1 April 28, 2007 Via Electronic Mail: rule-comments@sec.gov Nancy M. Morris Secretary Securities and Exchange Commission 100 F Street, NE ... more>>
EXAMINATION INFORMATION FOR BROKER-DEALERS, TRANSFER AGENTS, CLEARING AGENCIES, INVESTMENT ADVISERS, AND INVESTMENT COMPANIES This brochure, prepared ... more>>
' JOHN E. BIRKENHEIER Email: birkenheier' sec.gov ANDREA R. W O b 8 Email: woodar sec. ov MARGARET EM ALA NELSON Email: nelsonm@sec.gov U.S. ... more>>
<-* JONATHAN S. POLISH (Illinois Bar No. 6237890) polishi@sec.gov ANNE C. MCKINLEY (Illinois Bar No, 6270252) mckinleva@sec.nov RICHARD G. STOLTZ ... more>>
SEC Performance Budget for 2007 In accordance with Section 220 of Office of Management and Budget Circular A11, the SEC has crafted the following Perf ... more>>
NEWS RELEASE Tuesday, Sept. 22, 2009 COTA CONTACT Beth Berkemer Public Relations and Media Relations Manager 614-275-5938 Office 614-565-6767 Cell ... more>>
Thursday, May 26, 2005 Gentleman: It is imperative that SEC File No. 4-500 Request for Rulemaking Regarding Member Records of “Short” Positions and ... more>>
March 8, 2005 Mr. Jay P. Hartig Chairman AICPA SEC Regulations Committee c/o PricewaterhouseCoopers LLP 500 Campus Drive Florham Park, NJ 07932 Dear ... more>>
SEC Mutual Fund Initiatives For informal, informational purposes only. Prepared by the SEC’s Office of Legislative Affairs Consists primarily of ... more>>
SEC 873 (06/2003) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the ... more>>
Thomas M. Melton (Bar No. # 4999) Karen L. Martinez (Bar No. # 79 14) William B. McKean (Bar No. # 4883) Attorneys for the Plaintiff SECURITIES AND ... more>>