Securities and Exchange Commission

4,841 documents, newest first — showing 3,001–3,200.

Browse with filters on the regulator page.

• 2006-11-14SEC Division of Trading and Markets no-action letter: Philadelphia Stock Exchange, Inc.'s Request for Exemptions under Rule 608(e) of Regulation NMS Under the Securities Exchange Act of 1934 from Certain Provisions of the Intermarket Trading System Plan
• 2006-11-14SEC Division of Corporation Finance no-action letter: iShares GSCI Commodity-Indexed Trust and iShares GSCI Commodity-Indexed Investing Pool LLC
• 2006-11-09SEC Division of Trading and Markets no-action letter: Philadelphia Stock Exchange, Inc.
• 2006-11-09SEC Division of Trading and Markets no-action letter: Philadelphia Stock Exchange, Inc.
• 2006-11-08Amendments to the Tender Offer Best-Price Rules
• 2006-11-08SEC Division of Trading and Markets no-action letter: Country Business, Inc.
• 2006-11-08SEC Division of Corporation Finance no-action letter: Hartford Investment Financial Services
• 2006-11-08SEC Division of Trading and Markets no-action letter: Boston Stock Exchange
• 2006-11-07SEC Division of Corporation Finance no-action letter: BH Lodging Corp.
• 2006-11-07SEC Division of Corporation Finance no-action letter: Loudeye Corp.
• 2006-11-03SEC Division of Trading and Markets no-action letter: MEIF II
• 2006-11-03SEC no-action letter granting exemptions for American Stock Exchange's AEMI-One platform
• 2006-11-01SEC Division of Corporation Finance no-action letter: SUNDAY Communications Limited
• 2006-10-31SEC Division of Corporation Finance no-action letter: VG Holding Corporation
• 2006-10-31SEC Division of Corporation Finance no-action letter: Security Capital Assurance Ltd. and XL Capital Ltd.
• 2006-10-31Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
• 2006-10-31Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
• 2006-10-31SEC Division of Corporation Finance no-action letter: Waddell & Reed Financial, Inc.
• 2006-10-25SEC Division of Corporation Finance no-action letter: EIG Mutual Holding Company
• 2006-10-24Class Relief for Exchange Traded Index Funds
• 2006-10-17SEC Division of Corporation Finance no-action letter: Fidelity Life Association
• 2006-10-13Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants
• 2006-10-13SEC no-action letter: National Stock Exchange post-trade anonymity and Rule 10b-10 relief
• 2006-10-12SEC Division of Trading and Markets no-action letter: WisdomTree Trust
• 2006-10-12SEC Division of Market Regulation no-action letter: American Stock Exchange LLC Outbound Routing Arrangement
• 2006-10-10SEC Division of Corporation Finance no-action letter: Fresenius Aktiengesellschaft
• 2006-10-10SEC no-action letter: Barrick Gold Corporation tender offer for NovaGold Resources Inc.
• 2006-10-06Order Approving Philadelphia Stock Exchange Proposed Rule Change for New Equity Trading System XLE
• 2006-10-06SEC Division of Corporation Finance no-action letter: Avago Technologies Limited
• 2006-10-05SEC Division of Trading and Markets no-action letter: Telstra Corporation Limited
• 2006-10-05SEC Division of Investment Management staff letter: Alliance World Dollar Government Fund, Inc.
• 2006-10-05SEC Division of Corporation Finance no-action letter: Raytheon Company
• 2006-10-04SEC Division of Corporation Finance no-action letter: SPARTA, Inc.
• 2006-10-03Mutual Fund Redemption Fees
• 2006-10-02SEC Division of Trading and Markets no-action letter: Gondola Holdings plc
• 2006-10-02SEC Division of Corporation Finance no-action letter: Hecla Mining Company
• 2006-09-28SEC Division of Corporation Finance no-action letter: Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc.
• 2006-09-28SEC Division of Corporation Finance no-action letter: Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc.
