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Other Commission Orders, Notices, and Information

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

Second Quarter |  First Quarter

Additional Archives

Release No. Date Details
Second Quarter
33-9569 Apr. 3, 2014 FASB (Order Regarding Review of FASB Accounting Support Fee for 2014 Under Section 109 of the Sarbanes-Oxley Act of 2002)
Other Release No.:  34-71852
34-71849 Apr. 3, 2014 Order Determining Whistleblower Award Claim
File No.:  2014-3
First Quarter
33-9567 Mar. 28, 2014 Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.:  34-71829
File No.:  265-28
Comments Due:  April 10, 2014
Comments received are available.
33-9563 Mar. 21, 2014 Notice of Semiannual Regulatory Agenda
Other Release Nos.: 34-71771, IA-3803, IC-30989
File No.: S7-04-14
Comments Due: 30 days after publication in the Federal Register
33-9562 Mar. 14, 2014 Cybersecurity Roundtable (Notice of roundtable discussion; request for comment)
Other Release Nos.: 34-71742; IA-3799
File No.: 4-673
Comments Due: May 2, 2014
Comments received are available.
33-9558 Mar. 12, 2014 Jefferies LLC, (formerly known as Jefferies & Company, Inc.) (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9550 Feb. 21, 2014 Credit Suisse Group AG (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
34-71533 Feb. 12, 2014 Daniel Covello (Order Approving Application for Relief from a Statutory Disqualification)
34-71550 Feb. 12, 2014 Order Making Fiscal Year 2014 Annual Adjustments to Transaction Fee Rates
33-9546 Feb. 5, 2014 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2014
Other Release Nos.: 34-71494
34-71466 Feb. 3, 2014 Draft 2014-2018 Strategic Plan for Securities and Exchange Commission
Comments Due: March 10, 2014
*  Submit comments on Draft Strategic Plan
33-9516 Jan. 23, 2014 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos.: 34-71370, 39-2494, IC-30890
File No.: S7-02-14
Comments Due: 30 days after publication in the Federal Register
33-9517 Jan. 23, 2014 Mobile Vault, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
Registration No.:  333-189796
33-9510 Jan. 13, 2014 Dodd-Frank Investor Advisory Committee (Notice of Meeting; Corrected to indicate EST instead of EDT)
Other Release No.:  34-70847
File No.:  265-28
Comments Due:  January 31, 2014
Comments received are available.
34-71276 Jan. 10, 2014 Order Declaring Effective a Minor Rule Violation Plan for Topaz Exchange, LLC File No.: 4-669
See also:  Notice Rel. No. 34-70927
SIPA-172 Jan. 9, 2014 Rules of the Securities Investor Protection Corporation
Effective Date: February 18, 2014
File No.: SIPC-2012-01
See also:  Notice: Rel. No. SIPA-171

 

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


Modified: 04/15/2014