SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Other Commission Orders, Notices, and Information

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

Third Quarter |  Second Quarter |  First Quarter

Additional Archives

Release No. Date Details
Third Quarter
33-9647 Sep. 17, 2014 Investor Advisory Committee Meeting (Notice of Meeting)
Other Release No.:  34-73131
File No.:  265-28
Comments Due:  October 9, 2014
Comments received are available.
34-72985 Sep. 04, 2014 Stay Order
34-72984 Sep. 04, 2014 Order Pursuant to Section 13(f)(3) 13(f)(5) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Act
34-72983 Sep. 04, 2014 Order Pursuant to Sections 13(f)(4) and 13(f)(5) of the Securities and Exchange Act of 1934 Denying Requests for Confidential Treatment of Information Required to be Filed Pursuant
33-9635 Aug. 29, 2014 Order Making Fiscal Year 2015 Annual Adjustments to Registration Fee Rates
Other Release No.:  34-72948
34-72947 Aug. 29, 2014 Order Determining Whistleblower Award Claim
File No.:  2014-9
34-72921 Aug. 26, 2014 Paul R. Venesky, CPA (Order Granting Application For Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the Commission)
Other Release No.:  AAER-3577
IC-31199 Aug. 6, 2014 Citigroup Global Markets Inc., et al. (Notice of Application and Temporary Order)
33-9627 Aug. 6, 2014 Citigroup Global Markets Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
33-9626 Aug. 6, 2014 Citigroup Inc. (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 Citigroup Inc. and Its Affiliates)
Other Release No.: 34-72780
34-72727 Jul. 31, 2014 Order Determining Whistleblower Award Claim
File No.:  2014-8
33-9619 Jul. 28, 2014 Dominick & Dominick LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
See also: Order, Release No. 34-72694
33-9618 Jul. 24, 2014 Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
Other Release No.: 34-72670
See also: Order, Release No. 33-9617
34-72661 Jul. 23, 2014 Automated Matching Systems Exchange, LLC (Notice of Filing of Application for Limited Volume Exemption from Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934)
File No.: File No. 10-214
Comments due: September 12, 2014 See also: Form 1 Application and Exhibits
34-72659 Jul. 23, 2014 Order Determining Whistleblower Award Claim
File No.:  2014-7
34-72658 Jul. 23, 2014 Notice of Proposed Exemptive Order Granting Permanent Exemptions Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10 for Certain Money Market Funds
File No.: File No. S7-08-14
Comments due: August 19, 2014
Comments received are available.
34-72652 Jul. 22, 2014 Order Determining Whistleblower Award Claim
File No.:  2014-6
Second Quarter
34-72460 Jun. 24, 2014 Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a Tick Size Pilot Plan (Corrected)
33-9603 Jun. 23, 2014 Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.:  34-72448
File No.:  265-28
Comments Due:  July 10, 2014
Comments received are available.
IC-31088 Jun. 19, 2014 Copley Fund, Inc. (Order under Section 6(c) of the Investment Company Act of 1940 Denying a Request for a Hearing and Denying an Exemption from Rule 22c-1 under the Act and Rule 4-01(a)(1) of Regulation S-X)
34-72373 June 12, 2014 Public Availability of the Securities and Exchange Commission's FY 2013 Service Contract Inventory
34-72301 June 3, 2014 Order Determining Whistleblower Award Claim
File No.:  2014-5
PA-51 May 21, 2014 Systems of Records (Notice to establish a new system of records and to revise two existing systems of records)
File No.:  S7-06-14
Effective Date: July 7, 2014
Comments Due: June 27, 2014
Comments received are available.
IC-31051 May 19, 2014 Credit Suisse Asset Management, LLC, et al. (Notice of Application and Temporary Order)
See also: Order Granting Permanent Exemption
33-9589 May 19, 2014 Certain Current Funds, Third Party Issuers and Portfolio Companies affiliated with Credit Suisse AG (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(i) Disqualification Provision)
See also: Incoming Letter
33-9588 May 16, 2014 EDGARizing Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
Registration No.:  333-190755
33-9587 May 16, 2014 Borderless Holdings, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
Registration No.:  333-190773
33-9586 May 16, 2014 Transfer Enterprises, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
Registration No.:  333-190772
33-9585 May 16, 2014 List Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
Registration No.:  333-190759
34-72178 May 16, 2014 Order Determining Whistleblower Award Claim
File No.:  2014-4
34-72173 May 15, 2014

Copley Fund, Inc. (Notice of Application)
See also: Application, and Exhibits

34-72079 May 2, 2014

In the Matter of Exchange Act Rule 13p-1 and Form SD (Order Issuing Stay)

33-9578 Apr. 25, 2014

The Royal Bank Of Scotland Group, plc (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
Other Release No.:  34-72032
See also: Incoming Letter

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: July 14, 2014
Comments received are available.
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 received are available.
*  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: 09/17/2014