• 2006-09-27SEC Division of Corporation Finance no-action letter: McDonald's Corporation
• 2006-09-27SEC Division of Investment Management staff letter: Merrill Lynch & Co., Inc.
• 2006-09-26SEC Division of Corporation Finance no-action letter: Bayer AG
• 2006-09-26SEC Division of Corporation Finance no-action letter: BISYS Fund Services, Inc.
• 2006-09-22SEC Division of Corporation Finance no-action letter: Alliance Semiconductor Corporation
• 2006-09-22SEC Division of Corporation Finance no-action letter: Dunham & Associates Investment Counsel, Inc., Jeffrey A. Dunham, and Dunham & Associates Securities, Inc.
• 2006-09-21SEC Division of Corporation Finance no-action letter: SanDisk Corporation
• 2006-09-20SEC Division of Investment Management staff letter: Washington Capital Joint Master Trust
• 2006-09-19SEC Office of the Chief Accountant staff letter on accounting for stock option grants under Opinion 25
• 2006-09-18SEC no-action letter: TPO Investments AS exemption from Rule 14e-5
• 2006-09-18Staff Accounting Bulletin No. 108
• 2006-09-14SEC Division of Investment Management staff letter: Nuveen Virginia Premium Income Municipal Fund
• 2006-09-13SEC Staff Accounting Bulletin: SAB 108
• 2006-09-12SEC Division of Trading and Markets no-action letter: Doughty Hanson & Co Investments L.P. Incorporated
• 2006-09-08Executive Compensation Disclosure
• 2006-09-08Executive Compensation and Related Person Disclosure
• 2006-09-07SEC Division of Corporation Finance no-action letter: Hines Real Estate Investment Trust, Inc.
• 2006-09-06SEC Division of Corporation Finance no-action letter: CurrencyShares Swedish Krona Trust
• 2006-09-06SEC Division of Corporation Finance no-action letter: CurrencyShares Mexican Peso Trust
• 2006-09-06SEC Division of Corporation Finance no-action letter: CurrencyShares Australian Dollar Trust
• 2006-09-06SEC Division of Corporation Finance no-action letter: CurrencyShares Canadian Dollar Trust
• 2006-09-06SEC Division of Corporation Finance no-action letter: CurrencyShares Swiss Franc Trust
• 2006-09-06SEC Division of Corporation Finance no-action letter: CurrencyShares British Pound Sterling Trust
• 2006-08-31SEC Division of Corporation Finance no-action letter: Lincoln National Corporation
• 2006-08-28SEC Division of Corporation Finance no-action letter: Prudential Equity Group, LLC
• 2006-08-24SEC Division of Trading and Markets no-action letter: NNN Healthcare/Office REIT, Inc.
• 2006-08-15Proposed Extension of Compliance Dates for Internal Control Over Financial Reporting in Non-Accelerated Filers and Newly Public Companies
• 2006-08-15Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers
• 2006-08-14SEC Division of Trading and Markets no-action letter: International Securities Exchange, Inc.
• 2006-08-11SEC Division of Corporation Finance no-action letter: iShares Silver Trust
• 2006-08-11SEC Division of Trading and Markets no-action letter: Wachovia Securities
• 2006-08-10Wintegra, Inc. Request for No-Action Letter Regarding Exchange Act Reporting Obligations
• 2006-08-10SEC Division of Investment Management staff letter: ABA Subcommittee on Private Investment Entities
• 2006-08-07SEC Division of Investment Management staff letter: Credit Agricole Asset Management Alternative Investments, Inc.
• 2006-08-02Request for Temporary No-Action Relief from the Advisor Custody Rule for certain Hedge Fund Advisers
• 2006-08-01SEC Division of Trading and Markets no-action letter: NYSE Regulation, Inc.
• 2006-07-31SEC Division of Market Regulation no-action letter: Securities Industry Association
• 2006-07-31SEC Division of Corporation Finance no-action letter: NASDAQ Stock Market LLC
• 2006-07-28SEC no-action letter: Limited Exemption from Rule 602 of Regulation NMS for NASD and OTC Market Makers
• 2006-07-27SEC Exemption for CBOE from Trade-Through Provisions for Intermarket Option Linkage Automatic Execution
• 2006-07-26SEC Division of Investment Management staff letter: Citigroup Inc.
