2026-04-15 Calendar Year 2026 110 34-105108 https://www.sec.gov/files/rules/other/2026/34-105108.pdf 2026-03-30 Order Regarding the Collateral Broker-Dealers May Pledge When Borrowing Customer Securities Atkins Approved Peirce Approved Uyeda Approved 34-105067 https://www.sec.gov/files/litigation/admin/2026/34-105067.pdf 2026-03-23 Application of Egan-Jones Ratings Company to register with the Commission as a nationally recognized statistical rating organization under Section 15E of the Securities Exchange Act of 1934 and in the classes of credit ratings set forth in Exchange Act Sections 3(a)(62)(A)(iv) and (v) Egan-Jones Ratings Company Atkins Abstained Peirce Approved Uyeda Approved IA-6954 https://www.sec.gov/files/litigation/admin/2026/ia-6954.pdf 2026-03-23 Ally Invest Advisors Inc. Ally Invest Advisors Inc. Atkins Approved Peirce Approved Uyeda Approved 34-105062 https://www.sec.gov/files/rules/exorders/2026/34-105062.pdf 2026-03-23 Exemption requested by Egan-Jones Ratings Company from Rule 17g-5(c)(1) under the Securities Exchange Act of 1934 Egan-Jones Ratings Company Atkins Abstained Peirce Approved Uyeda Approved 34-105074 https://www.sec.gov/files/litigation/opinions/2026/34-105074.pdf 2026-03-25 March Extension Orders Tranchina, Christopher Peter Atkins Approved Peirce Approved Uyeda Approved 34-105075 https://www.sec.gov/files/litigation/opinions/2026/34-105075.pdf 2026-03-25 March Extension Orders DiPaola, Jason Lynn Atkins Approved Peirce Approved Uyeda Approved 34-105076 https://www.sec.gov/files/litigation/opinions/2026/34-105076.pdf 2026-03-25 March Extension Orders Robertson, Norman Thorn Atkins Approved Peirce Approved Uyeda Approved SIPA-186 https://www.sec.gov/files/rules/other/2026/sipa-186.pdf 2026-03-26 Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation Not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount Securities Investor Protection Corporation Atkins Approved Peirce Approved Uyeda Approved IA-6955 https://www.sec.gov/files/rules/other/2026/ia-6955.pdf 2026-03-27 Performance-Based Investment Advisory Fees Performance-Based Investment Advisory Fees Atkins Approved Peirce Approved Uyeda Approved 34-104995 https://www.sec.gov/files/litigation/opinions/2026/34-104995.pdf 2026-03-16 Southeast Investments, N.C., Inc., and Frank Harmon Black Southeast Investments, N.C., Inc. Atkins Approved Peirce Approved Uyeda Approved Harmon, Frank Atkins Approved Peirce Approved Uyeda Approved 34-105003 https://www.sec.gov/files/rules/sro/nms/2026/34-105003.pdf 2026-03-16 Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by the Commission, Regarding Implementation of a Revised Funding Model Consolidated Audit Trail, LLC Atkins Approved Peirce Approved Uyeda Approved IA-6953 https://www.sec.gov/files/litigation/admin/2026/ia-6953.pdf 2026-03-17 Frost Management Company, LLC Frost, Stuart Atkins Approved Peirce Approved Uyeda Approved 34-105022 https://www.sec.gov/files/litigation/admin/2026/34-105022.pdf 2026-03-17 Petition of Daniel Urness, CPA for reinstatement to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission, other than as a member of an audit committee as that term is defined in Section 3(a)(58) of the Securities Exchange Act of 1934 Urness, Daniel CPA Atkins Approved Peirce Approved Uyeda Approved 34-105058 https://www.sec.gov/files/rules/exorders/2026/34-105058.pdf 2026-03-20 Notice of an Application of MEMX LLC for Temporary Exemptive Relief from Compliance with Certain Provisions of Rule 610(c) of Regulation NMS, as Amended, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 610(f) of Regulation NMS, and Request for Comment MEMX LLC Atkins Approved Peirce Approved Uyeda Approved 34-104974 https://www.sec.gov/files/litigation/opinions/2026/34-104974.pdf 2026-03-11 Adam Strege Strege, Adam Atkins Approved Peirce Approved Uyeda Approved 34-104986 https://www.sec.gov/files/litigation/opinions/2026/34-104986.pdf 2026-03-12 Post-lapse Extension Orders Allen, Laurence G. Atkins Approved Peirce Approved