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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
34-69520 May 6, 2013 Credit Ratings Roundtable (Notice of Roundtable Discussion; Location Change)
File No.:  4-661
34-69477 Apr. 30, 2013 Notice of an Application of W2007 Grace Acquisition I, Inc. under Section 12(h) of the Securities Exchange Act of 1934
File No.:  81-939
Comments due:  June 5, 2013
See also:  Application
Comments received are available.
* Submit comments on 81-939
34-69449 Apr. 25, 2013 Order Making Fiscal Year 2013 Annual Adjustments to Transaction Fee Rates
34-69433 Apr. 23, 2013 Credit Ratings Roundtable (Notice of Roundtable Discussion; Request for Comment)
File No.:  4-661
Comments due: 30 days after publication in the Federal Register
See also:  Location Change Notice
Comments received are available.
* Submit comments on 4-661
34-69362 Apr. 11, 2013 FICC (Notice of Filing of Amended Application for Registration as a Clearing Agency)
Comments due: June 3, 2013
File No.:  600-23
* Submit comments on 600-23
See also: 
33-9399 Apr. 5, 2013 SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.:  34-69316
File No.:  265-27
Comments received are available.
* Submit comments on 265-27
33-9398 Apr. 2, 2013 FASB (Order Regarding Review of FASB Accounting Support Fee for 2013 Under Section 109 of the Sarbanes-Oxley Act of 2002)
Other Release No.:  34-69265
34-69275 Apr. 2, 2013 Fixed Income Roundtable (Notice of Roundtable Discussion)
File No.:  4-660
Comments received are available.
* Submit comments on 4-660
First Quarter
33-9397 Mar. 29, 2013 Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.:  34-69257
File No.:  265-28
Comments received are available.
* Submit comments on 265-28
33-9392 Mar. 11, 2013 Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9391 Mar. 11, 2013 Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC (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 Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC)
34-69013 Mar. 1, 2013 Duties of Brokers, Dealers, and Investment Advisers (Request for data and other information.)
Other Release No.:  IA-3558
File No.:  4-606
Comments due: July 5, 2013
Comments received are available.
* Submit comments on 4-606
Federal Register (78 FR 14848): HTML | PDF | text | XML
34-69012 Mar. 1, 2013 Topaz Exchange, LLC (Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.: File No. 10-209
Comments due: April 22, 2013
Comments received are available.
* Submit comments on 10-209
See also: Form 1 Application and Exhibits
34-69011 Mar. 1, 2013 Topaz Exchange, LLC (Order Granting Application for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rules 6a-1 and 6a-2 under the Exchange Act)
34-68992 Feb. 27, 2013 Public Availability of the Securities and Exchange Commission's FY 2012 Service Contract Inventory
33-9384 Feb. 13, 2013 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2013
Other Release No.:  34-68921
IA-3547 Feb. 6, 2013 Investment Adviser Registration Cancellations (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
33-9381 Jan. 9, 2013 JPMorgan Chase & Co. (Order Granting Waivers)
Other Release No.:  34-68610
33-9380 Jan. 9, 2013 J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, INC., And J.P. Morgan Acceptance Corporation I (Order Granting a Waiver)
33-9379 Jan. 9, 2013 SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.:  34-68604
File No.:  265-27
Comments received are available.
* Submit comments on 265-27
33-9378 Jan. 9, 2013 Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.:  34-68603
File No.:  265-28
Comments received are available.
* Submit comments on 265-28

 

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


Modified: 05/08/2013