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Other Commission Orders, Notices, and Information

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
33-9505 Dec. 26, 2013 Nomura Holdings, 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.:  34-71192
33-9504 Dec. 26, 2013 Instinet, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9494 Dec. 12, 2013 Merrill Lynch, Pierce, Fenner & Smith Incorporated (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 Bank of America Corporation and Its Affiliates)
33-9491 Dec. 4, 2013 Fifth Third Bancorp (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.:  34-70984
33-9489 Dec. 3, 2013 RBS Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) & 602(c)(2) Disqualification Provisions)
33-9487 Nov. 26, 2013 The Royal Bank of Scotland Group plc (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 the Royal Bank of Scotland Group plc and Its Affiliates)
Other Release No.:  34-70949
34-70929 Nov. 22, 2013 Proxy Advisory Firm Roundtable (Notice of Roundtable Discussion)
Other Release No.:  IA-3721
File No.:  4-670
Comments Due:  January 10, 2014
Comments received are available.
34-70927 Nov. 22, 2013 Topaz Exchange, LLC (Notice of Filing of Proposed Minor Rule Violation Plan)
Comments due: 21 days after publication in the Federal Register
See also:  Notice Rel. No. 34-71276
33-9476 Nov. 12, 2013 Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.:  34-70847
File No.:  265-28
Comments Due:  November 22, 2013
Comments received are available.
33-9475 Nov. 6, 2013 Notice of Semiannual Regulatory Agenda
Other Release Nos.: 34-70819, IA-3711, IC-30775
File No.: S7-10-13
Comments Due: February 6, 2014
34-70775 Oct. 30, 2013 Order Determining Whistleblower Award Claim
File No.:  2014-2
34-70772 Oct. 30, 2013 Order Denying Whistleblower Award Claim
File No.:  2014-1
SIPA-171 Oct. 29, 2013 Securities Investor Protection Corporation (Notice of Filing a Proposed Rule Change Relating to Securities Investor Protection Corporation Rule 400)
File No.:  SIPC-2012-01
Comments Due:  November 26, 2013 Federal Register (78 FR 66318): HTML | PDF | text | XML
Third Quarter
34-70554 Sep. 30, 2013 Order Determining Whistleblower Award Claim
File No.:  2013-4
33-9456 Sep. 24, 2013 SEC Advisory Committee on Small and Emerging Companies (Notice of Federal Advisory Committee Renewal)
Other Release No.:  34-70491
File No.:  265-27
33-9447 Aug. 30, 2013 Order Making Fiscal Year 2014 Annual Adjustments to Registration Fee Rates
Other Release No.:  34-70298
34-70293 Aug. 30, 2013 Order Determining Whistleblower Award Claim
File No.:  2013-3
33-9445 Aug. 23, 2013 SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.:  34-70251
File No.:  265-27
Comments Due:  September 13, 2013
Comments received are available.
33-9439 Aug. 6, 2013 UBS Securities 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 UBS Securities LLC and Its Affiliates)
Other Release No.:  34-70122
File No.:  3-15407
See also:  Order Instituting Proceedings
33-9436 Jul. 31, 2013 A.R. Schmeidler & 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.:  3-15399
34-70050 Jul. 26, 2013 Topaz Exchange, LLC (In the Matter of the Application of Topaz Exchange, LLC for Registration as a National Securities Exchange)
See also:  Notice: Rel. No. 34-69012; Form 1 Application and Exhibits; Amendment No. 3
IA-3631 Jul. 18, 2013 Bruce Lieberman (Order Granting Consent to Associate)
33-9432 Jul. 17, 2013 Gaspard Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186201)
33-9431 Jul. 17, 2013 Lost Hills Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186343)
33-9430 Jul. 17, 2013 Kingman River Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186342)
33-9429 Jul. 17, 2013 Jewel Explorations Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186202)
33-9428 Jul. 17, 2013 Goldstream Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-183086)
33-9427 Jul. 17, 2013 Gold Camp Explorations Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185851)
33-9426 Jul. 17, 2013 Eclipse Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185227)
33-9425 Jul. 17, 2013 Coronation Mining Corp. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186203)
33-9424 Jul. 17, 2013 Chum Mining Group Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185210)
33-9423 Jul. 17, 2013 CBL Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186341)
33-9422 Jul. 17, 2013 Bonanza Resources Corp. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186340)
33-9421 Jul. 17, 2013 Yuma Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186345)
33-9420 Jul. 17, 2013 Tuba City Gold Corp. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185848)
33-9419 Jul. 17, 2013 Seaview Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186344)
33-9418 Jul. 15, 2013 Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.:  34-69988
File No.:  265-28
Comments received are available.
PA-50 Jul. 8, 2013 Systems of Records (Notice to revise two existing systems of records)
File No.:  S7-05-13
Effective Date:  August 21, 2013
Comments Due:  August 12, 2013
33-9412 Jul. 3, 2013 La Paz Mining Corp. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-182751)
33-9411 Jul. 3, 2013 Clearpoint Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185849)
33-9410 Jul. 3, 2013 Braxton Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185850)
34-69918 Jul. 2, 2013 Frank P. Meadows (Order Granting Consent to Associate)
34-69912 Jul. 2, 2013 Order Determining Whistleblower Award Claim
File No.:  2013-2
Second Quarter
34-69838 Jun. 24, 2013 FICC (Order Granting the Fixed Income Clearing Corporation's Amended Application for Permanent Registration as a Clearing Agency)
File No.:  600-23
See also:  Notice: Rel. No. 34-69362
33-9409 Jun. 19, 2013 Notice of Semiannual Regulatory Agenda
Other Release Nos.: 34-69800, IA-3617, IC-30563
File No.: S7-04-13
Comments Due:  August 22, 2013
34-69749 Jun. 12, 2013 Order Determining Whistleblower Award Claim
File No.:  2013-1
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 and Supplemental Letter
Comments received are available.
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.
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
See also:  Order: Rel. No. 34-69838
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.
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.
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.
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. 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. 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)
See also: Incoming Letter
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.
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.

 

http://www.sec.gov/rules/other/otherarchives/other2013.shtml


Modified: 09/29/2014