Securities and Exchange Commission

4,841 documents, newest first — showing 3,401–3,600.

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• 2005-01-11SEC Division of Corporation Finance no-action letter: McKinsey & Company, Inc.
• 2005-01-06SEC Division of Trading and Markets no-action letter: Sullivan & Cromwell LLP
• 2005-01-06SEC Division of Trading and Markets no-action letter: Tradebook System
• 2005-01-06SEC Division of Trading and Markets no-action letter: Inet ECN
• 2005-01-06SEC Division of Trading and Markets no-action letter: BRUT System
• 2005-01-06SEC Division of Trading and Markets no-action letter: Attain System
• 2005-01-06SEC Division of Trading and Markets no-action letter: Track System
• 2005-01-06SEC Division of Trading and Markets no-action letter: Trading System Operated by OnTrade, Inc.
• 2005-01-03SEC Division of Trading and Markets no-action letter: Schiff Hardin LLP
• 2004-12-27Regulation NMS
• 2004-12-23SEC Division of Investment Management staff letter: Pacific Select Fund, et al.
• 2004-12-17Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings
• 2004-12-16SEC Division of Corporation Finance no-action letter: Blackstone Entities
• 2004-12-15SEC Division of Trading and Markets no-action letter: United Technologies Corporation for Kidde plc
• 2004-12-14SEC no-action letter: Designation of Taiwan Stock Exchange Corporation as Designated Offshore Securities Market
• 2004-12-10Registration Under the Advisers Act of Certain Hedge Fund Advisers
• 2004-12-08Concept Release Concerning Self-Regulation
• 2004-12-08Disposal of Consumer Report Information
• 2004-12-08SEC Division of Investment Management staff letter: American International Group, Inc.
• 2004-12-07Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries
• 2004-12-06SEC Division of Investment Management staff letter: Trainer, Wortham & Co. Froley, Revy Investment Co. Starbuck, Tisdale & Assoc.
• 2004-12-03SEC Division of Corporation Finance no-action letter: EnCana Corporation
• 2004-12-02SEC Division of Corporation Finance no-action letter: Employers Insurance Company of Nevada
• 2004-12-02SEC Division of Corporation Finance no-action letter: Wiener Börse
• 2004-11-24SEC Division of Investment Management staff letter: College and University Facility Loan Trust One, et al.
• 2004-11-23Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates
• 2004-11-19SEC No-Action Letter: Harmony Gold Mining Company Limited
• 2004-11-17SEC Division of Trading and Markets no-action letter: streetTRACKS Gold Trust
• 2004-11-16CFR Correction: Removal and Reservation of § 249.636
• 2004-11-15SEC Division of Corporation Finance no-action letter: Equitable Life Assurance Society
• 2004-11-10SEC Division of Investment Management staff letter: Investment Company Institute
• 2004-11-08Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
• 2004-11-03SEC Division of Corporation Finance no-action letter: News Corporation Limited
• 2004-11-02SEC Division of Trading and Markets no-action letter: Global Research Analyst Settlement
• 2004-10-26Correction to Proposed Rule: XBRL Voluntary Financial Reporting Program on the Edgar System
• 2004-10-26SEC Division of Corporation Finance no-action letter: Behringer Harvard REIT, et. al.
• 2004-10-20SEC Division of Trading and Markets no-action letter: Pacific Exchange, Inc.
• 2004-10-20SEC Division of Trading and Markets no-action letter: Chicago Board Options Exchange, Inc.
• 2004-10-20SEC Division of Trading and Markets no-action letter: Philadelphia Stock Exchange, Inc.
• 2004-10-20SEC Division of Trading and Markets no-action letter: American Stock Exchange, LLC
• 2004-10-20SEC Division of Trading and Markets no-action letter: International Securities Exchange, LLC
• 2004-10-20SEC Division of Trading and Markets no-action letter: The Equitable Life Assurance Society of the United States
• 2004-10-20SEC Division of Trading and Markets no-action letter: Boston Stock Exchange, Inc.
• 2004-10-15SEC Division of Corporation Finance no-action letter: ATX Group, Inc.
• 2004-10-15SEC Division of Corporation Finance no-action letter: Synetics Solutions, Inc.
• 2004-10-15SEC Division of Trading and Markets no-action letter: Lend Lease Corporation Limited
• 2004-10-14SEC Division of Corporation Finance no-action letter: Paladin Realty Income Properties, Inc.
• 2004-10-13SEC Division of Investment Management staff letter: Old Dominion Electric Cooperative, et al.
• 2004-10-13SEC Order Granting Application for Exemption: Petroleos Mexicanos and the Pemex Project Funding Master Trust
• 2004-10-08SEC Division of Trading and Markets no-action letter: TECO Energy, Inc.
