Securities and Exchange Commission

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• 2003-02-26SEC Division of Corporation Finance no-action letter: Wilmington Trust Company et al
• 2003-02-25SEC Division of Corporation Finance no-action letter: Crown, Cork & Seal Company, Inc.
• 2003-02-24Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
• 2003-02-20SEC Division of Corporation Finance no-action letter: Millers Mutual Insurance Association
• 2003-02-20Custody of Investment Company Assets With a Securities Depository
• 2003-02-19Proposed Amendments to Rules of Practice for Administrative Proceedings
• 2003-02-11Compliance Programs of Investment Companies and Investment Advisers
• 2003-02-07Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
• 2003-02-07Proxy Voting by Investment Advisers
• 2003-02-06Implementation of Standards of Professional Conduct for Attorneys
• 2003-02-06Implementation of Standards of Professional Conduct for Attorneys
• 2003-02-05Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements and Aggregate Contractual Obligations
• 2003-02-05Strengthening the Commission’s Requirements Regarding Auditor Independence
• 2003-02-04SEC no-action letter: Tuition Plan Consortium, LLP
• 2003-02-03Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms; Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
• 2003-01-31Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
• 2003-01-30Conditions for Use of Non-GAAP Financial Measures
• 2003-01-30SEC Division of Corporation Finance no-action letter: Landwirtschaftliche Rentenbank — Federal Republic of Germany
• 2003-01-30SEC Division of Investment Management staff letter: Lincoln National Life Insurance & Lincoln Financial Advisors
• 2003-01-30SEC Division of Corporation Finance no-action letter: Milwaukee Mutual Insurance Company
• 2003-01-30Retention of Records Relevant to Audits and Reviews
• 2003-01-29SEC Division of Corporation Finance no-action letter: Constellation Brands, Inc.
• 2003-01-28Insider Trades During Pension Fund Blackout Periods
• 2003-01-23SEC Investment Management FAQ: Regulation S-P
• 2003-01-22Transactions of Investment Companies With Portfolio and Subadviser Affiliates
• 2003-01-17Standards Relating to Listed Company Audit Committees
• 2003-01-10SEC Division of Corporation Finance no-action letter: Accenture Ltd
• 2003-01-09SEC Division of Investment Management staff letter: Constellation Financial Management LLC
• 2003-01-02Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
• 2003-01-02Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies; Proposed Rule
• 2002-12-27Repeal of the Trade-Through Disclosure Rules for Options
• 2002-12-27Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5
• 2002-12-23SEC Order Granting Application: Algoma Steel Inc.
• 2002-12-23SEC Division of Investment Management staff letter: Allstate Life Insurance Company
• 2002-12-20SEC Division of Corporation Finance no-action letter: Mooney Aerospace Group, Ltd.
• 2002-12-20SEC Division of Investment Management staff letter: Sun Life Insurance and Annuity Company of New York, et al.
• 2002-12-19SEC Division of Corporation Finance no-action letter: Gilat Satellite Networks Ltd.
• 2002-12-18Exemption for Certain Investment Advisers Operating Through the Internet
• 2002-12-18Rule 10b-18 and Purchases of Certain Equity Securities by the Issuer and Others
• 2002-12-13Strengthening the Commission's Requirements Regarding Auditor Independence
• 2002-12-12SEC Division of Investment Management staff letter: AAL Mutual Funds, et al.
• 2002-12-03Certain Research and Development Companies
• 2002-12-03Broker-Dealer Exemption from Sending Certain Financial Information to Customers
• 2002-12-02Implementation of Standards of Professional Conduct for Attorneys
• 2002-11-27Retention of Records Relevant to Audits and Reviews
• 2002-11-21SEC Division of Investment Management staff letter: USB Global Asset Management (US), Inc.
• 2002-11-19Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts
• 2002-11-18SEC Division of Corporation Finance no-action letter: AT&T Comcast Corporation
• 2002-11-15Insider Trades During Pension Fund Blackout Periods
• 2002-11-13SEC Division of Corporation Finance no-action letter: Bank of America, N.A.
• 2002-11-13SEC Division of Corporation Finance no-action letter: PayPal, Inc.
• 2002-11-12SEC Division of Corporation Finance no-action letter: NOMOS Corporation
• 2002-11-12SEC Division of Trading and Markets no-action letter: Nasdaq Stock Market, Inc.
• 2002-11-08SEC Division of Corporation Finance no-action letter: Intrawest Corporation
• 2002-11-08Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements, Contractual Obligations and Contingent Liabilities and Commitments
• 2002-11-07SEC Division of Trading and Markets no-action letter: The Island ECN
• 2002-11-05Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
• 2002-11-01SEC no-action letter regarding Treasury FITR Exchange Traded Funds
• 2002-11-01SEC Division of Trading and Markets no-action letter: Instinet Corporation
• 2002-10-30Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
• 2002-10-30SEC Division of Investment Management staff letter: Lindbergh Funds
• 2002-10-24Improper Influence on Conduct of Audits
• 2002-10-21SEC no-action letter: Fresco Index Shares Funds
• 2002-10-18SEC Division of Investment Management staff letter: Frank Russell Investment Company, et al.
• 2002-10-15SEC Division of Corporation Finance no-action letter: DataCard Corporation
• 2002-10-14SEC Division of Trading and Markets no-action letter: Pepsi Bottling Group, Inc., Bottling Group LLC and PBG Grupo Embotellador Hispano-Mexicano S.L.
• 2002-10-07SEC Division of Investment Management staff letter: Honeywell International Inc Savings Plan Trust
• 2002-09-26Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
• 2002-09-26Proxy Voting By Investment Advisers
• 2002-09-24CFR Correction to 17 CFR Part 240
• 2002-09-23Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products
• 2002-09-20SEC Division of Corporation Finance no-action letter: Communicator Inc
• 2002-09-16Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports
• 2002-09-13Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
• 2002-09-13Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
• 2002-09-12SEC Division of Corporation Finance no-action letter: Serono S.A.
• 2002-09-10SEC Division of Investment Management staff letter: Manufacturers Adviser Corp
• 2002-09-10SEC no-action letter: Koninklijke Ahold N.V. tender offer for Santa Isabel S.A.
• 2002-09-09Certification of Disclosure in Companies' Quarterly and Annual Reports
• 2002-09-09Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms
• 2002-09-09SEC Division of Trading and Markets no-action letter: Popular High Grade Fixed-Income Fund
• 2002-09-06SEC Division of Corporation Finance no-action letter: Channel Islands Stock Exchange
• 2002-09-03Ownership Reports and Trading by Officers, Directors and Principal Security Holders
• 2002-08-29SEC no-action letter: DB Sechste Vermögensverwaltungsgesellschaft mbH for Stinnes AG
• 2002-08-23SEC Division of Corporation Finance no-action letter: Allstate Life Insurance Company
• 2002-08-23SEC Division of Corporation Finance no-action letter: CarMax, Inc.
• 2002-08-23SEC Division of Corporation Finance no-action letter: ConocoPhillips
• 2002-08-21SEC Division of Investment Management staff letter: Gulf Coast Venture Forum, Inc.
• 2002-08-20SEC Division of Trading and Markets no-action letter: Securities Industry Association and Futures Industry Association
• 2002-08-14SEC Division of Trading and Markets no-action letter: Scripophily.com
• 2002-08-14Customer Margin Rules Relating to Security Futures
• 2002-08-14SEC Division of Trading and Markets no-action letter: Headway Corporate Staff Administration
• 2002-08-13SEC Division of Corporation Finance no-action letter: Medco Health Solutions, Inc.
• 2002-08-09SEC Division of Corporation Finance no-action letter: Nationwide Financial Services, Inc. and Provident Mutual Life Insurance Company
• 2002-08-08Regulation Analyst Certification
• 2002-08-08Certification of Disclosure in Companies' Quarterly and Annual Reports
• 2002-08-08SEC Division of Trading and Markets no-action letter: Market XT
• 2002-08-06SEC Division of Investment Management staff letter: PIMCO Funds: Multi-Manager Series
• 2002-08-01Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
• 2002-08-01SEC Division of Corporation Finance no-action letter: Alliance Capital Management Holding L.P. et al.
• 2002-07-29SEC Division of Corporation Finance no-action letter: Saipem SpA
• 2002-07-26SEC Division of Corporation Finance no-action letter: Accredited Home Lenders, Inc.
• 2002-07-25Custody of Funds or Securities of Clients by Investment Advisers
• 2002-07-25SEC Division of Corporation Finance no-action letter: Centre Solutions Limited
• 2002-07-25SEC Division of Corporation Finance no-action letter: Laclede Steel Company
• 2002-07-24Investment Company Mergers
• 2002-07-23Customer Identification Programs For Broker-Dealers
• 2002-07-23SEC Division of Trading and Markets no-action letter: Nasdaq Stock Market, Inc.
• 2002-07-23Customer Identification Programs for Mutual Funds
• 2002-07-23SEC Division of Corporation Finance no-action letter: XL Capital Assurance, Inc.
• 2002-07-16SEC no-action letter: Armstrong World Industries, Inc. - Trustee Conflict of Interest Exemption
• 2002-07-16SEC Division of Corporation Finance no-action letter: Pae Tec Corp.
• 2002-07-15SEC Division of Investment Management staff letter: ReFlow Fund, LLC
• 2002-07-15SEC no-action letter: iShares Trust fixed income index funds
• 2002-07-12SEC Division of Corporation Finance no-action letter: Federal National Mortgage Association
• 2002-07-12Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
• 2002-07-12SEC Staff Legal Bulletin: SLB 14A
• 2002-07-10SEC Division of Investment Management staff letter: Thomson Financial Inc.
• 2002-07-09SEC no-action letter regarding American Stock Exchange Auto-Ex System and Rule 11a2-2(T)
• 2002-07-09SEC Division of Investment Management staff letter: PIMCO Funds
• 2002-07-09SEC Division of Corporation Finance no-action letter: Madison Dearborn Partners, LLC
• 2002-07-08SEC Division of Trading and Markets no-action letter: Kentucky Public Employees' Deferred Compensation Authority
• 2002-07-08SEC Division of Investment Management staff letter: ING Bank, N.V.
• 2002-07-05Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process
• 2002-07-03SEC Division of Corporation Finance no-action letter: SWX Swiss Exchange
• 2002-06-28SEC Division of Corporation Finance no-action letter: Exxon Mobil Corp.
• 2002-06-28Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act
• 2002-06-28SEC Division of Corporation Finance no-action letter: Opticon Medical Inc.
• 2002-06-27Commission Guidance on Application of Securities Act and Exchange Act Provisions to Trading in Security Futures Products
• 2002-06-27SEC Division of Corporation Finance no-action letter: Grupo TMM, S.A. de C.V.
• 2002-06-26SEC Division of Corporation Finance no-action letter: J.P. Morgan Chase & Co and other Affiliates
• 2002-06-25SEC Division of Corporation Finance no-action letter: Weatherford International
• 2002-06-25SEC Division of Corporation Finance no-action letter: Cobalt Group Inc.
• 2002-06-25Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
• 2002-06-24SEC Division of Corporation Finance no-action letter: Financement Quebec
• 2002-06-21SEC Division of Corporation Finance no-action letter: Burnham Pacific Properties, Inc.
• 2002-06-20Certification of Disclosure in Companies' Quarterly and Annual Reports
• 2002-06-17SEC Division of Corporation Finance no-action letter: Tuition Account Investment PR
• 2002-06-14SEC Division of Corporation Finance no-action letter: General Maritime Corp.
• 2002-06-10Customer Protection-Reserves and Custody of Securities
• 2002-06-10Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
• 2002-06-05Repeal of Options Trade-Through Disclosure Rule
• 2002-06-04SEC Division of Trading and Markets no-action letter: SelectNet and SuperMontage
• 2002-06-04SEC Division of Corporation Finance no-action letter: Ashanti Goldfields Company Limited
• 2002-05-29SEC Division of Corporation Finance no-action letter: Xyratex PLC
• 2002-05-28SEC Division of Trading and Markets no-action letter: Swiss American Securities Inc. and Streetline, Inc.
• 2002-05-24Mandated EDGAR Filing For Foreign Issuers
• 2002-05-24SEC Division of Corporation Finance no-action letter: Arch Wireless Inc.
• 2002-05-24Cash Settlement and Regulatory Halt Requirements for Security Futures Products
• 2002-05-22SEC Division of Corporation Finance no-action letter: Government of Jamaica
• 2002-05-20Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies
• 2002-05-16SEC Division of Trading and Markets no-action letter: RAES System
• 2002-05-15SEC Division of Corporation Finance no-action letter: Intergraph Corp.
• 2002-05-10SEC Division of Investment Management staff letter: Merrill Lynch Investment Managers
• 2002-05-09SEC Division of Investment Management staff letter: Mutual Fund Directors Forum
• 2002-05-09SEC Division of Corporation Finance no-action letter: MWH Global Inc.
• 2002-05-08SEC Division of Corporation Finance no-action letter: Marriott Residence Inn II Limited Partnership
• 2002-05-08Transactions of Investment Companies With Portfolio and Subadvisory Affiliates
• 2002-05-08Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
• 2002-05-07Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting From Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
• 2002-05-06Delegation of Authority to the Secretary of the Commission
• 2002-05-06SEC Division of Corporation Finance no-action letter: Panatone Finvest Ltd
• 2002-04-30SEC Division of Corporation Finance no-action letter: Nabors Industries, Inc.
• 2002-04-30SEC Division of Investment Management staff letter: American Enterprise Life Insurance Company
• 2002-04-30SEC Division of Corporation Finance no-action letter: Gen Probe Inc/Chugai Pharmaceutical Co., Ltd.
• 2002-04-26SEC Division of Investment Management staff letter: General Electric Capital Corporation
• 2002-04-23Amendment to Definition of Equity Security
• 2002-04-23Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts
• 2002-04-23Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
• 2002-04-23Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies
• 2002-04-23SEC Order Granting Application: USG Corporation
• 2002-04-23Proposed Rule: Form 8-K Disclosure of Certain Management Transactions
• 2002-04-19Exemption for Certain Investment Advisers Operating Through the Internet
• 2002-04-15SEC Division of Trading and Markets no-action letter: AUTOM System
• 2002-04-09SEC Division of Trading and Markets no-action letter: Maine Securities Regulator
• 2002-04-03SEC Division of Investment Management staff letter: Ballard Spahr Andrews & Ingersoll, LLP
• 2002-04-02SEC no-action letter regarding NASD Order Audit Trail Rules 6950 through 6957 application to Bloomberg Tradebook and B-Trade
• 2002-04-01SEC Division of Corporation Finance no-action letter: Neogenesis Pharmaceuticals, Inc.
• 2002-04-01SEC Division of Trading and Markets no-action letter: BRUT System
• 2002-03-29SEC Division of Trading and Markets no-action letter: Instinet Real-Time Trading Services
• 2002-03-29SEC Division of Trading and Markets no-action letter: MarketXT
• 2002-03-29SEC Division of Trading and Markets no-action letter: Track ECN
• 2002-03-29SEC Division of Trading and Markets no-action letter: REDI System
• 2002-03-29SEC Division of Trading and Markets no-action letter: Island System ECN
• 2002-03-29SEC Division of Trading and Markets no-action letter: GlobeNet Trading System
• 2002-03-22Requirements for Arthur Andersen LLP Auditing Clients
• 2002-03-22SEC Division of Corporation Finance no-action letter: RWE Aktiengesellschaft
• 2002-03-19SEC Division of Corporation Finance no-action letter: CGNU plc
• 2002-03-19SEC Division of Trading and Markets no-action letter: Biotech Boxes
• 2002-03-11SEC Division of Investment Management staff letter: MuniYield Insured Fund, Inc.
• 2002-03-05SEC Division of Trading and Markets no-action letter: Telex-Chile, S.A.
• 2002-03-05SEC no-action letter regarding Southern Cross' partial offer for shares and ADSs of Telex-Chile S.A.
• 2002-02-28SEC Division of Corporation Finance no-action letter: Nordstrom.com, LLC
• 2002-02-26SEC Division of Corporation Finance no-action letter: RBC Centura Banks, Inc.
• 2002-02-20SEC Division of Corporation Finance no-action letter: Marriott Residence Inn Limited Partnership
• 2002-02-14SEC Division of Corporation Finance no-action letter: Deutsche Bank AG
• 2002-02-13SEC Division of Corporation Finance no-action letter: InFlowGroup, Inc.
• 2002-02-13SEC Chief Accountant Letter to ASB re: Auditors' Roles in Helping To Structure Transactions
• 2002-02-13SEC Division of Investment Management staff letter: Evergreen Investment Management Company, LLC
• 2002-02-12SEC Division of Investment Management staff letter: AIM Advisors, Inc.