Securities and Exchange Commission

4,841 documents, newest first — showing 3,201–3,400.

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• 2006-01-23SEC Division of Corporation Finance no-action letter: Mitsubishi UFJ Financial Group, Inc.
• 2006-01-19SEC Division of Trading and Markets no-action letter: DB Commodity Index Tracking Fund and DB Commodity Services LLC
• 2006-01-19SEC Division of Corporation Finance no-action letter: Barrick Gold Corporation
• 2006-01-13SEC Division of Corporation Finance no-action letter: Publicis Groupe S.A.
• 2006-01-13SEC no-action letter: Fresenius Medical Care AG
• 2006-01-13SEC Division of Corporation Finance no-action letter: Fresenius Medical Care AG
• 2006-01-11SEC Division of Trading and Markets no-action letter: United Development Funding III, LP
• 2006-01-11SEC Division of Trading and Markets no-action letter: OnTrade, Inc./NexTrade ECN: Withdrawal of No-Action Position
• 2006-01-11SEC Division of Trading and Markets no-action letter: OnTrade, Inc.
• 2006-01-05SEC Division of Trading and Markets no-action letter: Offer by Crucell N.V. for Shares of Berna Biotech A.G.
• 2006-01-04Regulation NMS
• 2006-01-03SEC Division of Corporation Finance no-action letter: Nordic Telephone Company ApS
• 2005-12-30Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 15(d)
• 2005-12-27Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports
• 2005-12-23SEC Division of Corporation Finance no-action letter: Federal Home Loan Bank of Boston
• 2005-12-23SEC Division of Trading and Markets no-action letter: CommandTRADE, LP
• 2005-12-23SEC Division of Corporation Finance no-action letter: BBVA Privanza International (Gibraltar) Limited
• 2005-12-22SEC Division of Investment Management staff letter: First Great-West Life & Annuity Insurance Company & Canada Life Insurance Company of New York
• 2005-12-22Amendments to the Tender Offer Best-Price Rule
• 2005-12-21SEC Division of Investment Management staff letter: GE Institutional Funds
• 2005-12-21SEC no-action letter: Jilin Chemical Industrial Company Limited
• 2005-12-16SEC Division of Trading and Markets no-action letter: New York Stock Exchange, Inc. and NASD Regulation, Inc.
• 2005-12-16SEC Division of Investment Management staff letter: Pioneer Funds
• 2005-12-15Internet Availability of Proxy Materials
• 2005-12-14SEC Division of Investment Management staff letter: Investment Company Institute
• 2005-12-12SEC Division of Corporation Finance no-action letter: Mercer International Inc.
• 2005-12-12SEC Division of Trading and Markets no-action letter: iShares COMEX Gold Trust
• 2005-12-12SEC Division of Trading and Markets no-action letter: streetTRACKS Gold Trust®
• 2005-12-09Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
• 2005-12-05Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission
• 2005-12-05Asset-Backed Securities: Technical Amendments to Regulation AB and Form S-3
• 2005-12-02SEC Division of Investment Management staff letter: Investment Adviser Association
• 2005-12-01SEC Division of Corporation Finance no-action letter: FORE Holdings LLC and FORE Holdings Liquidating Trust
• 2005-11-30SEC Division of Investment Management staff letter: National Compliance Service
• 2005-11-28E*TRADE Securities, LLC: Request for Clarification on 12b-1 Rebate Program
• 2005-11-22SEC Division of Trading and Markets no-action letter: Fresco Index Shares Funds
• 2005-11-22SEC Division of Trading and Markets no-action letter: iShares, Inc. MSCI Index Funds
• 2005-11-22SEC Division of Trading and Markets no-action letter: Select Sector SPDRs
• 2005-11-22SEC Division of Trading and Markets no-action letter: streetTRACKS Series Trust
• 2005-11-22SEC Division of Trading and Markets no-action letter: WEBS Index Series
• 2005-11-22SEC Division of Trading and Markets no-action letter: Foreign Fund, Inc.
