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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
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: 45 days from publication in the Federal Register 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: 21 days after publication in the Federal Register
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
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: 07/25/2014