• 2004-10-08SEC Division of Trading and Markets no-action letter: iShares FTSE/Xinhua China 25 Index Fund
• 2004-10-07SEC Division of Corporation Finance no-action letter: Comcast Corporation
• 2004-10-04Staff Accounting Bulletin No. 106
• 2004-10-04SEC Division of Trading and Markets no-action letter: Hughes Supply, Inc.
• 2004-10-01SEC Division of Corporation Finance no-action letter: Johnson Controls, Inc.
• 2004-09-28SEC Staff Accounting Bulletin No. 106: Interaction of FASB Statement 143 and Full Cost Accounting Rules
• 2004-09-24SEC Division of Investment Management staff letter: Deutsche Bank Securities Inc.
• 2004-09-24SEC Division of Trading and Markets no-action letter: Borsa Italiana S.p.A.
• 2004-09-22SEC Division of Corporation Finance no-action letter: Bookham Technology plc
• 2004-09-20Disposal of Consumer Report Information
• 2004-09-15SEC Staff Legal Bulletin: SLB 14B
• 2004-09-15SEC Chief Accountant Letter to KPMG Regarding Inaccurate Statement in Client Letter
• 2004-09-13SEC Division of Corporation Finance no-action letter: TXU Corporation
• 2004-09-13SEC Division of Corporation Finance no-action letter: Engenio Information Technologies, Inc.
• 2004-09-10SEC no-action letter: Banco Santander Central Hispano, S.A.
• 2004-09-10SEC Division of Trading and Markets no-action letter: NASD Regulation, Inc.
• 2004-09-09Prohibition on the Use of Brokerage Commissions To Finance Distribution
• 2004-09-09SEC Division of Trading and Markets no-action letter: Orange Hospitality, Inc.
• 2004-09-07SEC Division of Trading and Markets no-action letter: Additional Guidance for Broker-Dealers on FAS 150
• 2004-09-07SEC Division of Trading and Markets no-action letter: www.DisclosureUSA.org - Texas MAC's Central Post Office
• 2004-09-07Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products
• 2004-09-01Temporary Postponement of the Final Phase-in Period for Acceleration of Periodic Report Filing Dates
• 2004-08-30SEC Division of Corporation Finance no-action letter: Peninsular & Oriental Steam Navigation Company
• 2004-08-27Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
• 2004-08-25SEC no-action letter: Friedman, Billings, Ramsey & Co., Inc. waiver request under Regulation A and Rule 505 of Regulation D
• 2004-08-25SEC Division of Corporation Finance no-action letter: Prudential Equity Group, LLC
• 2004-08-25SEC Division of Corporation Finance no-action letter: Adams Harkness, Inc.
• 2004-08-25SEC no-action letter: Janney Montgomery Scott LLC waiver of Regulation A and Regulation D disqualifications
• 2004-08-25SEC No-Action Letter: Needham & Company, Inc. Waiver Request under Regulation A and Rule 505 of Regulation D
• 2004-08-25SEC no-action letter: SG Cowen & Co., Inc. waiver of Regulation A and Regulation D disqualifications
• 2004-08-25SEC Division of Corporation Finance no-action letter: Morgan Keegan & Co., Inc.
• 2004-08-20SEC Division of Corporation Finance no-action letter: Tokyo Stock Exchange, Inc.
• 2004-08-20SEC Division of Corporation Finance no-action letter: Fannie Mae
• 2004-08-20Certain Broker-Dealers Deemed Not To Be Investment Advisers
• 2004-08-12Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies; Technical Amendment
• 2004-08-12Adoption of Updated EDGAR Filer Manual
• 2004-08-10Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date; Correction
• 2004-08-09SEC Division of Corporation Finance no-action letter: Kerr-McGee (Nevada) LLC
• 2004-08-07SEC Division of Corporation Finance no-action letter: Enstar Income/Growth Program Five-A, L.P.
• 2004-08-06Short Sales
• 2004-08-02List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
• 2004-08-02Investment Company Governance
• 2004-07-29SEC Division of Trading and Markets no-action letter: Wells Fargo Bank, N.A.
• 2004-07-28Registration Under the Advisers Act of Certain Hedge Fund Advisers
• 2004-07-28Regulation B: Extension of Comment Period
• 2004-07-21SEC Division of Corporation Finance no-action letter: Axtel. S.A. de C.V.
• 2004-07-20Covered Securities Pursuant to Section 18 of the Securities Act of 1933
• 2004-07-14Limitations on Affiliate Marketing (Regulation S-AM)
• 2004-07-12SEC Division of Trading and Markets no-action letter: Chicago Board Options Exchange, Inc.
