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Release Number:33-11007, 34-93573
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SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
View Received Comments
Federal Register version (86 FR 64569)
|
|
Release Number:34-93569
|
SEC Issue Date:
|
File Number:2022-13
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93547
|
SEC Issue Date:
|
File Number:2022-12
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93511
|
SEC Issue Date:
|
File Number:
|
Details: Financial Industry Regulatory Authority, Inc.
See Also -
FBI Compact Officer Approval Letter, FINRA Incoming Fingerprint Plan Cover Letter
Federal Register version (86 FR 61801)
|
|
Release Number:34-93475
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Net Capital and Initial Margin Computations for Morgan Stanley Capital Services LLC
|
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Release Number:34-93476
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SEC Issue Date:
|
File Number:
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Details: Order Regarding Initial Margin Computation for Nomura Global Financial Products Inc.
|
|
Release Number:34-93477
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SEC Issue Date:
|
File Number:
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Details: Order Regarding Initial Margin Computation for Goldman Sachs Financial Markets, L.P.
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|
Release Number:34-93478
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Initial Margin Computation for Citigroup Global Markets Inc.
|
|
Release Number:34-93479
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Net Capital and Initial Margin Computations for Jefferies Financial Services, Inc.
|
|
Release Number:34-93480
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Initial Margin Computation for Goldman Sachs & Co. LLC
|
|
Release Number:34-93483
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Net Capital Computation for Nomura Global Financial Products Inc.
|
|
Release Number:34-93485
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Net Capital Computation for Goldman Sachs Financial Markets, L.P.
|
|
Release Number:34-93465
|
SEC Issue Date:
|
File Number:2022-11
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93440
|
SEC Issue Date:
|
File Number:2022-9
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93441
|
SEC Issue Date:
|
File Number:2022-10
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:PA-57
|
SEC Issue Date:
|
File Number:S7-14-21
|
Details: Privacy Act of 1974; System of Records
View Received Comments
Federal Register version (86 FR 60496)
|
|
Release Number:34-93414
|
SEC Issue Date:
|
File Number:2022-8
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-11002, 34-93402
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (86 FR 59439)
|
|
Release Number:33-11002, 34-93402
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (86 FR 59439)
|
|
Release Number:34-93412
|
SEC Issue Date:
|
File Number:S7-09-21
|
Details: Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain
View Received Comments
Federal Register version (86 FR 59776)
|
|
Release Number:34-93411
|
SEC Issue Date:
|
File Number:S7-08-21
|
Details: Amended and Restated Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Federal Republic of Germany; Amended Orders Addressing Non-U.S. Security-Based Swap Entities Subject to Regulation in the French Republic or the United Kingdom; and Order Extending the Time To Meet Certain Conditions Relating to Capital and Margin
Federal Register version (86 FR 59797)
|
|
Release Number:34-93396
|
SEC Issue Date:
|
File Number:
|
Details: Public Availability of the Securities and Exchange Commission's FY 2019 Service Contract Inventory
Federal Register version (86 FR 59258)
|
|
Release Number:34-93389
|
SEC Issue Date:
|
File Number:
|
Details: Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15b(C)(3) of the Securities Exchange Act of 1934
|
|
Release Number:34-93391
|
SEC Issue Date:
|
File Number:265-33
|
Details: Asset Management Advisory Committee; Meeting
View Received Comments
Federal Register version (86 FR 59258)
|
|
Release Number:34-93380
|
SEC Issue Date:
|
File Number:265-33
|
Details: Asset Management Advisory Committee
View Received Comments
Federal Register version (86 FR 58712)
|
|
Release Number:34-93370
|
SEC Issue Date:
|
File Number:2022-7
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93339
|
SEC Issue Date:
|
File Number:2022-5
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93340
|
SEC Issue Date:
|
File Number:2022-6
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93335
|
SEC Issue Date:
|
File Number:
|
Details: Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap Dealers and Major Security-Based Swap Participants That Are Not U.S. Persons and Are Relying on Substituted Compliance Determinations With Respect to Rule 18a-7