• 2005-11-18SEC Division of Trading and Markets no-action letter: Gas Natural SDG
• 2005-11-17SEC Division of Corporation Finance no-action letter: Special Situations Fund III, L.P.
• 2005-11-17SEC Division of Corporation Finance no-action letter: Shire Pharmaceuticals Group PLC and Shire PLC
• 2005-11-16SEC Division of Corporation Finance no-action letter: WinCo Foods, LLC and WinCo Holdings, Inc.
• 2005-11-16SEC Division of Corporation Finance no-action letter: Jazz Semiconductor, Inc.
• 2005-11-15SEC Division of Corporation Finance no-action letter: CanWest Media Inc.
• 2005-11-08SEC Division of Trading and Markets no-action letter: Spark Infrastructure Group
• 2005-11-07SEC Division of Corporation Finance no-action letter: SUNDAY Communications Limited
• 2005-11-07Adoption of Updated EDGAR Filer Manual
• 2005-11-07SEC Office of the Chief Accountant staff letter: Letter from Deputy Chief Accountant to Deloitte Touche Tohmatsu on the disposition of their controlling interest in Liberata plc
• 2005-11-02SEC Division of Trading and Markets no-action letter: Bloomberg Tradebook LLC
• 2005-11-02SEC Division of Investment Management staff letter: Morgan, Lewis & Bockius LLP
• 2005-10-25Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934
• 2005-10-25SEC Division of Trading and Markets no-action letter: PowerShares Lux Nanotech Portfolio
• 2005-10-25SEC Division of Trading and Markets no-action letter: Old Mutual PLC for Försäkringsaktiebolaget Skandia
• 2005-10-24SEC Division of Trading and Markets no-action letter: Macquarie Airports Copenhagen ApS for Kobenhavns Lufthavne A/S
• 2005-10-21SEC Division of Trading and Markets no-action letter: Domestic Securities, Inc./ATTAIN ECN
• 2005-10-21SEC Division of Trading and Markets no-action letter: Inet ATS, Inc.
• 2005-10-21SEC Staff Letter: Deloitte Touche Tohmatsu Sale of Prophet Assets to SunGard
• 2005-10-21SEC Division of Corporation Finance no-action letter: Unocal Corporation
• 2005-10-21SEC Division of Trading and Markets no-action letter: Track ECN
• 2005-10-21SEC Trading and Markets FAQ: Regulation NMS - Rule 612 (Minimum Pricing Increment)
• 2005-10-21SEC Division of Trading and Markets no-action letter: Direct Edge ECN LLC Purchase of ATTAIN ECN
• 2005-10-20TEOCO Corporation Request for No-Action Advice Under Section 15(a) of the Securities Exchange Act
• 2005-10-17SEC Division of Investment Management staff letter: American Home Assurance Company, et al.
• 2005-10-12Key Hospitality Acquisition Corporation: Request for No-Action Relief from Regulation M Rules 101 and 102
• 2005-10-12SEC Division of Investment Management staff letter: Seward & Kissel
• 2005-10-11SEC Division of Investment Management staff letter: Evergreen Investment Management Company LLC
• 2005-10-07SEC Final Rules: Regulation NMS and Amendments to Joint Industry Plans
• 2005-10-07SEC Division of Trading and Markets no-action letter: Profit Eagle Limited
• 2005-10-07SEC Division of Trading and Markets no-action letter: Attain System
• 2005-09-30SEC Division of Trading and Markets no-action letter: NASD, Inc.
• 2005-09-30Adoption of Updated EDGAR Filer Manual
• 2005-09-30SEC Division of Trading and Markets no-action letter: Pacific Exchange, Inc.
