Securities and Exchange Commission

4,841 documents, newest first — showing 3,601–3,800.

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• 2004-03-01Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
• 2004-03-01Prohibition on the Use of Brokerage Commissions To Finance Distribution
• 2004-02-27Northeast Utilities et al. Application for Authorization Under the Public Utility Holding Company Act of 1935
• 2004-02-25SEC Division of Corporation Finance no-action letter: Banc of America Investors, L.P.
• 2004-02-24SEC Staff Letter on FAS 69 Disclosures for Oil and Gas Producers
• 2004-02-24SEC no-action letter: General Electric Company and GE Investments, Inc.
• 2004-02-19Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies
• 2004-02-17SEC Division of Investment Management staff letter: Cantor Fitzgerald & Company
• 2004-02-12Security Holder Director Nominations
• 2004-02-10SEC Division of Investment Management staff letter: Bonneville Power Administration
• 2004-02-09Competitive Developments in the Options Markets
• 2004-02-09SEC Division of Corporation Finance no-action letter: Pegasus Aircraft Partners, L.P.
• 2004-02-09SEC Division of Corporation Finance no-action letter: Agristar Global Networks, Ltd.
• 2004-02-09SEC Division of Trading and Markets no-action letter: Canary Wharf Group plc
• 2004-02-03SEC Division of Corporation Finance no-action letter: BCP Crystal Acquisition GmbH & Co
• 2004-02-02SEC no-action letter: Boston Stock Exchange, Inc. request for exemption from Rule 11Aa3-2(d) regarding Intermarket Option Linkage Plan fees
• 2004-02-02SEC Division of Trading and Markets no-action letter: Banco Bilbao Vizcaya Argentaria, S.A. for Series B Shares and American Depository Shares of Grupo Financiero BBVA Bancomer, S.A. de C.V.
• 2004-01-30SEC Division of Corporation Finance no-action letter: American Bar Association
• 2004-01-30SEC Division of Corporation Finance no-action letter: Abetterwayhome Corp.
• 2004-01-28SEC Division of Investment Management staff letter: Westford Technology Ventures, L.P.
• 2004-01-27Investment Adviser Codes of Ethics
• 2004-01-27Collection Practices Under Section 31 of the Exchange Act
• 2004-01-27SEC Division of Corporation Finance no-action letter: Hanover Compressor Company
• 2004-01-23Investment Company Governance
• 2004-01-22SEC Division of Corporation Finance no-action letter: Ampco-Pittsburgh Corporation
• 2004-01-20Order Granting Approval to Proposed Rule Change by the Boston Stock Exchange, Inc. Establishing Trading Rules for the Boston Options Exchange Facility
• 2004-01-20SEC Division of Investment Management staff letter: Shee Atika Investments, LLC
• 2004-01-20SEC Staff Legal Bulletin: SLB 16
• 2004-01-16SEC Division of Trading and Markets no-action letter: Republic of Panama
• 2004-01-16Amendments to the Penny Stock Rules
• 2004-01-15SEC Division of Corporation Finance no-action letter: AngloGold Limited
• 2004-01-14SEC Division of Investment Management staff letter: Maxim Series Fund Inc.
• 2004-01-13SEC Division of Investment Management staff letter: First Data Corporation
• 2003-12-29Recordkeeping Requirements for Registered Transfer Agents
• 2003-12-24Disclosure of Breakpoint Discounts by Mutual Funds
• 2003-12-24Compliance Programs of Investment Companies and Investment Advisers
• 2003-12-24Request for Comments on Measures To Improve Disclosure of Mutual Fund Transaction Costs
• 2003-12-23SEC Division of Corporation Finance no-action letter: Pacific Exchange, Inc.
• 2003-12-23Processing Requirements for Cancelled Security Certificates
• 2003-12-23Staff Accounting Bulletin No. 104
• 2003-12-19SEC Division of Investment Management staff letter: Acacia National Life Insurance Company
• 2003-12-19SEC no-action letter: Matsushita Electric Works, Ltd. exemption from Rule 14e-5
• 2003-12-17Amendments to Rules Governing Pricing of Mutual Fund Shares
• 2003-12-17SEC Staff Accounting Bulletin No. 104: Revenue Recognition
• 2003-12-17Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
• 2003-12-09SEC Division of Trading and Markets no-action letter: Wells Real Estate Investment Trust II, Inc.
• 2003-12-05Proposed Amendments to the Rules of Practice and Related Provisions
• 2003-11-28Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors
• 2003-11-25SEC Division of Investment Management staff letter: Evercore METC Investment Inc., et. al.
• 2003-11-21Commission Guidance on Rule 3b-3 and Married Put Transactions
• 2003-11-17Purchases of Certain Equity Securities by the Issuer and Others
• 2003-11-13SEC Division of Investment Management staff letter: Equus Capital Partners L.P.
