|
|
SEC
SECDocs 6/2/2008 | 0 (0) | 110 | 0 | 0 | English
SECDocs 6/2/2008 | 0 (0) | 54 | 0 | 0 | English
UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 49678 / May 11, 2004 ACCOUNTING AND AUDITING ENFORCEMENT Release No. 2008 / May 11, 2004 ADMINISTRATIVE PROCEEDING File No. 3-11483 In the Matter of PricewaterhouseCoopers LLP, Respondent. ORDER INSTITUTING PUBLIC ADMINISTRATIVE PROCEE ... more>>
SECDocs 6/2/2008 | 0 (0) | 48 | 0 | 0 | English
David Rosenfeld (DR-8646) Associate Regional Director Attorney for Plaintiff SECURITIES AND EXCHANGE COMMISSION New York Regional Office 3 World Financial Center, Suite 400 New York, New York 10281 (212) 336-0153 UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION, Plaintiff, -against: JOSEPH SIMONE; ISLAND ... more>>
SECDocs 6/2/2008 | 0 (0) | 42 | 0 | 0 | English
SECDocs 5/30/2008 | 0 (0) | 40 | 0 | 0 | English
SECDocs 6/2/2008 | 0 (0) | 39 | 0 | 0 | English
The NASDAQ Stock Market LLC Form 1 - Exhibit C, Tab 14 Name and Address: The Nasdaq Stock Market, Inc. One Liberty Plaza New York, New York 10006 Details of organization: Stock corporation originally organized as NASD Market Services, Inc. under the General Corporation Law of the State of Delaware on November 13, 1979. The Nasdaq Stock Market, Inc. ... more>>
SECDocs 6/2/2008 | 0 (0) | 38 | 0 | 0 | English
UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 49675 / May 11, 2004 ACCOUNTING AND AUDITING ENFORCEMENT Release No. 2005 / May 11, 2004 ADMINISTRATIVE PROCEEDING File No. 3-11480 In the Matter of THE WARNACO GROUP, INC., Respondent. ORDER INSTITUTING CEASE-ANDDESIST PROCEEDINGS, MA ... more>>
SECDocs 6/2/2008 | 0 (0) | 36 | 0 | 0 | English
SECDocs 5/30/2008 | 0 (0) | 34 | 0 | 0 | English
L
UNITED STATES
SECURITIES A N D EXCHANGE COMMISSION
WASHINGTON. D.C. 20549
DIVISION OF
MARKET REGULATION
October 25, 1999 Mr. Steven L. Scheid Executive Vice President Chief Financial Officer Charles Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94104 Re:
Net Capital Treatment of Deferred Tax Liabilities Directly Related to CaDita ... more>>
SECDocs 6/2/2008 | 0 (0) | 33 | 0 | 0 | English
SR-PCX-2004-08 Exhibit A Rule 2 - Page 1 of 60
Rule 2 Options Trading Permits [CAPITAL REQUIREMENTS, FOCUS REPORT, MARGINS
CAPITAL REQUIREMENTS Minimum Net Capital] Securities Business Rule 2.1(a). Every OTP Holder and OTP Firm shall have as its principal purpose the conduct of a securities business. [To the extent applicable, every member organiz ... more>>
SECDocs 5/30/2008 | 0 (0) | 32 | 0 | 0 | English
SECDocs 6/2/2008 | 0 (0) | 32 | 0 | 0 | English
The Mellon Funds
Mellon Large Cap Stock Fund Mellon Income Stock Fund Mellon Mid Cap Stock Fund Mellon Small Cap Stock Fund Mellon U.S. Core Equity 130/30 Fund Mellon International Fund Mellon Emerging Markets Fund Mellon Bond Fund Mellon Intermediate Bond Fund Mellon Short-Term U.S. Government Securities Fund Mellon National Intermediate Municipal ... more>>
SECDocs 5/30/2008 | 0 (0) | 30 | 0 | 0 | English
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK
UNITED STATES SECURITIES AND EXCHANGE COMMISSION, PLAINTIFF, Case No. 06CV2401 (RCC)
v.
ALEXANDER J. YAROSHINSKY,
and
VICTOR E. ZAK DEFENDANTS.
AMENDED COMPLAINT
For its complaint against Alexander J. Yaroshinsky and Victor E. Zak, Plaintiff the United States Securities and Exchange Com ... more>>
SECDocs 6/2/2008 | 0 (0) | 29 | 0 | 0 | English
As filed with the Securities and Exchange Commission on February 18,2005 FILE NOS. 70-10251 and 70-10100 SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549
COMMENTS AND REQUEST FOR HEARING OF HARBERT DISTRESSED INVESTMENT MASTER FUND, LTD. KEGARDING FORM U-1 AND DECLARATION OF ALLEGHENY ENERGY UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1 ... more>>
SECDocs 6/2/2008 | 0 (0) | 28 | 0 | 0 | English
|