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93 SEC Docket 1 (2008-2009)

handle is hein.journals/secdoc93 and id is 1 raw text is: CCH CCH SEC DOCKET Volume 93, Issue No. 1 October 28, 2008 Releases in this Volume Release No. Page Securities Act of 1933: 8910 ... .... .. ........... 3 Securities Exchange Act of 1934: 56501A ...... .............. 3 57526A ...................................... ...... 5 57648-57682. ... ............................ 5 Investment Advisers Act of 1940: 2724-2726 ...... ........... 107 Investment Company Act of 1940: 28236-28238 ................ 108 Litigation: 20526-20531 ........................ 113 Accounting and Auditing Enforcement: 2808-2810 .............. 117 This listing covers releases issued from 4/11/2008 - 4/17/2008. This listing does not affect the legal status of any document published in this issue. Significant Items FINAL RULES 34-56501A Definitions of Terms and Exemptions Relating to the S7-22-06 Broker Exceptions for Banks 34-57526A Proposed Rule Changes of Self-Regulatory S7-06-07 Organizations OPINIONS 34-57655 Dennis Todd Lloyd Gordon & Sterling Scott Lee 34-57656 Joseph Mizrachi & FAZ Securities, Inc. The following releases relate to self-regulatory organization rule proposals and/or adoptions: 34-57648 34-57650 34-57652 34-57653 34-57654 34-57658 34-57659 34-57660 er.Wolters Kluwer Law & Business

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