• 2003-11-07SEC Division of Corporation Finance no-action letter: Marengo Bancshares, Inc.
• 2003-11-07SEC Division of Corporation Finance no-action letter: Martha Stewart Living Omnimedia, Inc.
• 2003-11-06Supervised Investment Bank Holding Companies
• 2003-11-06Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
• 2003-10-31SEC Division of Investment Management staff letter: UBS Securities LLC (f/k/a UBS Warburg LLC)
• 2003-10-31SEC Division of Corporation Finance no-action letter: Lehman Brothers Inc.
• 2003-10-31SEC Division of Corporation Finance no-action letter: Bear, Stearns & Co. Inc.
• 2003-10-31SEC Division of Corporation Finance no-action letter: Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc.
• 2003-10-31SEC Division of Corporation Finance no-action letter: Merrill Lynch, Pierce, Fenner & Smith, Incorporated
• 2003-10-31SEC Division of Investment Management staff letter: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.
• 2003-10-31SEC Division of Investment Management staff letter: Merrill Lynch, Pierce, Fenner & Smith Incorporated
• 2003-10-31SEC Division of Investment Management staff letter: U.S. Bancorp Piper Jaffray Inc.
• 2003-10-31SEC Division of Corporation Finance no-action letter: Morgan Stanley & Co. Incorporated
• 2003-10-31SEC Division of Investment Management staff letter: Bear, Stearns & Co. Inc.
• 2003-10-31SEC Division of Corporation Finance no-action letter: Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation
• 2003-10-31SEC Division of Investment Management staff letter: Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation
• 2003-10-31SEC Division of Investment Management staff letter: Morgan Stanley & Company
• 2003-10-31SEC Division of Corporation Finance no-action letter: J.P. Morgan Securities Inc.
• 2003-10-31SEC Division of Corporation Finance no-action letter: U.S. Bancorp Piper Jaffray Inc.
• 2003-10-31SEC Division of Investment Management staff letter: Lehman Brothers
• 2003-10-31SEC Division of Corporation Finance no-action letter: Goldman, Sachs & Co.
• 2003-10-31SEC Division of Corporation Finance no-action letter: UBS Securities LLC, f/k/a UBS Warburg LLC
• 2003-10-31SEC Division of Investment Management staff letter: Goldman, Sachs & Company
• 2003-10-29SEC Division of Trading and Markets no-action letter: EDX London Limited and OM London Exchange Limited
• 2003-10-29Exemption From Shareholder Approval for Certain Subadvisory Contracts
• 2003-10-24SEC Division of Investment Management staff letter: James DeYoung
• 2003-10-23Security Holder Director Nominations
• 2003-10-21SEC Division of Investment Management staff letter: MTB Group of Funds
• 2003-10-15SEC Division of Investment Management staff letter: Peninsular & Oriental Steam Navigation Company
• 2003-10-15SEC Division of Corporation Finance no-action letter: Microsoft Corporation
• 2003-10-09SEC Division of Corporation Finance no-action letter: Goldman, Sachs & Co.
• 2003-10-09SEC Division of Corporation Finance no-action letter: Hanson PLC, Hanson Building Materials PLC
• 2003-10-09SEC Division of Trading and Markets no-action letter: ING Senior Income Fund
• 2003-10-08SEC Division of Corporation Finance no-action letter: J.P. Morgan Securities Inc.
• 2003-10-08SEC Division of Investment Management staff letter: J.P. Morgan Securities Inc.
• 2003-10-07SEC no-action letter: Alcan, Inc. for Common Shares, ADSs, Bonus Allocation Rights and OCEANEs of Pechiney
• 2003-10-07SEC Division of Corporation Finance no-action letter: Atchison Casting Corporation
• 2003-10-01SEC Division of Corporation Finance no-action letter: Hawaiian Holdings, Inc.
• 2003-10-01Custody of Funds or Securities of Clients by Investment Advisers
• 2003-09-26SEC Division of Trading and Markets no-action letter: Investacorp Group, Inc.
• 2003-09-25SEC Division of Investment Management staff letter: J.P. Morgan Securities Inc.
• 2003-09-23SEC Division of Investment Management staff letter: Tri-State Generation and Transmission Association, Inc., et. al.
• 2003-09-23SEC Division of Trading and Markets no-action letter: Nasdaq Stock Market, Inc.
• 2003-09-17Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts
• 2003-09-17Foreign Bank Exemption From the Insider Lending Prohibition of Exchange Act Section 13(k)
• 2003-09-12SEC Division of Trading and Markets no-action letter: Loffa Interactive Corp., Inc.
• 2003-09-12SEC Division of Trading and Markets no-action letter: Banyu Pharmaceutical Co. Ltd.