• 2005-09-29Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports
• 2005-09-29Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Companies That Are Not Accelerated Filers
• 2005-09-28SEC Division of Corporation Finance no-action letter: Federal Home Loan Bank of Pittsburgh
• 2005-09-27SEC Division of Trading and Markets no-action letter: Macquarie Media Holdings Limited and Macquarie Media Trust
• 2005-09-21SEC Division of Corporation Finance no-action letter: Legg Mason Wood Walker, Incorporated
• 2005-09-16Extension of Compliance Date for Certain Broker-Dealers Deemed Not To Be Investment Advisers
• 2005-09-15SEC Division of Corporation Finance no-action letter: Federal Home Loan Bank of Dallas
• 2005-09-13SEC Division of Corporation Finance no-action letter: Federal Home Loan Bank of Cincinnati
• 2005-09-01Regulation NMS: Extension of Compliance Date for Amended Rule 301(b)(5) of Regulation ATS
• 2005-08-26SEC no-action letter: Exemption from Section 11(d)(1) for broker-dealer APs extending credit on ETF shares
• 2005-08-26SEC Division of Corporation Finance no-action letter: Federal Home Loan Bank of New York
• 2005-08-26SEC Division of Corporation Finance no-action letter: Federal Home Loan Bank of San Francisco
• 2005-08-25SEC Division of Investment Management staff letter: UBS Financial Services, Inc.
• 2005-08-17SEC Division of Investment Management staff letter: Credit Suisse First Boston, LLC
• 2005-08-12SEC Division of Corporation Finance no-action letter: Triad Guaranty, Inc. and Collateral Investment Corp.
• 2005-08-09Ownership Reports and Trading by Officers, Directors and Principal Security Holders
• 2005-08-09Amendments to the Penny Stock Rules
• 2005-08-08SEC Division of Investment Management staff letter: Putnam Tax-Free Health Care Fund
• 2005-08-08Regulation NMS
• 2005-08-05SEC Division of Trading and Markets no-action letter: Skadden, Arps, Slate, Meagher & Flom (UK) LLP
• 2005-08-05SEC Division of Corporation Finance no-action letter: Ashland Inc.
• 2005-08-04SEC no-action letter: J.P. Morgan Securities Inc. Rule 10b-10 confirmation capacity
• 2005-08-03Securities Offering Reform
• 2005-08-01SEC Division of Corporation Finance no-action letter: Edward D. Jones & Co., L.P.
• 2005-08-01SEC Division of Trading and Markets no-action letter: iShares
• 2005-07-29Technical Amendments to Rules Setting Forth the Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
• 2005-07-29SEC Division of Investment Management staff letter: EIF Neptune, LLC Starwood Energy Investors, LLC & Atlantic Energy Partners
• 2005-07-29SEC Division of Trading and Markets no-action letter: Compagnie de Saint-Gobain
• 2005-07-27SEC Division of Trading and Markets no-action letter: Eurex
• 2005-07-25SEC Division of Corporation Finance no-action letter: Prudential Equity Group, LLC
• 2005-07-21Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies
• 2005-07-18SEC Division of Trading and Markets no-action letter: Securities Industry Association
• 2005-07-15SEC Division of Corporation Finance no-action letter: Swingvote, LLC
• 2005-07-13Amendments to the Penny Stock Rules
• 2005-07-07Investment Company Governance
• 2005-07-01SEC Division of Corporation Finance no-action letter: Korea Fund, Inc.
• 2005-06-29Regulation NMS
• 2005-06-29SEC Division of Trading and Markets no-action letter: Pacific Exchange, Inc.
• 2005-06-28SEC Staff Legal Bulletin: SLB 14C
• 2005-06-28SEC Division of Trading and Markets no-action letter: National Stock Exchange
• 2005-06-27SEC Division of Trading and Markets no-action letter: Chicago Stock Exchange, Inc.
• 2005-06-24SEC Division of Corporation Finance no-action letter: Southern Investors Service Company, Inc.
• 2005-06-16SEC Division of Trading and Markets no-action letter: NASD Regulation, Inc., re: Net Capital Relief Related to Certain Transactions in the Securities of Gluv Corp
• 2005-06-10SEC no-action letter: William Blair & Company L.L.C. exemption from Rule 10b-10
• 2005-06-10SEC Division of Trading and Markets no-action letter: D.A. Davidson & Co.
