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89 SEC Docket 1 (2007)

handle is hein.journals/secdoc89 and id is 1 raw text is: CCH CCH SEC DOCKET Volume 89, Issue No. 1 May 29, 2007 RELEASES IN THIS VOLUME Release No. Securities Act of 1933: 8747 ................................... Securities Exchange Act of 1934: 54540-54579 ................... Investment Advisers Act of 1940: 2560 ........................... Investment Company Act of 1940: 27507-27510 .................. Litigation: 19852- 19859 .................................... Accounting and Auditing Enforcement: 2490-2491 ................. Initial D ecision: 320 ..................................... ... This listing covers releases issued from 09/29/2006-10/05/2006. This listing does not affect the legal status of any document published in this issue. Page •. 3 •. 5 . 160 . 164 . 167 . 172 . 172 SIGNIFICANT ITEMS PROPOSED RULE 34-54575 S7-16-06 Amendments to Rule 15c-3-1 and Rule 17a-11 Applicable to Broker- Dealers also Registered as Futures Commission Merchants INITIAL DECISION ID-320 Bradley T. Smith The initial decision may be appealed to the Commission. The following releases relate to self-regulatory organization rule proposals and/or adoptions: 34-54540 34-54541 34-54542 34-54543 34-54546 34-54548 34-54549 34-54550 34-54552 34-54553 34-54555 34-54556 34-54558 34-54559 34-54560 34-54561 CCH 4025 W. Peterson Ave., Chicago, IL 60646-6085 1 800 449 6435 http://www.cch.com A WoltersKluwer Company 9-Wotters K[uwer Law & Business

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