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Other Commission Orders, Notices, and Information Archive: 2012

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
34-68510 Dec. 21, 2012 Decimalization Roundtable (Notice of roundtable discussion; request for comment)
File No.:  4-657
Comments received are available.
34-68489 Dec. 20, 2012 BOX Options Exchange LLC (Order Approving Minor Rule Violation Plan for BOX Options Exchange LLC)
File No.:  4-655
See also:  Notice: Rel. No. 34-68170
34-68341 Dec. 3, 2012 Miami International Securities Exchange, LLC (In the Matter of the Application of Miami International Securities Exchange, LLC for Registration as a National Securities Exchange)
File No.: 10-207
See also:  Notice: Rel. No. 34-67660; Form 1 Application and Exhibits; Amendment No. 1
33-9370 Nov. 28, 2012 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release No.:  34-68309, 39-2487, IA-3506, IC-30282
File No.:  S7-12-12
Comments Due:  January 3, 2013
Comments received are available.
34-68286 Nov. 26, 2012 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
See also:  Extension Orders, Rel. Nos. 34-63363 and 34-65765; and Temporary Exemptive Order, Rel. No. 34-62120
Comments received are available.
33-9369 Nov. 20, 2012 Credit Suisse Securities (USA), LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation (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.:  34-68273
34-68266 Nov. 19, 2012 Financial Industry Regulatory Authority, Inc. (Order Approving Application for Relief from a Statutory Disqualification)
34-68224 Nov. 14, 2012 Hurricane Sandy Exemptive Orders (Order Under Section 17A And Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder and Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder)
Other Release No.:  IC-30261
34-68170 Nov. 6, 2012 BOX Options Exchange LLC (Notice of Filing of Proposed Minor Rule Violation Plan)
File No.:  4-655
See also:  Order: Rel. No. 34-68489
34-68160 Nov. 5, 2012 HR Ratings de México, S.A. de C.V. (Order Granting Registration of HR Ratings de México, S.A. de C.V. as a Nationally Recognized Statistical Rating Organization) (Corrected)
33-9367 Nov. 2, 2012 Notice of Semiannual Regulatory Agenda
Other Release Nos.: 34-68140, IA-3498, IC-30256
File No.: S7-11-12
Comments Due:  February 7, 2013
PA-49 Oct. 25, 2012 Systems of Records (Notice to establish a new system of records and to revise two existing systems of records)
File No.:  S7-10-12
Comments Due:  30 days after publication in the Federal Register
Comments received are available.
IA-3490 Oct. 19, 2012 Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
33-9365 Oct. 9, 2012 Notice of Telephonic Meeting of Securities and Exchange Commission Investor Advisory Committee
Other Release No.:  34-68019
File No.:  265-28
Comments received are available.
Third Quarter
34-67927 Sep. 26, 2012 Acceptance of Public Submissions Regarding the Study of Stable Value Contracts
File No.:  S7-32-11
Comments Due:  November 1, 2012
See also:  Notice: Rel. No. 34-65153
Comments received are available.
33-9360 Sep. 10, 2012 JP Turner & Company, LLC, and William L. Mello (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.:  3-15014
See also:  Order: Rel. No. 34-67808
34-67802 Sep. 7, 2012 Technology and Trading Roundtable (Notice of roundtable discussion; date change.)
File No.:  4-652
Comments Due:  October 23, 2012
See also:  Notice: Rel. No. 34-67725
Comments received are available.
33-9358 Sep. 7, 2012 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
Other Release No.:  34-67801
File No.:  265-28
Comments received are available.
33-9357 Aug. 31, 2012 Order Making Fiscal Year 2013 Annual Adjustments to Registration Fee Rates
Other Release No.:  34-67771
34-67725 Aug. 24, 2012 Technology and Trading Roundtable
File No.:  4-652
Comments Due:  October 5, 2012
Comments received are available.
34-67699 Aug. 21, 2012 Order Determining Whistleblower Award Claim
File No.:  2012-1
34-67698 Aug. 21, 2012 Order Determining Whistleblower Award Claim
File No.:  2012-1
33-9352 Aug. 15, 2012 Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.:  34-67659
File No.:  265-27
Comments Due:  September 5, 2012
Comments received are available.
34-67663 Aug. 15, 2012 Public Availability of the Securities and Exchange Commission's FY 2011 Service Contract Inventory
34-67660 Aug. 15, 2012 Miami International Securities Exchange, LLC (Notice of Filing of Application, as amended, for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.:  10-207
Comments Due:  October 4, 2012
Comments received are available. See also:  Form 1 Application and Exhibits; Amendment No. 1
33-9351 Aug. 14, 2012 Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC
Other Release No.:  34-67651
File No.:  3-14982
33-9350 Aug. 14, 2012 Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC
File No.:  3-14982
33-9347 Jul. 30, 2012 Mizuho Financial Group, 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 as to Mizuho Financial Group, Inc. and Its Affiliates)
Other Release No.:  34-67534
33-9346 Jul. 30, 2012 Mizuho Securities USA, Inc. (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(b)(4) and 602(c)(2) as to Mizuho Securities USA, Inc.)