• 2006-07-24Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934
• 2006-07-24Amendments to the Informal and Other Procedures; Public Company Accounting Oversight Board Budget Approval Process
• 2006-07-21Amendments to Regulation SHO
• 2006-07-20SEC Division of Trading and Markets no-action letter: Chicago Stock Exchange, Inc.
• 2006-07-18SEC Division of Corporation Finance no-action letter: Global Preferred Holdings, Inc.
• 2006-07-18Concept Release Concerning Management's Reports on Internal Control Over Financial Reporting
• 2006-07-13SEC Division of Investment Management staff letter: Aberdeen Australia Equity Fund, Inc.
• 2006-07-13Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities
• 2006-07-13SEC Division of Trading and Markets no-action letter: UBS AG
• 2006-07-11SEC Division of Trading and Markets no-action letter: Securities Industry Association
• 2006-07-07SEC Division of Investment Management staff letter: Alternative Investment Partners Absolute Return Fund STS
• 2006-07-06SEC Division of Corporation Finance no-action letter: PMI Group, Inc.
• 2006-07-05SEC No-Action Letter Regarding Deloitte & Touche Tax Technologies LLC and Tax Technology Services Division Disposition
• 2006-06-30SEC Division of Corporation Finance no-action letter: Apple REIT Six, Inc.
• 2006-06-29SEC Division of Corporation Finance no-action letter: Bayer Entities
• 2006-06-29SEC Division of Corporation Finance no-action letter: Southwestern Energy Company
• 2006-06-29SEC Division of Corporation Finance no-action letter: Watchdata Technologies Ltd.
• 2006-06-28SEC Division of Trading and Markets no-action letter: Track ECN
• 2006-06-28SEC Division of Trading and Markets no-action letter: Direct Edge ECN
• 2006-06-28SEC Division of Trading and Markets no-action letter: OnTrade, Inc.
• 2006-06-28SEC Division of Corporation Finance no-action letter: Handy Hardware Wholesale, Inc.
• 2006-06-28SEC Division of Trading and Markets no-action letter: Bloomberg Tradebook LLC
• 2006-06-27SEC Division of Trading and Markets no-action letter: Welton Street Investments, LLC
• 2006-06-27SEC Division of Trading and Markets no-action letter: BATS Trading, Inc.
• 2006-06-26SEC Division of Trading and Markets no-action letter: NASD, Inc.
• 2006-06-23SEC Division of Trading and Markets no-action letter: Dinosaur Securities, LLC
• 2006-06-22SEC Division of Trading and Markets no-action letter: Associated British Ports Holdings plc
• 2006-06-22SEC Division of Trading and Markets no-action letter: Professional Project Services, Inc.
• 2006-06-22SEC no-action letter: Mittal Steel Company N.V. exemptive relief from Rule 14e-5
• 2006-06-21SEC Division of Trading and Markets no-action letter: Commodity-based Investment Vehicles Class Letter
• 2006-06-21SEC Division of Corporation Finance no-action letter: Teck Cominco Limited
• 2006-06-20SEC Division of Corporation Finance no-action letter: Swedish Match AB
• 2006-06-20SEC Division of Trading and Markets no-action letter: ProShares Trust
• 2006-06-19Investment Company Governance
• 2006-06-15SEC Division of Trading and Markets no-action letter: Instinet Group, LLC
• 2006-06-15SEC Division of Trading and Markets no-action letter: WisdomTree Trust
• 2006-06-12SEC Division of Corporation Finance no-action letter: Vodafone PLC
• 2006-06-09Amendments to Plan of Organization and Operation Effective During Emergency Conditions
• 2006-06-08SEC Division of Trading and Markets no-action letter: Associated British Ports Holdings plc
• 2006-06-06SEC Division of Investment Management staff letter: SCP Private Equity Partners II, L.P.
