no-action letter regarding iShares Lehman Treasury and Credit Bond Funds
• 2006-12-21SEC Division of Corporation Finance no-action letter: Deutsche Asset Management, Inc. and Deutsche Investment Management
• 2006-12-21Investment Company Governance: Request for Additional Comment
• 2006-12-21Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
• 2006-12-21SEC Division of Corporation Finance no-action letter: CenterPoint Energy
• 2006-12-20SEC no-action letter: Heat Beteiligungs III GmbH
• 2006-12-19SEC Division of Corporation Finance no-action letter: Portugal Telecom, SGPS, S.A.
• 2006-12-15SEC Division of Trading and Markets no-action letter: Gallaher Group plc
• 2006-12-15SEC Division of Corporation Finance no-action letter: Bear, Stearns & Co., Inc.
• 2006-12-14SEC Division of Corporation Finance no-action letter: Tennessee Valley Authority
• 2006-12-14SEC No-Action Letter: Omgeo LLC Trade Management Service
• 2006-12-14SEC Division of Investment Management staff letter: IDS Life Insurance Company, et al.
• 2006-12-13Short Selling in Connection With a Public Offering
• 2006-12-13SEC Division of Investment Management staff letter: ASA (Bermuda) Limited
• 2006-12-13SEC Division of Corporation Finance no-action letter: Babson Capital Management LLC
• 2006-12-11SEC Division of Corporation Finance no-action letter: CPA:14 Holdings Inc.
• 2006-12-08Proposed Amendments to Municipal Securities Disclosure
• 2006-12-08Delegation of Authority to Chief Administrative Law Judge
• 2006-12-08SEC Division of Trading and Markets no-action letter: NYSE Arca, Inc.
• 2006-12-07SEC Division of Trading and Markets no-action letter: International Securities Exchange, LLC
• 2006-12-06SEC Division of Corporation Finance no-action letter: E.ON Aktiengesellschaft
• 2006-12-06SEC Division of Corporation Finance no-action letter: Embratel Participacoes, S.A.
• 2006-12-01SEC Division of Investment Management staff letter: MACRO Securities Depositor, LLC
• 2006-12-01SEC Division of Corporation Finance no-action letter: Pepco Holdings, Inc.
• 2006-12-01SEC Division of Trading and Markets no-action letter: Companhia Sidenúrgica Nacional
• 2006-11-30SEC Division of Trading and Markets no-action letter: TD Ameritrade, Inc.
• 2006-11-29SEC Division of Trading and Markets no-action letter: UCB SA
• 2006-11-28SEC Division of Trading and Markets no-action letter: National Stock Exchange
• 2006-11-22Covered Securities Pursuant to Section 18 of the Securities Act of 1933
• 2006-11-20SEC Division of Trading and Markets no-action letter: Nasdaq Stock Market, Inc.
• 2006-11-20SEC Division of Corporation Finance no-action letter: Erica Enders Racing, LLC
• 2006-11-20SEC Division of Corporation Finance no-action letter: NASDAQ Stock Market, Inc.
• 2006-11-20SEC Division of Corporation Finance no-action letter: iShares COMEX Gold Trust
• 2006-11-17SEC Division of Trading and Markets no-action letter: Tokyo Stock Exchange, Inc
• 2006-11-16SEC Division of Corporation Finance no-action letter: Mellon Financial Corporation, Newton Investment Management Limited and Mellon Global Investments Limited
• 2006-11-15SEC Division of Investment Management staff letter: Federated Municipal Funds