Federal Register version (86 FR 59208)
|
|
Release Number:34-93286
|
SEC Issue Date:
|
File Number:2022-4
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93284
|
SEC Issue Date:
|
File Number:S7-07-21
|
Details: Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation
Federal Register version (86 FR 57455)
|
|
Release Number:34-93274
|
SEC Issue Date:
|
File Number:2022-2
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93275
|
SEC Issue Date:
|
File Number:2022-3
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10995, 34-93258, IA-5885, IC-34393
|
SEC Issue Date:
|
File Number:S7-13-21
|
Details: Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 5382)
|
|
Release Number:33-10995, 34-93258, IA-5885, IC-34393
|
SEC Issue Date:
|
File Number:S7-13-21
|
Details: Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 5382)
|
|
Release Number:33-10995, 34-93258, IA-5885, IC-34393
|
SEC Issue Date:
|
File Number:S7-13-21
|
Details: Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 5382)
|
|
Release Number:33-10995, 34-93258, IA-5885, IC-34393
|
SEC Issue Date:
|
File Number:S7-13-21
|
Details: Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 5382)
|
|
Release Number:34-93233
|
SEC Issue Date:
|
File Number:2022-1
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10993, 34-93204, 39-2541, IC-34392
|
SEC Issue Date:
|
File Number:S7-12-21
|
Details: Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 55029)
|
|
Release Number:33-10993, 34-93204, 39-2541, IC-34392
|
SEC Issue Date:
|
File Number:S7-12-21
|
Details: Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 55029)
|
|
Release Number:33-10993, 34-93204, 39-2541, IC-34392
|
SEC Issue Date:
|
File Number:S7-12-21
|
Details: Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 55029)
|
|
Release Number:33-10993, 34-93204, 39-2541, IC-34392
|
SEC Issue Date:
|
File Number:S7-12-21
|
Details: Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 55029)
|
|
Release Number:34-93142
|
SEC Issue Date:
|
File Number:2021-97
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93145
|
SEC Issue Date:
|
File Number:2021-98
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93118
|
SEC Issue Date:
|
File Number:2021-96
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93055
|
SEC Issue Date:
|
File Number:2021-95
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93049
|
SEC Issue Date:
|
File Number:2021-94
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10983, 34-93048
|
SEC Issue Date:
|
File Number:
|
Details: Order Approving The Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2021
|
|
Release Number:33-10983, 34-93048
|
SEC Issue Date:
|
File Number:
|
Details: Order Approving The Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2021
|
|
Release Number:34-93051
|
SEC Issue Date:
|
File Number:
|
Details: In the Matter of Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data: Order Denying Stay
|
|
Release Number:34-93013
|
SEC Issue Date:
|
File Number:2021-92
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-93016
|
SEC Issue Date:
|
File Number:2021-93
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92985
|
SEC Issue Date:
|
File Number:2021-91
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92969
|
SEC Issue Date:
|
File Number:2021-90
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92966
|
SEC Issue Date:
|
File Number:265-33
|
Details: Asset Management Advisory Committee; Meeting
View Received Comments
Federal Register version (86 FR 51943)
|
|
Release Number:34-92929
|
SEC Issue Date:
|
File Number:2021-88
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92931
|
SEC Issue Date:
|
File Number:2021-89
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10976, 34-92872
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (86 FR 50569)
|
|
Release Number:33-10976, 34-92872
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (86 FR 50569)
|
|
Release Number:34-92766, IA-5833
|
SEC Issue Date:
|
File Number:S7-10-21
|
Details: Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice
Comments Due: October 1, 2021
View Received Comments
See Also -
Press Release
Federal Register version (86 FR 49067)
|
|
Release Number:34-92766, IA-5833
|
SEC Issue Date:
|
File Number:S7-10-21
|
Details: Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice
Comments Due: October 1, 2021
View Received Comments
See Also -
Press Release
Federal Register version (86 FR 49067)
|
|
Release Number:34-92777
|
SEC Issue Date:
|
File Number:2021-85
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92778
|
SEC Issue Date:
|
File Number:2021-86
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92780
|
SEC Issue Date:
|
File Number:2021-87
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10968, 34-92783
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
View Received Comments
Federal Register version (86 FR 49067)
|
|
Release Number:33-10968, 34-92783
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
