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:

First Quarter

Additional Archives

Release No. Date Details
First Quarter
33-9712 Jan. 27, 2015 Oppenheimer & Co. Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
File No.:  3-16361
See also:  Order Instituting Proceedings: Rel. No. 33-9711
34-74116 Jan. 22, 2015 Automated Matching Systems Exchange, LLC (Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Grant or Deny a Limited Volume Exemption from Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934)
File No.:  10-214
See also:  Notice: Rel. No. 34-73911
34-74115 Jan. 22, 2015 BATS Y-Exchange, Inc. (Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program)
File No.:  SR-BYX-2012-019
33-9707 Jan. 21, 2015 Investor Advisory Committee Meeting: Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
Other Release Nos.: 34-74106
File No.:  265-28
34-74092 Jan. 20, 2015 Equity Market Structure Advisory Committee: Notice of Federal Advisory Committee Establishment
File No.:  265-29
Comments received are available.
34-74057 Jan. 15, 2015 Order Making Fiscal Year 2015 Annual Adjustments to Transaction Fee Rates
33-9698 Jan. 15, 2015 UBS AG: Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer
Other Release Nos.: 34-74061
File No.: 3-16338

 

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


Modified: 01/27/2015