Other Commission Orders, Notices,
and Information Archives: 2007

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
34-57039	Dec. 21, 2007	JPMorgan Securities Inc. (Order Regarding Alternative Net Capital Computation for JPMorgan Securities Inc.)
34-57031	Dec. 21, 2007	Egan-Jones Rating Company (Order Granting Registration of Egan-Jones Rating Company as a Nationally Recognized Statistical Rating Organization)
33-8874	Dec. 19, 2007	Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-56989 File No.:  265-24 Comments Due:  January 4, 2008
33-8873	Dec. 18, 2007	Order Approving Public Company Accounting Oversight Board Budget And Annual Accounting Support Fee For Calendar Year 2008 Other Release No.:  34-56986
39-2450	Nov. 26, 2007	Grupo Iusacell Celular, S.A. de C.V. (Order Granting Application for Exemption) File No.:  22-28859 See also:  Notice: Rel. No. 39-2449
34-56779	Nov. 9, 2007	Notice of Application of the National Association of Realtors for Exemptive Relief under Sections 15 and 36 of the Exchange Act and Request for Comment File No.:  S7-26-07 See also:  NAR’S Application Comments Due:  December 17, 2007 Comments received are available for this notice.  Submit comments on S7-26-07
39-2449	Oct. 15, 2007	Grupo Iusacell Celular, S.A. de C.V. (Application and Opportunity for Hearing) File No.:  22-28859 Hearing Requests Due:  November 14, 2007 See also:  Order: Rel. No. 39-2450
34-56638	Oct. 10, 2007	Stephen Anthony Englese (Order Approving Application for Relief From a Statutory Disqualification)
33-8856	Oct. 5, 2007	Notice of Meeting of SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-56624 File No.:  265-24 Comments Due:  October 26, 2007 Comments received are available for this notice.
Third Quarter
33-8853	Sep. 28, 2007	AIG SunAmerica Life Assurance Company, f/k/a Anchor National Life Insurance Company (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act) Other Release No.:  34-56570
34-56534	Sep. 26, 2007	Public Alert: Unregistered Soliciting Entities ("PAUSE") Program Other Release No.:  IA-2658 File No.:  S7-24-07 Comments Due:  November 1, 2007
34-56521	Sep. 25, 2007	Gerdine & Associates (Order Cancelling the Registration of a Transfer Agent)
34-56513	Sep. 24, 2007	Standard & Poor's Ratings Services (Order Granting Registration of Standard & Poor's Ratings Services as a Nationally Recognized Statistical Rating Organization)
34-56512	Sep. 24, 2007	Rating and Investment Information, Inc. (Order Granting Registration of Rating and Investment Information, Inc. as a Nationally Recognized Statistical Rating Organization)
34-56511	Sep. 24, 2007	Moody's Investors Service, Inc. (Order Granting Registration of Moody's Investors Service, Inc. as a Nationally Recognized Statistical Rating Organization)
34-56510	Sep. 24, 2007	Japan Credit Rating Agency, Ltd. (Order Granting Registration of Japan Credit Rating Agency, Ltd. as a Nationally Recognized Statistical Rating Organization)
34-56509	Sep. 24, 2007	Fitch, Inc. (Order Granting Registration of Fitch, Inc. as a Nationally Recognized Statistical Rating Organization)
34-56508	Sep. 24, 2007	DBRS Limited (Order Granting Registration of DBRS Limited as a Nationally Recognized Statistical Rating Organization)
34-56507	Sep. 24, 2007	A.M. Best Company, Inc. (Order Granting Registration of A.M. Best Company, Inc. as a Nationally Recognized Statistical Rating Organization)
33-8843	Sep. 19, 2007	Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc. and Wachovia Securities, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8842	Sep. 19, 2007	Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia Securities, LLC (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-56463
33-8840	Sep. 11, 2007	Regulatory Flexibility Agenda Other Release Nos.:  34- 56387, IA-2645, IC-27967 File Nos.:  S7-21-07 Comments Due:  December 31, 2007
33-8836	Aug. 21, 2007	Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting Other Release No.:  34-56293 File No.:  265-24 Federal Register version Comments Due:  September 24, 2007 Comments received are available for this notice.
