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SECDocs 5/30/2008 | 0 (0) | 4 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934 Release No. 55598 / April 6, 2007 Administrative Proceeding File No. 3-11814 ____________________________________ : In the Matter of : : COLUMBIA MANAGEMENT : ADVISORS, INC. AND COLUMBIA : FUNDS DISTRIBUTOR, INC. : : Respondents. : ______________ ... more>>
SECDocs 5/30/2008 | 0 (0) | 8 | 0 | 0 | English
UNITED STATES SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 52279 / August 17, 2005 ADMINISTRATIVE PROCEEDING File No. 3-11515 __________________________________________ : : : CHARLES W. CROUSE and : NORMAN R. HESS, : : Respondents. : __________________________________________: In the Matter of
Notice of Proposed P ... more>>
SECDocs 5/30/2008 | 0 (0) | 31 | 0 | 0 | English
UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION June 8, 2004 ADMINISTRATIVE PROCEEDING File No. 3-11515
In the Matter of CHARLES W. CROUSE and NORMAN R. HESS, Respondents.
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-ANDDESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 AND SECTIONS 15(b) AND 21C OF THE S ... more>>
SECDocs 5/30/2008 | 0 (0) | 11 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 8563 / April 6, 2005 SECURITIES EXCHANGE ACT OF 1934 Release No. 51480 / April 6, 2005 ADMINISTRATIVE PROCEEDING File No. 3-11515 ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER PURSUANT TO SECTION 8A OF THE S ... more>>
SECDocs 5/30/2008 | 0 (0) | 14 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 8520A/ July 13, 2007 SECURITIES EXCHANGE ACT OF 1934 Release No. 50910A/ July 13, 2007 ADMINISTRATIVE PROCEEDING FILE NO. 3-11780 ________________________ : AMENDED ORDER INSTITUTING : ADMINISTRATIVE AND CEASE-ANDIn the Matter of : DESIST PROCE ... more>>
SECDocs 5/30/2008 | 0 (0) | 12 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 53918A/ June 1, 2006 ADMINISTRATIVE PROCEEDING FILE NO. 3-11780 CORRECTED ORDER APPROVING DISTRIBUTION PLAN AND APPOINTING AN ADMINISTRATOR
In the Matter of Edward D. Jones & Co., L.P., Respondent.
On April 17, 2006, the Commission p ... more>>
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UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 54637 / October 20, 2006 ADMINISTRATIVE PROCEEDING FILE NO. 3-11780 ________________________ : In the Matter of : : Edward D. Jones & Co., : ORDER DIRECTING DISTRIBUTION OF L.P., : FAIR FUND AND EXTENDING THE : DATE FOR DISTRIBUTION Re ... more>>
SECDocs 5/30/2008 | 0 (0) | 6 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 53660 / April 17, 2006 ADMINISTRATIVE PROCEEDING FILE NO. 3-11780 ________________________ : In the Matter of : : NOTICE OF PROPOSED DISTRIBUTION Edward D. Jones & Co., : PLAN AND OPPORTUNITY FOR L.P., : COMMENT : Respondent. : _______ ... more>>
SECDocs 5/30/2008 | 0 (0) | 7 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 8631 / October 26, 2005 ADMINISTRATIVE PROCEEDING FILE NO. 3-11780 ________________________ : In the Matter of : : ORDER UNDER RULE 602(e) UNDER Edward D. Jones & Co., : THE SECURITIES ACT OF 1933 GRANTING L.P., : A WAIVER OF THE DISQUALIFICATI ... more>>
SECDocs 5/30/2008 | 0 (0) | 12 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 8632 / October 26, 2005 SECURITIES EXCHANGE ACT OF 1934 Release No. 52677 / October 26, 2005 ADMINISTRATIVE PROCEEDING FILE NO. 3-11780 ________________________ : ORDER UNDER SECTION 27A(b) OF THE In the Matter of : SECURITIES ACT OF 1933 AND S ... more>>
SECDocs 5/30/2008 | 0 (0) | 5 | 0 | 0 | English
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934 Release No. 56658 / October 12, 2007 Administrative Proceeding File No. 3-12805 ____________________________________ : In the Matter of : : Evergreen Investment Management : Company, LLC, Evergreen Investment : Services, Inc., Evergreen Servi ... more>>
SECDocs 5/30/2008 | 0 (0) | 9 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934 Release No. 52879 / December 2, 2005 INVESTMENT ADVISERS ACT OF 1940 Release No. 2456 / December 2, 2005 INVESTMENT COMPANY ACT OF 1940 Release No. 27175 / December 2, 2005 ADMINISTRATIVE PROCEEDING File No. 3-12111
In the Matter of FEDERATED IN ... more>>
SECDocs 5/30/2008 | 0 (0) | 10 | 0 | 0 | English
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934 Release No. 57024 / December 21, 2007 Administrative Proceedings File No. 3-12896 In the Matter of FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY and WILLIAM GUNLICKS Respondents. ORDER EXTENDING TIME TO PUBLISH A PROPOSED PLAN OF DISTRIBUTION ... more>>
SECDocs 5/30/2008 | 0 (0) | 28 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 54342 / August 21, 2006 ADMINISTRATIVE PROCEEDING File No. 3-11769
In the Matter of Franklin Advisers, Inc. and Franklin/ Templeton Distributors, Inc. Respondents. ORDER DIRECTING DISTRIBUTION OF FAIR FUND
On May 19, 2006, the Commis ... more>>
SECDocs 5/30/2008 | 0 (0) | 22 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 50841A / December 13, 2004 INVESTMENT ADVISERS ACT OF 1940 Release No. 2337A / December 13, 2004 INVESTMENT COMPANY ACT OF 1940 Release No. 26692A / December 13, 2004 ADMINISTRATIVE PROCEEDING File No. 3-11769
In the Matter of Frankli ... more>>
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