View Received Comments
Federal Register version (86 FR 49067)
|
|
Release Number:34-92767
|
SEC Issue Date:
|
File Number:2021-84
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10965, 34-92720
|
SEC Issue Date:
|
File Number:
|
Details: Order Making Fiscal Year 2022 Annual Adjustments to Registration Fee Rates
Federal Register version (86 FR 47696)
|
|
Release Number:33-10965, 34-92720
|
SEC Issue Date:
|
File Number:
|
Details: Order Making Fiscal Year 2022 Annual Adjustments to Registration Fee Rates
Federal Register version (86 FR 47696)
|
|
Release Number:34-92711
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Exemption from Section 16 of the Securities Exchange Act of 1934 for PG&E Fire Victim Trust
|
|
Release Number:34-92716
|
SEC Issue Date:
|
File Number:S7-09-21
|
Details: Notice of Substituted Compliance Application Submitted by the Spanish Financial Conduct Authority in Connection With Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain; Proposed Order
View Received Comments
See Also -
Application
Federal Register version (86 FR 47668)
|
|
Release Number:34-92708
|
SEC Issue Date:
|
File Number:2021-83
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92647
|
SEC Issue Date:
|
File Number:S7-08-21
|
Details: Notice of Application for the Amendment of Substituted Compliance Determination Regarding Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Amendments to Order
View Received Comments
See Also -
Substituted Compliance Application
Federal Register version (86 FR 46500)
|
|
Release Number:34-92621
|
SEC Issue Date:
|
File Number:2021-80
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92622
|
SEC Issue Date:
|
File Number:2021-81
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92623
|
SEC Issue Date:
|
File Number:2021-82
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92632
|
SEC Issue Date:
|
File Number:S7-07-21
|
Details: Notice of Substituted Compliance Application Submitted by UBS AG and Credit Suisse AG in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation; Proposed Order
View Received Comments
See Also -
Substituted Compliance Application, Annex 1, and Annex 2
Federal Register version (86 FR 45770)
|
|
Release Number:34-92587
|
SEC Issue Date:
|
File Number:2021-78
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92589
|
SEC Issue Date:
|
File Number:2021-79
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92541
|
SEC Issue Date:
|
File Number:2021-76
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92542
|
SEC Issue Date:
|
File Number:2021-77
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92529
|
SEC Issue Date:
|
File Number:S7-04-21
|
Details: Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom
Federal Register version (86 FR 43318)
|
|
Release Number:34-92530
|
SEC Issue Date:
|
File Number:
|
Details: Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
Federal Register version (86 FR 42957)
|
|
Release Number:34-92484
|
SEC Issue Date:
|
File Number:S7-22-20
|
Details: Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic
Comments Due: 25 days after publication in the Federal Register
View Received Comments
See Also -
Release No. 34-90766
Federal Register version (86 FR 41612)
|
|
Release Number:34-92456
|
SEC Issue Date:
|
File Number:2021-75
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92416
|
SEC Issue Date:
|
File Number:2021-74
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92411
|
SEC Issue Date:
|
File Number:2021-71
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92412
|
SEC Issue Date:
|
File Number:2021-72
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92413
|
SEC Issue Date:
|
File Number:2021-73
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92375
|
SEC Issue Date:
|
File Number:2021-70
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92355
|
SEC Issue Date:
|
File Number:2021-67
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92356
|
SEC Issue Date:
|
File Number:2021-68
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92357
|
SEC Issue Date:
|
File Number:2021-69
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92332
|
SEC Issue Date:
|
File Number:
|
Details: Public Availability of the Securities and Exchange Commission's FY2018 Service Contract Inventory
Federal Register version (86 FR 36589)
|
|
Release Number:34-92247
|
SEC Issue Date:
|
File Number:2021-64
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92248
|
SEC Issue Date:
|
File Number:2021-66
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92251
|
SEC Issue Date:
|
File Number:2021-65
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92210
|
SEC Issue Date:
|
File Number:2021-61
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92212
|
SEC Issue Date:
|
File Number:2021-62
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92214
|
SEC Issue Date:
|
File Number:2021-63
|
Details: Order Determining Whistleblower Award Claim
|
