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 Archives: 2010

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

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
IA-3126 Dec. 22, 2010 Filing Fees (Order Approving Investment Adviser Registration Depository Filing Fees)
33-9168 Dec. 22, 2010 PCAOB (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2011)
Other Release No.:  34-63596
34-63573 Dec. 17, 2010 Credit Rating Standardization Study
File No.:  4-622
Comments Due:  February 7, 2011
Comments received are available.
33-9162 Dec. 10, 2010 Order Approving Public Company Accounting Oversight Board Supplemental Budget Request to Establish an Office of Outreach and Small Business Liaison in 2010
Other Release No.:  34-63526
33-9161 Dec. 9, 2010 Jefferies & Co., Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-12495
34-63435 Dec. 6, 2010 Joint Public Roundtable on Issues Related to Capital and Margin Requirements for Swaps and Security-Based Swaps (Notice of Roundtable Discussion; Request for Comment)
File No.:  4-621
34-63423 Dec. 3, 2010 Acceptance of Public Submissions on a Study Mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 719(b)
File No.:  4-620
Comments Due:  December 31, 2010
Comments received are available. Submit comments on 4-620
IA-3119 Dec. 2, 2010 Approval of Investment Adviser Registration Depository Filing Fees
File No.:  S7-38-10
See also:  FINRA letter dated November 12, 2010
SIPA-169 Nov. 30, 2010 Notice of Filing of a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members
File No.:  SIPC-2010-01
Comments Due:  December 27, 2010
See also:  Order: Rel. No. SIPA-170
34-63363 Nov. 23, 2010 Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements Of Rule 17g-5 under the Securities Exchange Act of 1934 and Request for Comment
File No.:  S7-04-09
Comments received are available. See also:  Final Rule Rel. No. 34-61050; Proposed Rule Rel. No. 34-59343; Exemptive Order Rel. No. 34-62120; Rountable Notice Rel. No. 34-59753
IC-29497 Nov. 3, 2010 President's Working Group Report on Money Market Fund Reform (Request for Comment)
File No.:  4-619
Comments Due:  January 10, 2011
Comments received are available. See also:  Response to Questions Posed by Commissioners Aguilar, Paredes, and Gallagher
34-63211 Oct. 29, 2010 Notice of Intention to Cancel Registrations of Certain Transfer Agents
34-63174 Oct. 25, 2010 Study on Extraterritorial Private Rights of Action (Request for Comments)
File No.:  4-617
Comments Due:  February 18, 2011
Comments received are available.
34-63169 Oct. 25, 2010 Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
File No.:  265-26
Comments Due:  November 4, 2010
33-9154 Oct. 20, 2010 Citigroup 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)
34-63113 Oct. 15, 2010 Order Approving Minor Rule Violation Plan for BATS Y-Exchange, Inc.
File No.:  4-616
See also:  Notice: Rel. No. 34-62924
34-63112 Oct. 15, 2010 Joint Public Roundtable on Issues Related to the Clearing of Credit Default Swaps (Notice of roundtable discussion; request for comment)
File No.:  4-615
34-63108 Oct. 14, 2010 Study Required by Section 989G(b) of the Dodd-Frank Act Regarding Compliance with Section 404(b) of the Sarbanes-Oxley Act
File No.:  S7-29-10
Comments Due:  December 6, 2010
Comments received are available.
33-9149 Oct. 4, 2010 In the Matter of the Motion of the Business Roundtable and the Chamber of Commerce of the United States of America for Stay of Effect of Commission's Facilitating Shareholder Director Nominations Rules (Order Granting Stay)
Other Release Nos.:  34-63031, IC-29456
File No.:  S7-10-09
See also:  Final Rule Release No. 33-9259; FR Notice of Stay of Effective and Compliance Dates; Final Rule Release No. 33-9136; Proposed Rule Release No. 33-9086; Proposed Rule Release No. 33-9046
Third Quarter
34-62924 Sep. 16, 2010 Notice of Filing of Proposed Minor Rule Violation Plan
File No.:  10-198
Comments Due:  October 14, 2010
See also:  Order: Rel. No. 34-63113
33-9141 Sep. 10, 2010 Semiannual Regulatory Agenda
Other Release Nos.:  34-62881, IA-3081, IC-29414
File No.:  S7-21-10
Comments Due:  December 30, 2010
34-62864 Sep. 8, 2010 Joint Public Roundtable on Swap Execution Facilities and Security-Based Swap Execution Facilities