33-8835	Aug. 15, 2007	Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation) (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act as to Hewlett-Packard Company) Other Release No.: 34-56260
Second Quarter
34-55991	Jun. 29, 2007	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
33-8817	Jun. 27, 2007	Notice of Federal Advisory Committee Establishment and Notice of Meeting Other Release No.:  34-55969 File No.:  265-24 Federal Register version Comments received are available for this notice. See also:  Advisory Committee Charter
33-8816	Jun. 25, 2007	John Hancock Investment Management Services, LLC, John Hancock Distributors LLC, John Hancock Advisers, LLC and John Hancock Funds, LLC (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-55947 File No.:  3-12664 See also:  Release No. 34-55946
34-55920	Jun. 18, 2007	Fixed Income Clearing Corporation (Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency) File No.:  600-23 Comments Due:  July 18, 2007
33-8808	Jun. 8, 2007	Barclays Bank PLC (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934 Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-55889
33-8807	Jun. 8, 2007	Barclays Bank PLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) Disqualification Provision)
34-55791	May 22, 2007	Christopher Lee LaPorte (Order Approving Application for Relief from a Statutory Disqualification)
34-55757	May 14, 2007	Thomas DeGironimo (Order Approving Application for Relief from a Statutory Disqualification)
33-8802	May 9, 2007	Morgan Stanley & Co. Incorporated (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934 Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-55727
33-8801	May 9, 2007	Morgan Stanley & Co. Incorporated (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
33-8800	May 7, 2007	Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-55713
33-8799	May 7, 2007	Citigroup Global Markets, Inc., successor by merger to Legg Mason Wood Walker Inc. (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Disqualification Provision of Rule 602(c)(3))
34-55691	May 2, 2007	Laris Milonas (Order Approving Application for Relief from a Statutory Disqualification)
33-8797	May 2, 2007	A.G. Edwards & Sons, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934 Granting a Waiver of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-55694
33-8796	May 2, 2007	A.G. Edwards & Sons, Inc. (Order Under Rule 602(e) Under the Securities Act of 1933 Granting a Waiver of the Disqualification Provision of Rule 602(C)(3))
33-8794	Apr. 30, 2007	Fee Rates (Order Making Fiscal Year 2008 Annual Adjustments to the Fee Rates Applicable) Other Release No.: 34-55682
33-8792	Apr. 19, 2007	Tenet Healthcare Corporation (Order Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act) Other Release No.:  34-55649
34-55601	Apr. 9, 2007	Harry M. Richardson (Order Approving Application for Relief From a Statutory Disqualification)
First Quarter
33-8789	Mar. 14, 2007	Order Regarding Review of FASB Accounting Support Fee for 2007 Under Section 109 of the Sarbanes-Oxley Act of 2002 Other Release No.:  34-55469
33-8786	Mar. 13, 2007	Roundtable on Interactive Data: Creating Interactive Data to Serve Investors (Notice of Roundtable Meeting) Other Release No.:  34-55456 File No.:  4-515 See also:  Spotlight On: Interactive Data and XBRL Initiatives
33-8783	Mar. 5, 2007	Regulatory Flexibility Agenda Other Release Nos.:  34-55396, IA-2596, IC-27746 File No.:  S7-07-07 Comments Due:  June 30, 2007 Federal Register version published April 30, 2007.
33-8782	Feb. 26, 2007	Roundtable on International Financial Reporting Standards "Roadmap" Other Release No.:  34-55350 File No.:  4-532
34-55220	Feb. 1, 2007	Order Cancelling Registrations of Certain Transfer Agents
34-55207	Jan. 31, 2007	Order Approving Amendment to Add the International Securities Exchange LLC as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS File No.:  4-518
34-55165	Jan. 25, 2007	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)
33-8775	Jan. 23, 2007	Pacific Growth Equities, LLC (Order Granting a Waiver of the Disqualification Provision of Rule 602(c)(3)) File No.:  3-12543 See also:  Release No. 34-55148
PA-38	Jan. 11, 2007	Privacy Act of 1974: Notice of Alteration to Two Existing Systems of Records File No.:  S7-02-07 Effective Date:  February 26, 2007 Comments Due:  February 16, 2007
33-8770	Jan. 9, 2007	Wilmington Trust Company (Order Granting Waiver of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-55066 File No.:  3-12526 See also:  Release No. 33-8767
33-8769	Jan. 9, 2007	The Bank Of New York (Order Granting Waiver of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-55065 File No.:  3-12526 See also:  Release No. 33-8767
33-8768	Jan. 9, 2007	Deutsche Bank Trust Company Americas (Order Granting Waiver of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-55064 File No.:  3-12526 See also:  Release No. 33-8767

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