• 2003-09-11SEC Division of Corporation Finance no-action letter: Ticket Reserve, Inc.
• 2003-08-29SEC Division of Corporation Finance no-action letter: The Prudential Insurance Company of America
• 2003-08-25SEC no-action letter: Inland Western Retail Real Estate Trust, Inc.
• 2003-08-25SEC Division of Corporation Finance no-action letter: Sprint Corporation
• 2003-08-25SEC Division of Corporation Finance no-action letter: Adolph Coors Company
• 2003-08-22Adoption of Filing Fee Account Rule
• 2003-08-20SEC Division of Corporation Finance no-action letter: UBS PaineWebber, Inc.
• 2003-08-20SEC Division of Trading and Markets no-action letter: Clark Street Capital, Inc.
• 2003-08-20SEC Division of Corporation Finance no-action letter: Mitsui & Co., Ltd.
• 2003-08-19SEC Division of Corporation Finance no-action letter: Deutsche Asset Management, Inc.
• 2003-08-14Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors
• 2003-08-14SEC Division of Corporation Finance no-action letter: CoorsTek, Inc.
• 2003-08-14SEC Division of Trading and Markets no-action letter: Goldman, Sachs & Co.
• 2003-08-13SEC Division of Corporation Finance no-action letter: Medialive International, Inc.
• 2003-08-11SEC Investment Management FAQ: Mutual Fund Customer Identification Program Rule
• 2003-08-06Broker-Dealer Exemption From Sending Certain Financial Information to Customers
• 2003-08-01SEC no-action letter: Edward D. Jones & Co., LP exemption from monthly account statements for automatic dividend reinvestments
• 2003-07-31SEC Division of Corporation Finance no-action letter: Olohana Golf Club, Inc.
• 2003-07-31Adoption of Updated EDGAR Filer Manual
• 2003-07-31Adoption of Updated EDGAR Filer Manual
• 2003-07-30SEC Division of Investment Management staff letter: DTE Heritage, LLC, et. al.
• 2003-07-28SEC Division of Investment Management staff letter: k1 Ventures, et. al.
• 2003-07-24SEC Division of Corporation Finance no-action letter: Journal Company
• 2003-07-22SEC Division of Trading and Markets no-action letter: Trade Web
• 2003-07-17Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments
• 2003-07-17SEC Division of Corporation Finance no-action letter: Hauser, Inc.
• 2003-07-16SEC Division of Corporation Finance no-action letter: Evolve Software, Inc.
• 2003-07-15SEC Division of Investment Management staff letter: France Growth Fund, Inc.
• 2003-07-11SEC Division of Trading and Markets no-action letter: Recording Certain Broker-Dealer Expenses and Liabilities
• 2003-07-10SEC Division of Corporation Finance no-action letter: Prudential Securities Incorporated
• 2003-07-09SEC Division of Investment Management staff letter: Duke Energy Control Area Services, LLC
• 2003-07-08SEC Staff Letter to Ernst & Young re: Audit-Related Fee Classification
• 2003-07-03SEC Division of Investment Management staff letter: Dougherty & Company LCC
• 2003-07-01SEC Division of Trading and Markets no-action letter: Popular Total Return Fund, Inc.
• 2003-06-25SEC Division of Trading and Markets no-action letter: Silver Young Trading LLC
• 2003-06-23SEC Division of Investment Management staff letter: Juniper Capital L.P.
• 2003-06-20Certain Research and Development Companies
• 2003-06-20Recordkeeping Requirements for Registered Transfer Agents
• 2003-06-19SEC Division of Corporation Finance no-action letter: Zimmer Holdings, Inc.
• 2003-06-18Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
• 2003-06-18SEC Division of Corporation Finance no-action letter: Wilmington Trust Company, as Trustee, and AFG Investment Liquidating Trusts
• 2003-06-12SEC Division of Investment Management staff letter: Mercy Investment Program, Inc.
• 2003-06-10Securities and Exchange Commission Rules of Practice Final Rule
• 2003-06-09SEC Division of Corporation Finance no-action letter: PLM Equipment Growth Fund III, Liquidating Trust
• 2003-06-06SEC Division of Investment Management staff letter: Metropolitan Insurance and Annuity Company
• 2003-06-04Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change Concerning Requests for Withdrawal of Certificates by Issuers
• 2003-05-30SEC Division of Corporation Finance no-action letter: ISE Labs, Inc.