• 2006-06-06SEC Division of Investment Management staff letter: Gardner Russo & Gardner
• 2006-06-05SEC Division of Investment Management staff letter: Lockheed Martin Investment Management Company
• 2006-06-05SEC no-action letter: Exemption from Section 11(d)(1) for Money Market Funds
• 2006-06-01SEC Division of Corporation Finance no-action letter: The Panama Stock Exchange
• 2006-06-01SEC Division of Trading and Markets no-action letter: UBS AG, New York Branch
• 2006-05-31SEC Division of Corporation Finance no-action letter: Piper Jaffray & Co.
• 2006-05-31SEC Division of Corporation Finance no-action letter: Wachovia Capital Markets, LLC
• 2006-05-31SEC Division of Corporation Finance no-action letter: Bank of America Corporation
• 2006-05-31SEC Division of Corporation Finance no-action letter: JPMorgan Chase & Co.
• 2006-05-31SEC Division of Corporation Finance no-action letter: Banc of America Securities LLC
• 2006-05-31SEC Division of Corporation Finance no-action letter: Citigroup, Inc.
• 2006-05-31SEC Division of Corporation Finance no-action letter: Royal Bank of Canada
• 2006-05-31SEC Division of Corporation Finance no-action letter: Morgan Keegan & Company, Inc.
• 2006-05-31SEC Division of Corporation Finance no-action letter: Bear, Stearns & Co. Inc.
• 2006-05-31SEC Division of Corporation Finance no-action letter: Lehman Brothers Inc.
• 2006-05-31SEC Division of Corporation Finance no-action letter: Morgan Stanley
• 2006-05-31SEC Division of Corporation Finance no-action letter: The Goldman Sachs Group, Inc.
• 2006-05-31SEC Division of Corporation Finance no-action letter: RBC Dain Rauscher Inc.
• 2006-05-31SEC Division of Corporation Finance no-action letter: Merrill Lynch, Pierce, Fenner & Smith Incorporated
• 2006-05-31SEC no-action letter: Goldman Sachs waiver of Regulation A and Regulation D disqualifications
• 2006-05-31SEC Division of Corporation Finance no-action letter: Citigroup Global Markets, Inc.
• 2006-05-31SEC Division of Corporation Finance no-action letter: J.P. Morgan Securities, Inc.
• 2006-05-31SEC Division of Corporation Finance no-action letter: Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc.
• 2006-05-31SEC Division of Corporation Finance no-action letter: A.G. Edwards & Sons, Inc.
• 2006-05-30SEC Division of Trading and Markets no-action letter: iPath Securities — Index-Linked Securities
• 2006-05-26SEC Division of Investment Management staff letter: Mutual of America Investment Corporation
• 2006-05-24Regulation NMS
• 2006-05-23SEC No-Action Letter: AstraZeneca PLC
• 2006-05-19SEC Division of Investment Management staff letter: Citigroup Global Markets, Inc.
• 2006-05-16SEC Division of Corporation Finance no-action letter: Federal Home Loan Bank of Seattle
• 2006-05-15Federal Home Loan Bank of Topeka request for no-action relief regarding Exchange Act registration
• 2006-05-12SEC Division of Corporation Finance no-action letter: Morgan Stanley & Co. Incorporated
• 2006-05-11SEC Division of Corporation Finance no-action letter: Network General Central Corporation
• 2006-05-11SEC Division of Corporation Finance no-action letter: Federal Home Loan Bank of Des Moines
• 2006-05-11Description of Duties of the General Counsel
• 2006-05-08SEC Division of Trading and Markets no-action letter: BATS Trading, Inc.
• 2006-05-08SEC Division of Trading and Markets no-action letter: M Financial Holdings, Inc.
• 2006-05-05SEC Division of Corporation Finance no-action letter: Canada Pension Plan Investment Board
• 2006-05-03SEC Division of Trading and Markets no-action letter: Eurex
• 2006-04-13Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Change the Names of the Pacific Exchange, Inc., PCX Equities, Inc., PCX Holdings, Inc., and the Archipelago Exchange, L.L.C.
