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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
33-9740 Mar. 25, 2015 Regulatory Flexibility Agenda
Other Release Nos.: 34-74575, IA-4052, IC-31510
File No.:  S7-04-15
Comments Due: 30 days after publication in the Federal Register
33-9739 Mar. 18, 2015 Investor Advisory Committee Meeting: Notice of Meeting
Other Release Nos.: 34-74523
File No.:  265-28
34-74404 Mar. 2, 2015 Order Determining Whistleblower Award Claim
File No.: 2015-1
34-74394 Feb. 27, 2015 Bloomberg STP LLC (Notice of Filing of Application for Exemption from Registration as a Clearing Agency)
File No.:  600-33
See also:  Form CA-1 Application
Comments Due:  30 days from the date of publication in the Federal Register
Comments received are available.
33-9713A Feb. 20, 2015 Advisory Committee on Small and Emerging Companies (Amended Notice of Meeting)
Other Release Nos.: 34-74158A
File No.:  265-27
34-74277 Feb. 13, 2015 Proxy Voting Roundtable
File No.:  4-681
Comments received are available.
33-9724 Feb. 11, 2015 Advisory Committee on Small and Emerging Companies (Notice of Meeting) Other Release No.: 34-74260
File No.:  265-27
Comments Due:  March 2, 2015
34-74239 Feb. 10, 2015 Contract Standard for Contractor Workforce Inclusion and Request for Public Comment
File No.:  S7-02-15
Comments Due: April 14, 2015
33-9721 Feb. 4, 2015 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2015
Other Release Nos.: 34-74203
33-9713 Jan. 28, 2015 Advisory Committee on Small and Emerging Companies (Notice of Meeting) Other Release Nos.: 34-74158
File No.:  265-27 See also:  Amended Notice of Meeting
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
Comments received are available.
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: 03/25/2015