• 2005-06-08SEC Division of Trading and Markets no-action letter: Instinet Group, LLC
• 2005-06-07SEC staff letter on separation of legal practices from Deloitte Touche Tohmatsu member firms
• 2005-06-06SEC Division of Corporation Finance no-action letter: National Grid Transco plc
• 2005-05-31Adoption of Updated EDGAR Filer Manual
• 2005-05-31SEC Division of Corporation Finance no-action letter: Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.
• 2005-05-25SEC Division of Corporation Finance no-action letter: Bunzl plc
• 2005-05-23SEC Division of Corporation Finance no-action letter: Landeskreditbank Baden-Württemberg - Förderbank
• 2005-05-18SEC Division of Corporation Finance no-action letter: iShares COMEX Gold Trust
• 2005-05-17SEC Division of Corporation Finance no-action letter: Peter Kiewit Sons', Inc.
• 2005-05-17SEC Division of Corporation Finance no-action letter: Royal Dutch Shell PLC
• 2005-05-13SEC Division of Investment Management staff letter: Principal Investors Fund Inc.
• 2005-05-05SEC Division of Investment Management staff letter: ING Bank N.V.
• 2005-04-28SEC Division of Investment Management staff letter: American Skandia Life Assurance Corporation
• 2005-04-28Proposed Amendments to the Rules of Practice and Related Provisions
• 2005-04-26SEC Division of Corporation Finance no-action letter: Aether Systems, Inc.
• 2005-04-26SEC Trading and Markets FAQ: Regulation Analyst Certification
• 2005-04-25Definition of Nationally Recognized Statistical Rating Organization
• 2005-04-25SEC Division of Trading and Markets no-action letter: R & H Management, L.L.C.
• 2005-04-22SEC Division of Trading and Markets no-action letter: ITG, Inc.
• 2005-04-21SEC no-action letter: Morgan Keegan & Co., Inc. exemption from Rule 10b-10(a) confirmation delivery
• 2005-04-21Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment
• 2005-04-20First-Time Application of International Financial Reporting Standards
• 2005-04-19Certain Broker-Dealers Deemed Not To Be Investment Advisers
• 2005-04-18SEC Division of Trading and Markets no-action letter: Sanford C. Bernstein & Co., LLC
• 2005-04-18SEC Division of Corporation Finance no-action letter: Equant N.V. and France Telecom S.A.
• 2005-04-15SEC Division of Trading and Markets no-action letter: Securities Industry Association
• 2005-04-15SEC Division of Investment Management staff letter: Ark Therapeutics Group plc
• 2005-04-13Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations
• 2005-04-07SEC Division of Corporation Finance no-action letter: Emeriti Consortium for Retirement Health Solutions
• 2005-04-04SEC Division of Corporation Finance no-action letter: Credit Agricole S.A.
• 2005-04-04SEC no-action letter: Barclays Bank PLC for Absa Group Limited
• 2005-04-01SEC Division of Investment Management staff letter: Mellon Equity Associates, LLP
• 2005-04-01Staff Accounting Bulletin No. 107
• 2005-04-01SEC Division of Trading and Markets no-action letter: National Futures Association
• 2005-03-29SEC Division of Trading and Markets no-action letter: Reliance Trust Company
• 2005-03-29SEC Division of Investment Management staff letter: Trusts under the Will of Marion Searle
• 2005-03-29SEC Staff Accounting Bulletin: SAB 107
• 2005-03-24SEC Division of Corporation Finance no-action letter: Mrs. Fields Famous Brands, LLC, Mrs. Fields Financing Company, Inc., and Certain Guarantors
• 2005-03-23SEC Division of Corporation Finance no-action letter: Citigroup Global Markets, Inc.
• 2005-03-23SEC Division of Trading and Markets no-action letter: Wolff Juall Investments, LLC
• 2005-03-18SEC Division of Trading and Markets no-action letter: Boston Stock Exchange, Inc.
• 2005-03-18Mutual Fund Redemption Fees
• 2005-03-17SEC no-action letter regarding Rule 14e-5 relief for AFB Investment S.A. tender offer for Forbo Holding AG
• 2005-03-15SEC Division of Corporation Finance no-action letter: Texas Roadhouse, Inc.