• 2006-04-12SEC Division of Corporation Finance no-action letter: Bayer AG
• 2006-04-10Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities
• 2006-04-06SEC Division of Trading and Markets no-action letter: Investor AB
• 2006-04-06SEC no-action letter granting NYSE Arca Inc. exemption from Rule 601(a)(2)(iv) and 601(b)(1) for Portfolio Crossing Service
• 2006-04-06Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E
• 2006-04-03SEC Division of Corporation Finance no-action letter: Scottish Power plc
• 2006-03-31SEC Division of Corporation Finance no-action letter: ADVISORS REIT I, Inc.
• 2006-03-31SEC Division of Corporation Finance no-action letter: WaveRider Communications Inc.
• 2006-03-30SEC Division of Corporation Finance no-action letter: Duke Energy Corporation, Duke Energy Holding Corp., Cinergy Corp.
• 2006-03-24SEC Division of Investment Management staff letter: Ameriprise Financial Services Inc.
• 2006-03-23SEC Division of Trading and Markets no-action letter: Grupo Ferrovial, SA
• 2006-03-22SEC Division of Corporation Finance no-action letter: Euro Currency Trust
• 2006-03-16SEC no-action letter: Bear Stearns & Co. Inc. waiver of ineligible issuer status under Rule 405
• 2006-03-16SEC Division of Trading and Markets no-action letter: Chicago Stock Exchange, Inc.
• 2006-03-16SEC Division of Corporation Finance no-action letter: PacifiCare Health Systems, Inc.
• 2006-03-15SEC Division of Corporation Finance no-action letter: Federal Home Loan Bank of Atlanta
• 2006-03-14SEC Division of Investment Management staff letter: Putnam Premier Income Trust
• 2006-03-14SEC Division of Investment Management staff letter: Putnam High Income Securities Fund
• 2006-03-13SEC Division of Corporation Finance no-action letter: Merrill Lynch, Pierce, Fenner & Smith Incorporated
• 2006-03-10SEC Division of Corporation Finance no-action letter: IVAX Corporation
• 2006-03-09SEC Division of Investment Management staff letter: Millennium Partners, L.P., et al
• 2006-03-08SEC Division of Trading and Markets no-action letter: Philadelphia Stock Exchange, Inc.
• 2006-03-07Mutual Fund Redemption Fees
• 2006-03-03SEC Division of Trading and Markets no-action letter: Direct Edge ECN LLC
• 2006-03-02SEC Division of Corporation Finance no-action letter: Gas Natural SDG, S.A.
• 2006-02-21SEC Division of Corporation Finance no-action letter: Federal Home Loan Bank of Indianapolis
• 2006-02-21SEC Division of Corporation Finance no-action letter: MetLife, Inc.
• 2006-02-21SEC Division of Investment Management staff letter: American International Group, Inc.
• 2006-02-17SEC Division of Trading and Markets no-action letter: BATS Trading, Inc.
• 2006-02-17SEC Division of Trading and Markets no-action letter: TriNet Group, Inc.
• 2006-02-14CFR Correction: Securities Act of 1933
• 2006-02-14Technical Amendment to EDGAR System Requirements
• 2006-02-13Securities Offering Reform; Correction
• 2006-02-09SEC Division of Corporation Finance no-action letter: Euronext Amsterdam N.V.
• 2006-02-08Proposed Rule on Executive Compensation and Related Party Disclosure
• 2006-02-02SEC Division of Corporation Finance no-action letter: San Francisco Baseball Associates L.P.
• 2006-02-02Adoption of Updated EDGAR Filer Manual
• 2006-01-31SEC Division of Trading and Markets no-action letter: Dividend Capital Total Realty Trust Inc.
• 2006-01-26CFR Correction: Trusts (17 CFR Part 240)
• 2006-01-26Schedule 14A-Information Required in Proxy Statement
• 2006-01-23SEC Division of Corporation Finance no-action letter: Mitsubishi UFJ Financial Group, Inc.