File No.:  4-612
Comments received on Mandatory Exchange Trading and Swap Execution Facilities are available.
34-62863 Sep. 8, 2010 Joint Public Roundtable to Discuss Data for Swaps and Security-Based Swaps, Swap Data Repositories, Security-Based Swap Data Repositories, and Real-Time Public Reporting
File No.:  4-611
Comments received on Swap Data Repositories are available. Comments received on Real-Time Reporting are available.
34-62853 Sep. 7, 2010 State of the Municipal Securities Market Field Hearings
File No.:  4-610
Comments received are available.
33-9138 Sep. 3, 2010 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos.:  34-62841, 39-2470, IA-3078, IC-29408
File No.:  S7-20-10
Comments Due:  December 15, 2010
34-62784 Aug. 27, 2010 Notice Regarding the Requirement to Use eXtensible Business Reporting Language Format to Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act
PA-44A Aug. 19, 2010 Privacy Act of 1974: Systems of Records (Notice to Establish Systems of Records (Correction))
File No.:  S7-17-10
Effective Date:  September 29, 2010, unless further notice is given
Comments Due:  September 22, 2010
34-62725 Aug. 16, 2010 Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps and Security-Based Swaps
File No.:  4-609
34-62717 Aug. 13, 2010 Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
Comments due:  September 20, 2010
File No.:  S7-16-10
Comments received are available for this notice
Federal Register version
34-62716 Aug. 13, 2010 In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange (Findings, Opinion, and Order of the Commission)
File No.:  10-198
33-9134 Aug. 12, 2010 Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers
Other Release No.:  34-62700
File No.:  4-608
Comments Due:  October 18, 2010
Comments received are available.
33-9133 Aug. 12, 2010 Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers
Other Release No.:  34-62699
File No.:  4-607
Comments Due:  October 18, 2010
Comments received are available.
33-9131 Aug. 2, 2010 General Electric Company (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) & 602(b)(4) Disqualification Provisions)
34-62577 Jul. 27, 2010 Study Regarding Obligations of Brokers, Dealers, and Investment Advisers
Other Release No.:  IA-3058
File No.:  4-606
Comments Due:  August 30, 2010
Comments received are available.
34-62552 Jul. 23, 2010 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues)
File No.:  265-26
Comments Due:  August 10, 2010
Comments received are available.
33-9130 Jul. 22, 2010 Goldman, Sachs & Co. (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 Goldman, Sachs & Co. And Its Affiliates)
Other Release No.:  34-62556
33-9129 Jul. 22, 2010 Goldman, Sachs & Co. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) & 602(b)(4) Disqualification Provisions)
Second Quarter
34-62348 Jun. 22, 2010 Fixed Income Clearing Corporation (Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency)
File No.:  600-23
Comments Due:  July 19, 2010
PA-43 Jun. 17, 2010 Privacy Act of 1974: Systems of Records
File No.:  S7-13-10
Comments Due:  July 23, 2010
Effective Date:  August 2, 2010
Comments received are available.
34-62266 Jun. 10, 2010 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues)
File No.:  265-26
Comments Due:  June 18, 2010
Comments received are available.
34-62120 May 19, 2010 Order Granting Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment
File No.:  S7-04-09
Comments received are available.
34-62115 May 18, 2010 Market Structure Roundtable (Notice of roundtable discussion; request for comment)
File No.:  4-602
Comments Due:  June 23, 2010
Comments received are available.
34-62114 May 18, 2010 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues)
File No.:  265-26
Comments Due:  May 21, 2010
Comments received are available.
33-9123 May 10, 2010 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Other Release No.:  34-61982
File No.:  265-26
Comments received are available.
34-62037 May 5, 2010 EDGA Exchange, Inc. (Order Approving Minor Rule Violation Plan)
File No.:  4-595
See also:  Notice: Rel. No. 34-61753
34-62036 May 5, 2010 EDGX Exchange, Inc. (Order Approving Minor Rule Violation Plan)
File No.:  4-594
See also:  Notice: Rel. No. 34-61752
