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SEC
SECDocs 6/2/2008 | 0 (0) | 10 | 0 | 0 | English
Staff Report: Review of the Proxy Process Regarding the Nomination and Election of Directors
Division of Corporation Finance July 15, 2003
This is a report of the Division of Corporation Finance. The statements in this report are those of the staff and are not statements of the Securities and Exchange Commission.
I.
INTRODUCTION
Earlier this ye ... more>>
SECDocs 6/2/2008 | 0 (0) | 2 | 0 | 0 | English
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGT-ON. D.C
20549
August 25,200k
Christian R. Bartholomew, Esq. Morgan, Lewis & Bockius LLP 5300 Wachovia Financial Center 200 South Biscayne Boulevard Miami, FL 33131-2339 Re: Janney Montgomery Scott LLC-Waiver Request under Regulation A and Rule 505 of Regulation D
Dear Mr. Bartholomew: Th ... more>>
SECDocs 6/2/2008 | 0 (0) | 0 | 0 | 0 | English
BDO Seidman, LLP
Accountants and Consultants
330 Madison Avenue New York, NY 10017 (212) 885-8000 Phone (212) 697-1299 Fax
July 18, 2007 Via E-mail: rule-comments@sec.gov Ms. Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: File Number S7-24-06 Dear Ms. Morris: BDO Seidman, LLP appre ... more>>
SECDocs 6/2/2008 | 0 (0) | 0 | 0 | 0 | English
SIEMENS
September 18th, 2006
Nancy M. Morris, Secretary Securities & Exchange Commission 100 F Street, NE Washington, DC 20549-1090
Reference: File Number S7-11-06 Dear Ms. Morris, Thank you very much for the opportunity to submit our comment on the concept release concerning management's report on internal control over financial reporting (ICF ... more>>
SECDocs 6/2/2008 | 0 (0) | 0 | 0 | 0 | English
SECDocs 6/2/2008 | 0 (0) | 3 | 0 | 0 | English
24 September 2007 Our ref: ICAEW Rep 83/07 Your ref: File Number S7-13-07.
Nancy M. Morris,
Secretary,
Securities and Exchange Commission,
100 F Street, NE,
Washington, DC 20549-1090.
By email: rule-comments@sec.gov
Dear Ms Morris
ACCEPTANCE FROM FOREIGN PRIVATE ISSUERS OF FINANCIAL STATEMENTS PREPARED IN ACCORDANCE WITH INTERNATION ... more>>
SECDocs 6/2/2008 | 0 (0) | 0 | 0 | 0 | English
Bogle Financial Markets Research Center
August 21, 2006 c/o The Vanguard Group 100 Vanguard Boulevard Malvern, PA 19355 Ms. Nancy M. Morris Secretary Securities & Exchange Commission 100 F Street, NE Washington, DC 20549-9303 Re: Request for Additional Comment: Investment Company Governance: File Number S7-03-04 Dear Ms. Morris: I write as a 55-yea ... more>>
SECDocs 6/2/2008 | 0 (0) | 3 | 0 | 0 | English
VIA E-MAIL Rule-comments@sec.gov Nancy M. Morris, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-9303 RE: SEC Release No. IC-27255 File No. S7-06-06 Dear Ms. Morris: I am writing on behalf of Massachusetts Mutual Life Insurance Company (“MassMutual”) in response to the Securities and Exchange Commission’s request ... more>>
SECDocs 6/2/2008 | 0 (0) | 0 | 0 | 0 | English
March 31, 2005 Re: File No. 4-497 Mr. Jonathan Katz Secretary Securities and Exchange Commission 450 Fifth Street Washington, DC 20549 Dear Mr. Katz: On behalf of the governing board of the National Association of Corporate Directors (NACD), we commend the Securities and Exchange Commission for the decision to hold a Roundtable on the Implementatio ... more>>
SECDocs 6/2/2008 | 0 (0) | 4 | 0 | 0 | English
The NASDAQ Stock Market LLC Form 1 - Exhibit C, Tab 3
Name and Address:
Independent Research Network, LLC One Liberty Plaza 165 Broadway New York, NY 10006
Details of organization:
Organized under the Delaware Limited Liability Company Act on May 27,2005, by the filing of a Certificate of Formation with the Secretary of State.
Afffiation:
The Na ... more>>
SECDocs 6/2/2008 | 0 (0) | 0 | 0 | 0 | English
April 8, 2005 File No. 265-23 Mr. Jonathan G. Katz Secretary, Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Subject: Comments for the SEC Advisory Committee on Smaller Public Companies Dear Mr. Katz: We appreciate the opportunity to submit our comments to the Advisory Committee on Smaller Public Companies prior t ... more>>
SECDocs 6/2/2008 | 0 (0) | 2 | 0 | 0 | English
February 23, 2007
I am a financial professional with over 23 years of experience. I have an MBA in Finance, as well as the CFP and CFS designations. Finally based on my intellegence test scores I have been admitted to the society of MENSA as being in the top 2% of intellegence in the nation. During my career I have seen many good ideas and bad ide ... more>>
SECDocs 6/2/2008 | 0 (0) | 0 | 0 | 0 | English
I
FANE LOZMAN
7910 West Drive, Slip #406 North Bay Village, Florida 33 141 (305) 754-9203
February 22,2006 Chairman Christopher Cox Securities and Exchange Commission Station Place 100 F. Street Washington, D.C. 20549-9303 Re: Response to comment on proposed NYSE Merger with Archipelago Dear Chairman Cox: The New York Stock Exchange merger with th ... more>>
SECDocs 6/2/2008 | 0 (0) | 4 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-55876; File No. PCAOB-2007-02)
June 7, 2007 Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule on Auditing Standard No. 5, An Audit of Internal Control Over Financial Reporting That is Integrated with an Audit of Financial Statements, and Related Independence Rule and Con ... more>>
SECDocs 6/2/2008 | 0 (0) | 0 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISISON (Release No. 34-55475; File No. SR-OC-2007-02) March 15, 2007 Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Block Trades Pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-7 under the Act, ... more>>
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