Uyeda Approved 34-104994 https://www.sec.gov/files/litigation/admin/2026/34-104994.pdf 2026-03-13 Compass Minerals International, Inc. Compass Minerals International, Inc. Atkins Approved Peirce Approved Uyeda Approved 34-104987 https://www.sec.gov/files/litigation/opinions/2026/34-104987.pdf 2026-03-13 Sandeep Aggarwal Aggarwal, Sandeep Atkins Approved Peirce Approved Uyeda Approved 33-11412 https://www.sec.gov/files/rules/interp/2026/33-11412.pdf 2026-03-17 Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets Atkins Approved Peirce Approved Uyeda Approved 34-105004 https://www.sec.gov/files/rules/proposed/2026/34-105004.pdf 2026-03-16 Publication or Submission of Quotations Without Specified Information Atkins Approved Peirce Approved Uyeda Approved 33-11411 https://www.sec.gov/files/rules/final/2026/33-11411.pdf 2026-03-16 Adoption of Updated EDGAR Filer Manual Atkins Approved Peirce Approved Uyeda Approved IA-6950 https://www.sec.gov/files/litigation/admin/2026/ia-6950.pdf 2026-03-03 95508 Liston, Carole A. Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved IA-6951 https://www.sec.gov/files/litigation/admin/2026/ia-6951.pdf 2026-03-04 95583 Shima Capital Management LLC Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 33-11409 https://www.sec.gov/files/litigation/admin/2026/33-11409.pdf 2026-03-05 96089 Miller, Zachary Atkins Approved Peirce Approved Uyeda Approved 34-104931 https://www.sec.gov/files/rules/exorders/2026/34-104931.pdf 2026-03-05 96133 Order Granting Directors and Officers of Certain Foreign Private Issuers an Exemption from the Filing Requirements of Section 16(a) of the Exchange Act Atkins Approved Peirce Approved Uyeda Approved 34-104935 https://www.sec.gov/files/litigation/admin/2026/34-104935.pdf 2026-03-06 96088 Canaccord Genuity Inc. Atkins Approved Peirce Approved Uyeda Approved 34-104937 https://www.sec.gov/files/litigation/admin/2026/34-104937.pdf 2026-03-06 96057 Castellanos, Joel Atkins Approved Peirce Approved Uyeda Approved 34-104934 https://www.sec.gov/files/litigation/admin/2026/34-104934.pdf 2026-03-06 96058 New York Stock Exchange LLC Atkins Approved Peirce Approved Uyeda Approved 34-104936 https://www.sec.gov/files/litigation/admin/2026/34-104936.pdf 2026-03-06 96112 EisnerAmper LLP Atkins Approved Peirce Approved Uyeda Approved 33-11410 https://www.sec.gov/files/rules/other/2026/33-11410.pdf 2026-03-06 96083 Order Regarding Review of Financial Accounting Standards Board 2026 accounting support fee under Section 109 of the Sarbanes-Oxley Act of 2002 Atkins Approved Peirce Approved Uyeda Approved 34-104944 https://www.sec.gov/files/rules/exorders/2026/34-104944.pdf 2026-03-06 96137 Notice of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, from Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Request for Comment Atkins Approved Peirce Approved Uyeda Approved 34-104878 https://www.sec.gov/files/litigation/opinions/2026/34-104878.pdf 2026-02-23 Post-lapse Extension Orders Titan Securities Atkins Approved Peirce Approved Uyeda Approved Brooks, Brad C. Atkins Approved Peirce Approved Uyeda Approved IC-35968 https://www.sec.gov/files/rules/ic/2026/ic-35968.pdf 2026-02-23 Application of WisdomTree Digital Trust WisdomTree Securities, Inc., WisdomTree Digital Management, Inc., and WisdomTree Transfers, Inc., under section 6(c) of the Investment Company Act of 1940 for an exemption from section 22(d) of the Investment Company Act and rule 22c-1 under the Investment Company Act, and from section 17(d) of the Investment Company Act for an order under rule 17d-1 under the Investment Company Act, attached as Exhibit A WISDOMTREE DIGITAL TRUST Atkins Approved Peirce Approved Uyeda Approved WISDOMTREE SECURITIES, INC. Atkins Approved Peirce Approved Uyeda Approved WISDOMTREE DIGITAL MANAGEMENT, INC. Atkins Approved Peirce Approved Uyeda Approved WISDOMTREE TRANSFERS, INC. Atkins Approved Peirce Approved Uyeda Approved 34-104879 https://www.sec.gov/files/litigation/admin/2026/34-104879.pdf 2026-02-23 