34-67480 Jul. 20, 2012 Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant
File No.:  S7-24-11
See also:  Order: Release No. 34-64678; Security-Based Swaps Implementation Policy Statement
33-9337 Jul. 13, 2012 Notification of Technical Amendments to Securities Act Industry Guides
Other Release No.:  34-67432
Second Quarter
33-9325 May 22, 2012 Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.:  34-67038
File No.:  265-27
Comments Due:  June 5, 2012
Comments received are available.
33-9322 May 14, 2012 Notice of First Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
Other Release No.:  34-66986
File No.:  265-28
Comments Due:  June 1, 2012
Comments received are available.
34-66976 May 11, 2012 Order Granting Application of BOX Options Exchange, LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
See also:  Request for Limited Exemption
34-66932 May 7, 2012 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (Notice of Federal Advisory Committee Renewal)
File No.:  265-26 Federal Register (77 FR 27444): HTML | PDF | text | XML
33-9320 May 1, 2012 UBS Financial Services Inc. of Puerto Rico (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
See also:  Administrative Proceeding: Rel. No. 33-9318
33-9319 May 1, 2012 UBS Financial Services Inc. of Puerto Rico (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.:  34-66896
See also:  Administrative Proceeding: Rel. No. 33-9318
34-66871 Apr. 27, 2012 BOX Options Exchange LLC (In the Matter of the Application of BOX Options Exchange LLC for Registration as a National Securities Exchange)
File No.: 10-206
See also:  Notice: Rel. No. 34-66242; Form 1 Application and Exhibits; Amendment No. 2
34-66844 Apr. 24, 2012 Financial Industry Regulatory Authority, Inc. (Order Approving Application for Relief from a Statutory Disqualification)
33-9316 Apr. 23, 2012 Regulatory Flexibility Agenda
Other Release Nos.:  34-66845, IA-3400, IC-30041
File No.:  S7-4-12
Comments Due:  30 days after publication in the Federal Register
33-9312 Apr. 12, 2012 Goldman, Sachs & Co (Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Rule 602(C)(3) Disqualification Provision)
See also:  Administrative Proceeding: Rel. No. 34-66791
First Quarter
34-66667 Mar. 28, 2012 The NASDAQ Stock Market LLC (Order Granting Petition for Review and Scheduling Filing of Statements)
PA-48 Mar. 16, 2012 Privacy Act of 1974: System of Records (Notice to revise two existing systems of records)
File No.:  S7-03-12
Comments Due:  April 20, 2012
Effective Date:  April 30, 2012
34-66541 Mar. 8, 2012 Order Granting an Application of BF Enterprises, Inc. under Section 12(h) of the Securities Exchange Act of 1934
File No.:  81-937
33-9300 Mar. 7, 2012 Order Regarding Review of FASB Accounting Support Fee for 2012 under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.:  34-66529
34-66514 Mar. 5, 2012 Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
34-66495 Mar. 1, 2012 Order Making Fiscal Year 2012 Mid-year Adjustments to Transaction Fee Rates
34-66461 Feb. 24, 2012 Order Cancelling Clearing Agency Registration of Midwest Securities Trust Company
File No.:  600-7
34-66460 Feb. 24, 2012 Order Cancelling Clearing Agency Registration of the Pacific Securities Depository Trust Company
File No.:  600-10
34-66459 Feb. 24, 2012 Order Cancelling Clearing Agency Registration of the Pacific Clearing Corporation
File No.:  600-11
34-66458 Feb. 24, 2012 Order Cancelling Clearing Agency Registration of the Midwest Clearing Corporation
File No.:  600-9
34-63899 Feb. 14, 2012 Public Availability of the Securities and Exchange Commission's FY 2010 Service Contract Inventory
IA-3369 Feb. 7, 2012 Gravity Capital Partners, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.:  801-71579
34-66242 Jan. 26, 2012 BOX Options Exchange LLC (Notice of Filing of Application, as amended, for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.:  File No. 10-206
Comments Due: March 16, 2012
See also:  Form 1 Application and Exhibits; Amendment No. 2; Order: Release No. 34-66871
34-66241 Jan. 26, 2012 BOX Options Exchange LLC (Order Granting Application by BOX Options Exchange LLC 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)
34-66202 Jan. 20, 2012 Order Making Fiscal Year 2012 Annual Adjustments to Transaction Fee Rates
34-66164 Jan. 17, 2012 Comment Request for Study Regarding Financial Literacy Among Investors
File No.:  4-645
Comments Due:  March 23, 2012
Comments received are available.
IA-3354 Jan. 17, 2012 Royal Oak Capital Management, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.:  801-68894
33-9294 Jan. 11, 2012 PCAOB (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2012)
Other Release No.:  34-66141
33-9293 Jan. 10, 2012 Notice of Meeting of SEC Advisory Committee on Small and Emerging Companies
Other Release No.:  34-66123
File No.:  265-27
Comments Due:  January 27, 2012
Comments received are available.
IC-29913 Jan. 4, 2012 Wells Fargo Bank, N.A., et al.
File No.:  812-13987
See also:  Notice and Temporary Order

 

http://www.sec.gov/rules/other/otherarchives/other2012.shtml


Modified: 07/22/2014