33-9122 Apr. 29, 2010 Order Making Fiscal Year 2011 Annual Adjustments to the Fee Rates Applicable under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 1934
Other Release No.:  34-62005
34-61995 Apr. 27, 2010 Patrick C. Lubin (Order Approving Application for Relief from a Statutory Disqualification)
33-9120 Apr. 26, 2010 Notice of Meeting of SEC Investor Advisory Committee
Other Release No.:  34-61982
File No.:  265-25-04
Comments Due:  May 10, 2010
Comments received are available.
34-61930 Apr. 16, 2010 Wynnefield Capital Management LLC and Wynnefield Capital, Inc. (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption From Rule 13f-1 Under the Securities Exchange Act of 1934)
PA-42 Apr. 2, 2010 Privacy Act of 1974: Systems of Records
File No.:  S7-07-10
Comments Due:  May 10, 2010
Effective Date:  May 18, 2010
First Quarter
34-61803 Mar. 30, 2010 Chicago Mercantile Exchange Inc. (Order Extending Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments)
File No.:  S7-06-09
Comments received are available.
34-61753 Mar. 22, 2010 EDGA Exchange, Inc. (Notice of Filing of Proposed Minor Rule Violation Plan)
File No.:  4-595
Comments Due:  April 28, 2010
See also:  Order: Rel. No. 34-62037
34-61752 Mar. 22, 2010 EDGX Exchange, Inc. (Notice of Filing of Proposed Minor Rule Violation Plan)
File No.:  4-594
Comments Due:  April 28, 2010
See also:  Order: Rel. No. 34-62036
34-61722 Mar. 17, 2010 Chicago Board Options Exchange, Inc. (Order Extending Time to File Statements)
File No.:  SR-ISE-2009-35
See also:  Order: Rel. No. 34-60989
Statements received are available.
33-9112 Mar. 16, 2010 Regulatory Flexibility Agenda
Other Release Nos.:  34-61714, IA-3001, IC-29175
File No.:  S7-06-10
Comments Due:  June 30, 2010
34-61698 Mar. 12, 2010 In the Matter of the Applications of EDGX Exchange, Inc., and EDGA Exchange, Inc. for Registration as National Securities Exchanges (Findings, Opinion, and Order of the Commission)
File Nos.:  10-194 and 10-196
See also:  EDGX Amendment No. 2 and EDGA Amendment No. 2
34-61662 Mar. 5, 2010 ICE Trust U.S. LLC (Order Extending Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request of ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments)
File No.:   S7-05-09
Comments received are available.
See also:  ICE Request Letter
34-61651 Mar. 5, 2010 Policy Statement on Obtaining and Retaining Beneficial Ownership Information for Anti-Money Laundering Purposes
See also:  Joint Release - Guidance on Obtaining and Retaining Beneficial Ownership Information
34-61605 Mar. 1, 2010 Order Making Fiscal Year 2010 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
PA-41 Feb. 25, 2010 Privacy Act of 1974: Systems of Records
File No.:  S7-05-10
Comments Due:  April 5, 2010 Federal Register version
33-9109 Feb. 24, 2010 Commission Statement in Support of Convergence and Global Accounting Standards
Other Release No.:  34-61578
Federal Register version
33-9105 Feb. 2, 2010 Order Regarding Review of FASB Accounting Support Fee for 2010 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.:  34-61468
33-9104 Feb. 2, 2010 Notice of Meeting of SEC Investor Advisory Committee
Other Release No.:  34-61462
File No.:  265-25-03
Comments Due:  February 16, 2010
Comments received are available.
33-9103 Jan. 27, 2010 TD Ameritrade, 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)
Other Release No.:  34-61428
File No.:  3-13557
34-61400 Jan. 22, 2010 BATS Y-Exchange, Inc. (Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934)
File No.:  10-198
Comments Due:  March 15, 2010
See also:  Form 1 Application and Exhibits
34-61366 Jan. 15, 2010 Full Value Advisors, LLC (Stay Order)
See also:  Order Denying Application for Exemption
34-61328 Jan. 11, 2010 Full Value Advisors, LLC (Order Pursuant to Sections 13(f)(3) and 13(f)(4) of the Securities Exchange Act of 1934 Denying Requests for Confidential Treatment of Information Required to be Filed Pursuant to Section 13(f)(1) of the Securities Echange Act of 1934)
34-61327 Jan. 11, 2010 Full Value Advisors, LLC (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Securities Exchange Act of 1934)
See also:  Stay Order

 

http://www.sec.gov/rules/other/otherarchive/other2010.shtml


Modified: 10/16/2014