777 Partners Alfalla, Damien CPA Atkins Approved Peirce Approved Uyeda Approved 34-104880 https://www.sec.gov/files/litigation/admin/2026/34-104880.pdf 2026-02-24 Petition of Joseph Jennings, CPA for reinstatement to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission, other than as a member of an audit committee as that term is defined in Section 3(a)(58) of the Securities Exchange Act of 1934 Jennings, Joseph CPA Atkins Approved Peirce Approved Uyeda Approved 34-104893 https://www.sec.gov/files/rules/sro/nms/2026/34-104893.pdf 2026-02-25 Order Approving Amendment to Modify the OPRA Fee Schedule Regarding Certain Direct Access Connectivity Fees, as Modified by Amendment No. 1 Thereto. Options Price Reporting Authority Atkins Approved Peirce Approved Uyeda Approved 34-104892 https://www.sec.gov/files/rules/sro/nms/2026/34-104892.pdf 2026-02-25 Order Approving Amendment to Add Paragraph (c) to Section 6 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Create a Forum for Discussion Concerning Plan Matters Joint Industry Plan Atkins Approved Peirce Approved Uyeda Approved 34-104894 https://www.sec.gov/files/rules/other/2026/34-104894.pdf 2026-02-25 Notice of an Application of the 24X National Exchange LLC for a Temporary Conditional Exemption from Certain Requirements of Rule 602 of Regulation NMS, Certain Equity Data Plans, and Section 19(g)(1) of the Securities Exchange Act of 1934, Pursuant to Section 36 of the Exchange Act and Rules 602 and 608 of Regulation NMS to Permit Certain Overnight Trading, and Request for Comment 24X National Exchange LLC Atkins Approved Peirce Approved Uyeda Approved 34-104888 https://www.sec.gov/files/litigation/admin/2026/34-104888.pdf 2026-02-25 Okuma Capital Management, LLC Okuma, Ejiro Ode Atkins Approved Peirce Approved with Exception Approved except as to the conduct-based injunction Uyeda Approved IA-6948 https://www.sec.gov/files/litigation/admin/2026/ia-6948.pdf 2026-02-25 Madison Capital Funding LLC Madison Capital Funding LLC Atkins Approved Peirce Approved with Exception Approved except as to the violations of Section 206(4) and Rule 206(4)-8 charges Uyeda Approved 34-104895 https://www.sec.gov/files/rules/other/2026/34-104895.pdf 2026-02-26 Claim for Award 2023-049 Claimant 2 Atkins Approved Peirce Approved Uyeda Approved 34-104896 https://www.sec.gov/files/rules/other/2026/34-104896.pdf 2026-02-26 Claims for Award 2022-156 Claimant 1 Atkins Approved Peirce Approved Uyeda Approved Claimant 2 Atkins Approved Peirce Approved Uyeda Approved Claimant 3 Atkins Approved Peirce Approved Uyeda Approved 34-104900 https://www.sec.gov/files/litigation/admin/2026/34-104900.pdf 2026-02-26 LNPR Group Inc. LNPR Group Inc. Atkins Approved Peirce Approved Uyeda Approved 34-104901 https://www.sec.gov/files/litigation/admin/2026/34-104901.pdf 2026-02-26 Royal Bengal Logistics, Inc. Celicourt, Ricardi Atkins Approved Peirce Approved with Exception Approved except as to the penny stock bar Uyeda Approved 34-104902 https://www.sec.gov/files/litigation/admin/2026/34-104902.pdf 2026-02-26 Royal Bengal Logistics, Inc. Guillaume, Brisly Atkins Approved Peirce Approved with Exception Approved except as to the penny stock bar Uyeda Approved IA-6949 https://www.sec.gov/files/litigation/admin/2026/ia-6949.pdf 2026-02-27 New York Alaska ETF Management LLC Abarbanel, Ofer Atkins Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Uyeda Approved 34-104903 https://www.sec.gov/files/rules/final/2026/34-104903.pdf 2026-02-27 Holding Foreign Insiders Accountable Act Disclosure Atkins Approved Peirce Approved Uyeda Approved File No. 4-878 https://www.sec.gov/files/rules/petitions/2026/4-878_rulemaking-petition-letter.pdf 2026-02-18 Citadel Securities LLC Atkins Approved Peirce Approved Uyeda Approved IC-35962 https://www.sec.gov/files/rules/proposed/2026/ic-35962.pdf 2026-02-18 Form N-PORT Reporting Atkins Approved Peirce Approved Uyeda Approved IC-35963 https://www.sec.gov/files/rules/final/2026/ic-35963.pdf 2026-02-18 Investment