• 2003-05-30SEC Division of Trading and Markets no-action letter: The Operating Committee of the Options Linkage Authority
• 2003-05-29Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
• 2003-05-28Improper Influence on Conduct of Audits
• 2003-05-20Request for Comment on Nasdaq Petition Relating to the Regulation of Nasdaq-Listed Securities
• 2003-05-16Staff Accounting Bulletin No. 103, Update of Codification of Staff Accounting Bulletins
• 2003-05-13Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5
• 2003-05-12Electronic Storage of Broker-Dealer Records
• 2003-05-09Customer Identification Programs for Mutual Funds
• 2003-05-09SEC Staff Accounting Bulletin No. 103: Update of Codification of Staff Accounting Bulletins
• 2003-05-09Customer Identification Programs for Broker-Dealers
• 2003-05-07Adoption of Updated EDGAR Filer Manual
• 2003-05-07Notice of Solicitation of Public Views Regarding Possible Changes to the Proxy Rules
• 2003-05-01Commission Statement of Policy Reaffirming the Status of the FASB as a Designated Private-Sector Standard Setter
• 2003-04-30SEC Division of Corporation Finance no-action letter: Hechinger Liquidation Trust
• 2003-04-30SEC Division of Investment Management staff letter: Neuberger Berman Management Inc., et al.
• 2003-04-25SEC Division of Corporation Finance no-action letter: Kingfisher plc
• 2003-04-24SEC no-action letter: Smith & Nephew Group plc and Smith & Nephew plc
• 2003-04-21SEC Division of Investment Management staff letter: Fahnestock & Company Inc.
• 2003-04-21SEC Division of Corporation Finance no-action letter: Northwest Physicians Mutual Insurance Company
• 2003-04-16Standards Relating to Listed Company Audit Committees
• 2003-04-16SEC Division of Corporation Finance no-action letter: Cairo and Alexandria Stock Exchanges
• 2003-04-14Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports; Correction
• 2003-04-09SEC Division of Corporation Finance no-action letter: Royal Precision, Inc.
• 2003-04-08SEC Division of Corporation Finance no-action letter: Physica B.V. and Solvay S.A.
• 2003-04-02Interim Guidance Regarding Form 8-K Item 11 and Item 12 Filing Requirements
• 2003-04-02SEC Division of Corporation Finance no-action letter: Cook Inlet Region, Inc.
• 2003-04-01Request for Comment on the NYSE Petition Relating to Participant Fee Exemptions
• 2003-03-31SEC no-action letter: CBOEdirect Screen Based Trading System application of Rule 11a2-2(T)
• 2003-03-31Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002; Correction
• 2003-03-31Strengthening the Commission's Requirements Regarding Auditor Independence
• 2003-03-31Certification of Disclosure in Certain Exchange Act Reports
• 2003-03-31Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
• 2003-03-28SEC Division of Corporation Finance no-action letter: Six Continents PLC
• 2003-03-28SEC Division of Corporation Finance no-action letter: Merrill Lynch Depositor, Inc.
• 2003-03-27SEC Division of Corporation Finance no-action letter: Mitsubishi Motors Credit of America, Inc.
• 2003-03-25SEC Division of Investment Management staff letter: Tri-Continental Corporation
• 2003-03-25Lost Securityholders; Technical Amendment
• 2003-03-25SEC Division of Corporation Finance no-action letter: Friedman, Billings, Ramsey Group Inc., FBR Asset Investment Corporation, Forest Merger Corporation
• 2003-03-24SEC Division of Corporation Finance no-action letter: IBM Credit LLC
• 2003-03-21SEC Division of Investment Management staff letter: Dougherty & Company LLC
• 2003-03-18SEC Division of Trading and Markets no-action letter: Bion Environmental Technologies, Inc.
• 2003-03-18SEC Division of Corporation Finance no-action letter: Insilco Holding Co.
• 2003-03-18SEC Letter to AICPA re: Auditing Standards-Setting Process
• 2003-03-17Customer Protection-Reserves and Custody of Securities; Delegation of Authority to the Director of the Division of Market Regulation
• 2003-03-13SEC Division of Investment Management staff letter: Fixed Income Clearing Corporation
• 2003-03-12SEC Division of Trading and Markets no-action letter: Large Order Utility System
• 2003-03-11SEC Division of Corporation Finance no-action letter: Barcelona Stock Exchange, Bilbao Stock Exchange, Madrid Stock Exchange and Valencia Stock Exchange
• 2003-03-07SEC Division of Corporation Finance no-action letter: Seagate Removable Storage Solutions Holdings
• 2003-03-06SEC Division of Market Regulation no-action letter regarding Edward Mahaffy
• 2003-03-04ML-Lee Acquisition Fund II, L.P. and ML-Lee Acquisition Fund (Retirement Accounts) II, L.P. No-Action Letter
• 2003-02-28SEC Division of Corporation Finance no-action letter: M/I Schottenstein Homes, Inc.
• 2003-02-28SEC Division of Corporation Finance no-action letter: Headstrong Corporation
• 2003-02-28SEC Staff Letter on Use of Clarifying Language in UK Audit Opinions
• 2003-02-27Regulation Analyst Certification