• 2004-07-09Investment Adviser Codes of Ethics
• 2004-06-30Regulation B: Proposed Exemptions for Banks and Credit Unions from Broker-Dealer Definitions
• 2004-06-30Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies
• 2004-06-25Proposed Amendments to Rules 16b-3 and 16b-7 and Item 405 of Regulations S-K and S-B
• 2004-06-25SEC Division of Investment Management staff letter: GE Life and Annuity Assurance Company
• 2004-06-24SEC no-action letter: 91 Profi-Start 2004 GmbH for P & I Personal & Informatik Aktiengesellschaft
• 2004-06-24SEC Division of Trading and Markets no-action letter: International Securities Exchange, Inc.
• 2004-06-21Supervised Investment Bank Holding Companies
• 2004-06-21Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
• 2004-06-18SEC no-action letter: Hines Real Estate Investment Trust, Inc.
• 2004-06-16SEC Division of Trading and Markets no-action letter: Texas Treasury Safekeeping Trust Company
• 2004-06-15SEC Division of Trading and Markets no-action letter: International Stock Exchange, LLC
• 2004-06-15SEC Division of Trading and Markets no-action letter: American Stock Exchange, LLC
• 2004-06-15SEC Division of Trading and Markets no-action letter: Chicago Board Options Exchange, Inc.
• 2004-06-15SEC Division of Trading and Markets no-action letter: Philadelphia Stock Exchange, Inc.
• 2004-06-15SEC Division of Trading and Markets no-action letter: Boston Stock Exchange, Inc.
• 2004-06-15SEC Division of Trading and Markets no-action letter: Pacific Exchange, Inc.
• 2004-06-14Disclosure of Breakpoint Discounts by Mutual Funds
• 2004-06-14SEC Division of Corporation Finance no-action letter: AmeriVision Communications, Inc.
• 2004-06-10Proposed Rule Prohibiting Transfer Agents from Effecting Transfers of Securities Restricted from Intermediary Ownership
• 2004-06-10SEC no-action letter regarding Aventis tender offer exemptions
• 2004-06-10SEC Division of Corporation Finance no-action letter: PetroKazakhstan Inc.
• 2004-06-07SEC Division of Trading and Markets no-action letter: Instinet Group, LLC
• 2004-06-01SEC Division of Corporation Finance no-action letter: XO Communications, Inc.
• 2004-05-27SEC Division of Corporation Finance no-action letter: Citigroup Inc.
• 2004-05-26Regulation NMS: Proposed rule; extension of comment period and supplemental request for comment
• 2004-05-24SEC Division of Corporation Finance no-action letter: Prague Stock Exchange
• 2004-05-21SEC Staff Letter on Contingent Fees and Auditor Independence for SEC Registrants
• 2004-05-20Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1
• 2004-05-19SEC no-action letter: UCB S.A. exemption from Rules 14d-11 and 14e-5
• 2004-05-19SEC Division of Trading and Markets no-action letter: CNL Retirement Properties, Inc.
• 2004-05-14SEC Division of Trading and Markets no-action letter: San Diego Chapter of the National Association of Investors Corporation
• 2004-05-14SEC Office of the Chief Accountant staff letter: Letter from SEC Chief Accountant to KPMG LLP (UK), Concerning KPMG LLP's separation of legal practices, May 14, 2004
• 2004-05-14SEC Division of Corporation Finance no-action letter: Scitex Corporation Ltd.
• 2004-05-13SEC Division of Corporation Finance no-action letter: Epicor Software Corporation
• 2004-05-11SEC Division of Investment Management staff letter: Medallion Financial Corp.
• 2004-05-10SEC Division of Trading and Markets no-action letter: SABMiller PLC
• 2004-05-10SEC Division of Corporation Finance no-action letter: Galey & Lord, Inc.
• 2004-05-07Certain Thrift Institutions Deemed Not To Be Investment Advisers
• 2004-05-07SEC Division of Corporation Finance no-action letter: Stichting Pensioenfonds ABP
• 2004-05-07SEC no-action letter: Anheuser-Busch Companies, Inc. exemption from Rule 14e-5
• 2004-05-07SEC Office of the Chief Accountant staff letter: Letter from SEC Chief Accountant to Deloitte & Touche LLP, Concerning the Sale by its Member Firms Deloitte Consulting L.P., May 7, 2004
• 2004-05-06SEC Division of Trading and Markets no-action letter: Associated Grocers of Maine, Inc.
• 2004-05-04SEC Division of Corporation Finance no-action letter: AB Electrolux
• 2004-05-03SEC Staff Letter: College Retirement Equities Fund - Buchman
• 2004-05-03SEC Division of Investment Management staff letter: College Retirement Equities Fund - Stone
• 2004-05-03SEC Division of Investment Management staff letter: College Retirement Equities Fund - Fuller
• 2004-04-30SEC Division of Trading and Markets no-action letter: The Pacific Exchange, Inc.
