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SEC
SECDocs 5/30/2008 | 0 (0) | 5 | 2 | 0 | English
The NASDAQ Stock Market
Interpretative Request Fee Payment Form
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All companies submitting requests for interpretations of The NASDAQ Stock ~ a r k e t @ listing rules must submit a $2,000 non-refundable fee (regular) or $10,000 non-refundable fee (expedited) with their requests. All fees are payable to The NASDAQ Stock Market LLC. Please see th ... more>>
SECDocs 5/30/2008 | 0 (0) | 1 | 1 | 0 | English
SENIORS - BEWARE OF INVESTMENT SEMINARS NO FREE LUNCHES
INVESTMENT SEMINARS ARE DESIGNED TO SELL Although you have been invited to an “educational” program or investment “workshop,” never lose sight of the fact that the sponsor's goal is to sell investment products to new customers. Don't be taken in by claims of “urgency” or “limited space availab ... more>>
SECDocs 6/2/2008 | 0 (0) | 16 | 1 | 0 | English
UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF EASTERN DIVISION
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SECDocs 5/30/2008 | 0 (0) | 13 | 1 | 0 | English
UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF EASTERN DIVISION
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SECDocs 5/30/2008 | 0 (0) | 24 | 1 | 0 | English
SECDocs 6/2/2008 | 0 (0) | 7 | 1 | 0 | English
SECDocs 5/30/2008 | 0 (0) | 9 | 1 | 0 | English
February 16, 2007 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 Proposed Interpretive Guidance Management’s Report on Internal Control Over Financial Reporting Dear Ms. Morris: The Center for Audit Quality (CAQ) is a newly formed group created by the public ... more>>
SECDocs 5/30/2008 | 0 (0) | 17 | 1 | 0 | English
SEC Performance Budget for 2007 In accordance with Section 220 of Office of Management and Budget Circular A11, the SEC has crafted the following Performance Budget for Fiscal Year 2007. This document aligns the goals and measures developed for the SEC’s Strategic Plan for Fiscal 2004-2009 with the SEC’s budget request. It aims to improve the linka ... more>>
SECDocs 5/30/2008 | 0 (0) | 21 | 1 | 0 | English
UNITED STATES
SECURITIES AND EXCHANGE C O M M I S S I O N
WASHINGTON, D.C. 20549
DIVISION O F CORPORATION F I N A N C E
May 3 1,2006
Henry F. Minnerop, Esq. Sidley Austin LLP 787 Seventh Avenue New York, NY 10019
Re: In the Matter of Bear, Stearns & Co. Inc., Administrative Proceeding File No. 312310-Waiver Request under Regulation A and Rul ... more>>
SECDocs 5/30/2008 | 0 (0) | 15 | 1 | 0 | English
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK
SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
BRIAN N. LINES; SCOTT G. S. LINES; LOM (HOLDINGS) LTD.; LINES OVERSEAS MANAGEMENT LTD.; LOM CAPITAL LTD.; LOM SECURITIES (BERMUDA) LTD.; LOM SECURITIES (CAYMAN) LTD.; LOM SECURITIES (BAHAMAS) LTD.; ANTHONY W. WILE; WAYNE E. WILE; ROBERT J. CH ... more>>
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
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