• 2005-03-15SEC Division of Corporation Finance no-action letter: Manulife Financial Corporation
• 2005-03-10SEC Division of Investment Management staff letter: Fidelity Magellan Fund
• 2005-03-09SEC Division of Trading and Markets no-action letter: Vanguard Emerging Markets Stock Index Fund, Vanguard European Stock Index Fund and Vanguard Pacific Stock Index Fund
• 2005-03-08SEC Division of Corporation Finance no-action letter: Infiniti Solutions Ltd.
• 2005-03-08SEC Division of Investment Management staff letter: The Goldman Sachs Group, Inc.
• 2005-03-08SEC Division of Corporation Finance no-action letter: Republic of Uruguay
• 2005-03-08Extension of Compliance Dates for Management's Report on Internal Control Over Financial Reporting for Non-Accelerated Filers and Foreign Private Issuers
• 2005-03-04SEC Trading and Markets FAQ: Regulation SHO - Pilot Data
• 2005-03-04SEC no-action letter: Western & Southern Mutual Holding Company and Lafayette Life MIHC merger
• 2005-03-03SEC Office of Credit Ratings staff guidance: Dominion Bond Rating Service Limited
• 2005-03-03NYSE Request for No-Action Relief Regarding Average Price and Multiple Capacity Confirmations
• 2005-03-03SEC Office of Credit Ratings staff guidance: A.M. Best Company, Inc.
• 2005-03-02SEC Division of Corporation Finance no-action letter: CIBC Mellon Trust Company
• 2005-03-01SEC Division of Investment Management staff letter: Prudential Insurance Company of America
• 2005-03-01SEC Division of Trading and Markets no-action letter: PowerShares WilderHill Clean Energy Portfolio
• 2005-02-24SEC Division of Corporation Finance no-action letter: CIBC Mellon Trust Company
• 2005-02-24SEC Division of Investment Management staff letter: CIBC Mellon Trust Company
• 2005-02-23SEC Division of Investment Management staff letter: Goldman, Sachs & Co.
• 2005-02-18SEC Division of Corporation Finance no-action letter: streetTRACKS Gold Trust
• 2005-02-14Adjustments to Civil Monetary Penalty Amounts
• 2005-02-11SEC Division of Trading and Markets no-action letter: New York Stock Exchange, Inc.
• 2005-02-10SEC Division of Trading and Markets no-action letter: Securities Industry Association
• 2005-02-10SEC Division of Corporation Finance no-action letter: Matria Healthcare, Inc.
• 2005-02-10SEC no-action letter: Boston Capital Real Estate Investment Trust, Inc.
• 2005-02-08Adoption of Updated EDGAR Filer Manual
• 2005-02-07SEC Office of the Chief Accountant staff letter: Letter to Robert J. Kueppers, Chairman, Center for Public Company Audit Firms, from Donald T. Nicolaisen
• 2005-02-04SEC Division of Investment Management staff letter: Morgan Stanley & Co., Inc.
• 2005-02-04SEC Division of Corporation Finance no-action letter: Morgan Stanley & Co. Incorporated
• 2005-01-31SEC Division of Corporation Finance no-action letter: Man-Glenwood Lexington, LLC
• 2005-01-27SEC Division of Trading and Markets no-action letter: iShares COMEX Gold Trust
• 2005-01-24SEC Division of Trading and Markets no-action letter: Nasdaq Stock Market, Inc.
• 2005-01-19SEC Division of Investment Management staff letter: Wells Fargo Alternative Asset Management, LLC
• 2005-01-18Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization
• 2005-01-18SEC Office of the Chief Accountant staff letter: Letter from the Deputy Chief Accountant to Deloitte Touche Tohmatsu on the disposition of its member firm's Spanish consulting practice, GMS Management Solutions, S.L.
• 2005-01-14Certain Broker-Dealers Deemed Not To Be Investment Advisers
• 2005-01-14Certain Broker-Dealers Deemed Not To Be Investment Advisers