• 2004-04-30Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k)
• 2004-04-30SEC Division of Investment Management staff letter: Man-Glenwood Lexington TEI, LLC and Man-Glenwood Lexington TEI, LDC
• 2004-04-29SEC Division of Corporation Finance no-action letter: Shelbourne Properties I, Inc.
• 2004-04-28SEC no-action letter re europrospectus.com limited and Regulation S
• 2004-04-28SEC Division of Investment Management staff letter: Austraclear Limited
• 2004-04-28SEC Division of Corporation Finance no-action letter: Bolivarian Republic of Venezuela
• 2004-04-27SEC Division of Corporation Finance no-action letter: Lodgian, Inc.
• 2004-04-27SEC Office of the Chief Accountant staff letter: Letter from SEC Chief Accountant to Deloitte Touche Tohmatsu, Concerning Deloitte Touche Tohmatsu's ("DTT") Sale by its Member Firms Deloitte SA and Deloitte Conseil SAS, April 27, 2004
• 2004-04-27SEC Office of the Chief Accountant Guiding Principles Regarding Suspension of Ernst & Young LLP
• 2004-04-23Adoption of Updated EDGAR Filer Manual
• 2004-04-23Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
• 2004-04-22SEC Division of Trading and Markets no-action letter: Songbird Acquisition Limited
• 2004-04-21Use of Form S-8 and Form 8-K by Shell Companies
• 2004-04-13SEC Division of Corporation Finance no-action letter: SERENA Software, Inc.
• 2004-04-02SEC Division of Trading and Markets no-action letter: Inet ECN
• 2004-04-02SEC Division of Trading and Markets no-action letter: OnTrade, Inc.
• 2004-04-01SEC Division of Trading and Markets no-action letter: NexTrade, Inc.
• 2004-04-01SEC Division of Trading and Markets no-action letter: BRUT System
• 2004-04-01SEC Division of Trading and Markets no-action letter: Bloomberg Tradebook
• 2004-04-01SEC Division of Trading and Markets no-action letter: Attain Systems
• 2004-04-01SEC Division of Trading and Markets no-action letter: Track ECN
• 2004-03-31SEC Division of Trading and Markets no-action letter: Popular High Grade Fixed-Income Fund, Inc.
• 2004-03-30SEC Division of Investment Management staff letter: Eaton Vance Special Investment Trust, et al
• 2004-03-30SEC Division of Trading and Markets no-action letter: BLB Investors, L.L.C.
• 2004-03-29SEC Division of Corporation Finance no-action letter: Liberty National Golf Club
• 2004-03-26Covered Securities Pursuant to Section 18 of the Securities Act of 1933
• 2004-03-25First-Time Application of International Financial Reporting Standards; Correction
• 2004-03-23SEC Division of Corporation Finance no-action letter: Weirton Steel Corporation
• 2004-03-23Proposed Rules for EDGAR System: Series and Class Identification for Investment Companies
• 2004-03-22CFR Correction to § 240.17Ad–17
• 2004-03-22SEC Office of the Chief Accountant staff letter: Letter from SEC Office of the Chief Accountant to Deloitte Touche Tohmatsu re: Auditor Independence
• 2004-03-22SEC Division of Trading and Markets no-action letter: National Futures Association
• 2004-03-19SEC Staff Legal Bulletin: SLB 17 - Remote Office Supervision
• 2004-03-19SEC Division of Investment Management staff letter: Gartmore Mutual Funds
• 2004-03-19Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission
• 2004-03-18SEC Division of Corporation Finance no-action letter: Credit Suisse First Boston
• 2004-03-18Securities Transactions Settlement
• 2004-03-18First-Time Application of International Financial Reporting Standards
• 2004-03-18SEC Division of Corporation Finance no-action letter: Russell Corporation
• 2004-03-17Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
• 2004-03-15Staff Accounting Bulletin No. 105
• 2004-03-15SEC Division of Investment Management staff letter: The New Ireland Fund, Inc.
• 2004-03-15SEC Office of the Chief Accountant staff letter: Letter from SEC Chief Accountant to AICPA re: Effective Date Provisions of FASB Interpretation No. 46 With Regard to Foreign Private Issuers
• 2004-03-15SEC Division of Investment Management staff letter: Robert P. Laukat Regarding Tri-Continental Corporation
• 2004-03-15SEC Division of Investment Management staff letter: Tri-Continental Corporation
• 2004-03-11SEC Division of Investment Management staff letter: Enron Corporation
• 2004-03-11SEC Division of Corporation Finance no-action letter: CNL Income Properties, Inc.
• 2004-03-11Mandatory Redemption Fees for Redeemable Fund Securities
• 2004-03-09Regulation NMS
• 2004-03-09SEC Staff Accounting Bulletin: SAB 105
• 2004-03-09Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
• 2004-03-02SEC Division of Corporation Finance no-action letter: Las Sendas Golf Club, Inc.
• 2004-03-01Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports