Other Commission Orders, Notices,
and Information Archives: 2006

Archive of older SEC Commission Orders, Notices and Information available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No.	Date	Details
Fourth Quarter
34-55011	Dec. 27, 2006	NetCoalition (Order Granting Petition for Review and Scheduling Filing of Statements) Comments received are available for this order. Additional Materials: Order Setting Aside Action by Delegated Authority and Approving Proposed Rule Change Relating to NYSE Arca Data (December 2, 2008; Release No. 34-59039) Notice of Proposed Order Approving Proposal by NYSE Arca, Inc. To Establish Fees for Certain Market Data and Request for Comment (June 4, 2008; Release No. 34-57917) NetCoalition Petition for Commission Review (November 14, 2006) NYSEArca Response to NetCoalition.com Notice of Intention to Petition for Review of SR-NYSEArca-2006-21 (November 8, 2006)
33-8764	Dec. 21, 2006	Deutsche Asset Management, Inc., Deutsche Investment Management Americas, Inc., and Deutsche Bank Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3) ) See also:  Administrative Proceedings Release Nos. IA-2575 and 34-54993
34-54948	Dec. 18, 2006	Order Extending Temporary Exemption of Banks from the Definition of “Broker” under Section 3(a)(4) of the Securities Exchange Act of 1934 File No.: S7-12-01 See also:  Federal Register version; Release Nos. 34-54946 and 34-54947
34-54920	Dec. 12, 2006	Broker-Dealer Financial Statement Requirements (Extension of Order under Section 17 of the Exchange Act) See also:  34-52909; 34-50020; 34-48281
33-8757	Dec. 4, 2006	PCAOB (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2007) Other Release No.: 34-54865
34-54757	Nov. 15, 2006	Research Affiliates, LLC: Order Affirming the Denial of Requests for Confidential Treatment
34-54714	Nov. 6, 2006	Order Granting National Securities Exchanges a Limited Exemption from Rule 612 of Regulation NMS under the Securities Exchange Act of 1934 to Permit Acceptance by Exchanges of Certain Sub-Penny Orders
IA-2564	Oct. 26, 2006	Approval of Investment Adviser Registration Depository Filing Fees Effective Date:  November 1, 2006 See also:  NASD letter dated October 13, 2006
PA-37	Oct. 24, 2006	Photographic Files (Privacy Act of 1974: Establishment of a New System of Records: (SEC-54) File No.: S7-17-06 Effective Date:  December 11, 2006 Comments Due:  November 30, 2006 Comments received are available for this notice.  Submit comments on S7-17-06
34-54633	Oct. 20, 2006	Notice of Intention to Cancel Registrations of Certain Transfer Agents Notifications Due:  November 27, 2006
Third Quarter
33-8746	Sep. 28, 2006	Deutsche Investment Management Americas, Inc., Deutsche Asset Management, Inc., and Scudder Distributors Inc. (Order Granting Waiver of the Disqualification Provision) File No.: 3-12442 See also:  Release No. 34-54529
33-8743	Sep. 26, 2006	Request for Public Comment in Connection with Forum on Small Business Capital Formation Other Release No.: 34-54519 File No.: 4-526 Comments Due:  October 15, 2006 Comments received are available for this notice.  Submit comments on 4-526
33-8742	Sep. 26, 2006	BISYS Fund Services, Inc. (Order Granting Waiver of the Disqualification Provisions) Other Release No.: 34-54513 File No.: 3-12432 See also:  Release No. IA-2554
33-8739	Sep. 7, 2006	The Dreyfus Corporation (Order Granting Waiver of the Disqualification Provision) File No.: 3-12413 See also:  Release No. IA-2549
33-8738	Sep. 1, 2006	Regulatory Flexibility Agenda Additional Release Nos.:  34-54400, 39-2443, IA-2544, IC-27476 File No.: S7-15-06 Comments Due:  Comments should be received on or before December 29, 2006  Submit comments on S7-15-06
34-54396	Aug. 31, 2006	Philadelphia Stock Exchange Fingerprinting Plan (Declaration of Effectiveness)
33-8734	Aug. 28, 2006	Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. (Order Granting Waivers of the Disqualification Provisions) See also:  Release No. 34-54371
33-8733	Aug. 28, 2006	Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. (Order Granting a Waiver of the Disqualification Provision) See also:  Release No. 34-54371
34-54308	Aug. 11, 2006	Order Regarding Alternative Net Capital Computation For Citigroup Global Markets Inc.
34-54240	Jul. 31, 2006	Nasdaq (In the Matter of the Application of The Nasdaq Stock Market, Inc. and The NASDAQ Stock Market LLC For Section 12(b) Registration On Behalf Of Certain Issuers) See also: Request for Relief from § 12 of the Securities Exchange Act of 1934
Second Quarter
34-54085	Jun. 30, 2006	Nasdaq Stck Market LLC (Order Modifying a Condition to Operation as a National Securities Exchange)
34-54077	Jun. 30, 2006	Marketing, sale and delivery of financial products, accounts, programs and services to investor (Request for Information / Draft Solicitation) Comments received are available for this notice. See also: Release Nos. 34-51523 and 34-53406
34-54063	Jun. 28, 2006	De Minimis Exemption (Order Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds from the Trade-Through Provisions of the Intermarket Trading System)
34-53908	May 31, 2006	Fingerprint Plan of the NASDAQ Stock Market LLC (Declaration of Effectiveness)
33-8711	May 31, 2006	SunTrust Capital Markets Inc. and Suntrust Banks, Inc. (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53902 File No.: 3-12310
33-8710	May 31, 2006	Wachovia Capital Markets, LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53901 File No.: 3-12310
33-8709	May 31, 2006	Piper Jaffray & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53900 File No.: 3-12310
33-8708	May 31, 2006	Morgan Keegan & Company, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53899 File No.: 3-12310
33-8707	May 31, 2006	A.G. Edwards & Sons, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53898 File No.: 3-12310
33-8706	May 31, 2006	Banc of America Securities LLC and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53897 File No.: 3-12310
33-8705	May 31, 2006	RBC Dain Rauscher Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53896 File No.: 3-12310
33-8704	May 31, 2006	Morgan Stanley and Its Subsidiaries and Collective Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53895 File No.: 3-12310
33-8703	May 31, 2006	Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch, Pierce, Fenner & Smith & Co., Incorporated (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53894 File No.: 3-12310
33-8702	May 31, 2006	Lehman Brothers Inc. and Lehman Brothers Holdings Inc., and Their Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53893 File No.: 3-12310
33-8701	May 31, 2006	J.P. Morgan Securities, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53892 File No.: 3-12310
33-8700	May 31, 2006	Goldman, Sachs & Co. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53891 File No.: 3-12310
33-8699	May 31, 2006	Citigroup Global Markets, Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53890 File No.: 3-12310
33-8698	May 31, 2006	Bear, Stearns & Co. Inc. and Its Affiliates (Order Granting Waivers of the Disqualification Provisions) Other Release No.: 34-53889 File No.: 3-12310
33-8697	May 31, 2006	Wachovia Capital Markets, LLC (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8696	May 31, 2006	Piper Jaffray & Co. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8695	May 31, 2006	Morgan Keegan & Company, Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8694	May 31, 2006	A.G. Edwards & Sons, Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8693	May 31, 2006	Banc of America Securities LLC (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8692	May 31, 2006	RBC Dain Rauscher (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8691	May 31, 2006	Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8690	May 31, 2006	Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8689	May 31, 2006	Lehman Brothers Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8688	May 31, 2006	J.P. Morgan Securities, Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8687	May 31, 2006	Goldman, Sachs & Co. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8686	May 31, 2006	Citigroup Global Markets, Inc. (Order Granting a Waiver of The Disqualification Provision) File No.: 3-12310
33-8685	May 31, 2006	Bear, Stearns & Co. Inc. (Order Granting a Waiver of the Disqualification Provision) File No.: 3-12310
PA-36	May 24, 2006	Office of Inspector General Investigative Files) (Notice of alterned system of records) File No.: S7-09-06 Comments Due:  July 3, 2006 Submit comments on s7-09-06
34-53851	May 23, 2006	Clearstream Banking, S.A. (Notice of Filing to Continue Exemption from Clearing Agency Registration) Other Release No.: International Series Release No.: 1296 File No.: 600-29 Comments Due: June 21, 2006 Submit comments on File No. 600-29
34-53828	May 18, 2006	Regulation NMS (Order Granting Exemption from Compliance) See also: Spotlight on Regulation NMS
33-8683	May 17, 2006	Morgan Stanley & Co., Inc. (Order Granting Waiver of the Disqualification Provisions)
34-53751	May 2, 2006	Fingerprint Plan of the National Association of Securities Dealers, Inc. (Declaration of Effectiveness)
33-8681	Apr. 28, 2006	Fee Rates (Order Making Fiscal Year 2007 Annual Adjustments to the Fee Rates Applicable) Other Release No.: 34-53737
34-53684	Apr. 20, 2006	Regulation SHO (Order Extending Term of Short Sale Pilot)
33-8677	Apr. 13, 2006	FASB (Order Regarding Review of Financial Accounting Standards Board Accounting Support Fee for 2006) Other Release No.: 34-53642
33-8676	Apr. 13, 2006	PCAOB (Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2006) Other Release No.: 34-53641
34-53623	Apr. 10, 2006	NASDAQ (Order Approving Minor Rule Violation Plan) File No.: 4-514
33-8674	Apr. 4, 2006	Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.: 34-53595 File No.: 265-23 Comments received are available for this notice. Comments Due: April 16, 2006
First Quarter
No release number	Mar. 31, 2006	NASDAQ (Request for Modification of Order) See also: Release No. 34-53128
34-53581	Mar. 31, 2006	Peoples Financial Corporation (Order Granting Application) File No.: 81-935
33-8672	Mar. 20, 2006	Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.: 34-53515 File No.: 265-23 Comments received are available for this notice. Comments Due: April 5, 2006
34-53467	Mar. 10, 2006	Peoples Financial Corporation (Notice of Application) File No.: 81-935 Comments Due: March 30, 2006
34-53428	Mar. 7, 2006	The Nasdaq Stock Market LLC (Notice of Filing Proposed Minor Rule Violation Plan) File No.: 4-514 Comments Due: April 6, 2006 Submit comments on File No. 4-514
34-53406	Mar. 3, 2006	Notice of Broker-Dealer/Investment Adviser Study Other Release No.: IA-2492 See also: Final Rule, Rel. No. 34-51523
33-8666	Feb. 28, 2006	Securities and Exchange Commissions Advisory Committee on Smaller Public Companies (Request for Public Comment) File Nos.: 34-53385, File No. 265-23 Comments received are available for this notice. Comments Due: April 3, 2006
33-8663	Feb. 27, 2006	Regulatory Flexibility Agenda Other Release Nos.:   34-53374, 39-2442, IA-2490, IC-27230 File No.: S7-05-06 Comments Due: July 30, 2006
34-53360	Feb. 24, 2006	Roundtable on Internal Control Reporting Requirements File No.: 4-511 Comments received are available for this notice.
33-8661	Feb. 21, 2006	American International Group, Inc. (Order Granting a Waiver of the Disqualification Provisions)
34-53231	Feb. 6, 2006	Dominic A. Alvarez (Order Scheduling Briefs and Denying Confidential Treatment)
33-8659	Feb. 1, 2006	Notice of Meeting of SEC Advisory Committee on Smaller Public Companies Other Release No.:   34-53204 File No.: 265-23 Comments received are available for this notice.
PA-35	Jan. 31, 2006	Automated Emergency Notification System (Establishment of a New System of Records: File No.: S7-04-06 Effective Date: March 20, 2006 Comments Due: March 8, 2006
No release number	Jan. 20, 2006	Classified National Security Information
PA-34	Jan. 18, 2006	Visitor Badge and Employee Day Pass System (Establishment of a New System of Records) File No.: S7-02-06 Effective Date: March 6, 2006 Comments Due: February 23, 2006
34-53128	Jan. 13, 2006	Application of The Nasdaq Stock Market LLC for Registration as a National Securities Exchange File No.: 10-131 See also: Release No. 34-52599
34-53060	Jan. 5, 2006	Board of Trade of the City of Chicago, Inc. (Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange) File No.: 10-137

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