Other Commission Orders, Notices, and Information

Archive of other SEC Orders, Notices and Information available include:

Second Quarter | First Quarter

Additional Archives

2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995

Release No.	Date	Details
Second Quarter
34-69520	May 6, 2013	Credit Ratings Roundtable (Notice of Roundtable Discussion; Location Change) File No.:  4-661
34-69477	Apr. 30, 2013	Notice of an Application of W2007 Grace Acquisition I, Inc. under Section 12(h) of the Securities Exchange Act of 1934 File No.:  81-939 Comments due:  June 5, 2013 See also:  Application Comments received are available.  Submit comments on 81-939
34-69449	Apr. 25, 2013	Order Making Fiscal Year 2013 Annual Adjustments to Transaction Fee Rates
34-69433	Apr. 23, 2013	Credit Ratings Roundtable (Notice of Roundtable Discussion; Request for Comment) File No.:  4-661 Comments due: 30 days after publication in the Federal Register See also:  Location Change Notice Comments received are available.  Submit comments on 4-661
34-69362	Apr. 11, 2013	FICC (Notice of Filing of Amended Application for Registration as a Clearing Agency) Comments due: June 3, 2013 File No.:  600-23  Submit comments on 600-23 See also:  Correction of Notice Form CA-1 and Schedule A Exhibits A through D Exhibit E Exhibit F Exhibit G Exhibit G: Cross-Margining Agreement Exhibit G: Netting Contract and Limited Cross-Guaranty Exhibits H through I Exhibits J through R
33-9399	Apr. 5, 2013	SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting) Other Release No.:  34-69316 File No.:  265-27 Comments received are available.  Submit comments on 265-27
33-9398	Apr. 2, 2013	FASB (Order Regarding Review of FASB Accounting Support Fee for 2013 Under Section 109 of the Sarbanes-Oxley Act of 2002) Other Release No.:  34-69265
34-69275	Apr. 2, 2013	Fixed Income Roundtable (Notice of Roundtable Discussion) File No.:  4-660 Comments received are available.  Submit comments on 4-660
First Quarter
33-9397	Mar. 29, 2013	Dodd-Frank Investor Advisory Committee (Notice of Meeting) Other Release No.:  34-69257 File No.:  265-28 Comments received are available.  Submit comments on 265-28
33-9392	Mar. 11, 2013	Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9391	Mar. 11, 2013	Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC)
34-69013	Mar. 1, 2013	Duties of Brokers, Dealers, and Investment Advisers (Request for data and other information.) Other Release No.:  IA-3558 File No.:  4-606 Comments due: July 5, 2013 Comments received are available.  Submit comments on 4-606 Federal Register (78 FR 14848): HTML | PDF | text | XML
34-69012	Mar. 1, 2013	Topaz Exchange, LLC (Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934) File No.: File No. 10-209 Comments due: April 22, 2013 Comments received are available.  Submit comments on 10-209 See also: Form 1 Application and Exhibits
34-69011	Mar. 1, 2013	Topaz Exchange, LLC (Order Granting Application for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rules 6a-1 and 6a-2 under the Exchange Act)
34-68992	Feb. 27, 2013	Public Availability of the Securities and Exchange Commission's FY 2012 Service Contract Inventory
33-9384	Feb. 13, 2013	Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2013 Other Release No.:  34-68921
IA-3547	Feb. 6, 2013	Investment Adviser Registration Cancellations (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
33-9381	Jan. 9, 2013	JPMorgan Chase & Co. (Order Granting Waivers) Other Release No.:  34-68610
33-9380	Jan. 9, 2013	J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, INC., And J.P. Morgan Acceptance Corporation I (Order Granting a Waiver)
33-9379	Jan. 9, 2013	SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting) Other Release No.:  34-68604 File No.:  265-27 Comments received are available.  Submit comments on 265-27
33-9378	Jan. 9, 2013	Dodd-Frank Investor Advisory Committee (Notice of Meeting) Other Release No.:  34-68603 File No.:  265-28 Comments received are available.  Submit comments on 265-28

http://www.sec.gov/rules/other.shtml