Company Names Form N-PORT Reporting; Extension of Compliance Date Atkins Approved Peirce Approved Uyeda Approved 34-104786 https://www.sec.gov/files/rules/other/2026/34-104786.pdf 2026-02-10 Notice of an Application of the Chicago Mercantile Exchange Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 and Request for Comment in Connection with the Opening Price Settlement Requirements of Rule 6h-1(b) Under the Exchange Act for Certain Cash-Settled Security Futures Chicago Mercantile Exchange Inc. Atkins Approved Peirce Approved Uyeda Approved 34-104793 https://www.sec.gov/files/litigation/admin/2026/34-104793.pdf 2026-02-10 Barrington Research Associates, Inc. Barrington Asset Management, Inc. Atkins Approved Peirce Approved Uyeda Approved Paris, Gregory David Atkins Approved Peirce Approved Uyeda Approved 34-104815 https://www.sec.gov/files/litigation/opinions/2026/34-104815.pdf 2026-02-11 The Peter Joseph Polinski Trust The Peter Joseph Polinski Trust Atkins Approved Peirce Approved Uyeda Approved 34-104834 https://www.sec.gov/files/litigation/admin/2026/34-104834.pdf 2026-02-12 Ford Research & Solutions, Inc. Ford Research & Solutions, Inc. Atkins Approved Peirce Approved Uyeda Approved Ford, James Atkins Approved Peirce Approved Uyeda Approved 34-104839 https://www.sec.gov/files/litigation/admin/2026/34-104839.pdf 2026-02-13 Certain Transfers from Wells Fargo Accounts Welsh, Kenneth A. Atkins Approved Peirce Approved Uyeda Approved 34-104841 https://www.sec.gov/files/litigation/admin/2026/34-104841.pdf 2026-02-13 Fox Trot Financial LLC Corsaro, Thomas J. Atkins Approved Peirce Approved Uyeda Approved 34-104843 https://www.sec.gov/files/litigation/admin/2026/34-104843.pdf 2026-02-13 SmileDirectClub, Inc. Tuncaydin, Martin Atkins Approved Peirce Approved with Exception Approved except as to the disgorgement, prejudgment interest, and the officer and director bar Uyeda Approved 34-104846 https://www.sec.gov/files/rules/other/2026/34-104846.pdf 2026-02-13 Petition for review of Commission order issued pursuant to delegated authority, approving a proposed rule change by the Options Clearing Corporation concerning a proposed change in OCC’s methodology for allocating Clearing Fund deposit requirements among its Clearing Members. The Petition for Review was filed by Fidelity Investments. The Options Clearing Corporation Atkins Approved Peirce Approved Uyeda Approved 33-11408 https://www.sec.gov/files/litigation/opinions/2026/33-11408.pdf 2026-02-04 96018 Certain Administrative Proceedings Atkins Approved Peirce Approved Uyeda approved 33-11407 https://www.sec.gov/files/litigation/opinions/2026/33-11407.pdf 2026-02-02 American CryptoFed DAO LLC American CryptoFed DAO LLC Atkins Approved Peirce Approved Uyeda Approved 33-11406 https://www.sec.gov/files/litigation/opinions/33-11406.pdf 2026-02-02 Certain Administrative Proceedings during appropriations lapse Certain Administrative Proceedings Atkins Approved Peirce Approved Uyeda Approved 34-104763 https://www.sec.gov/files/litigation/suspensions/2026/34-104763.pdf Yes 2026-02-01 Cross-Border / China-Based Issuer – TCGL Trading Suspension TechCreate Group Ltd. Atkins Approved Peirce Approved Uyeda Approved 34-104683 https://www.sec.gov/files/litigation/admin/2026/34-104683.pdf 2026-01-26 MJ Capital Funding, LLC Ruiz, Erick M. Atkins Approved Peirce Approved with Exception Approved except as to the penny stock bar Uyeda Approved IC-35912 https://www.sec.gov/files/rules/ic/2026/ic-35912.pdf 2026-01-26 Application of WisdomTree Digital Trust WisdomTree Securities, Inc., WisdomTree Digital Management, Inc., and WisdomTree Transfers, Inc., under section 6(c) of the Investment Company Act of 1940 for an exemption from section 22(d) of the Investment Company Act and rule 22c-1 under the Investment Company Act, and from section 17(d) of the Investment Company Act for an order under rule 17d-1 under the Investment Company Act, attached as Exhibit A WisdomTree Digital Trust Atkins Approved Peirce Approved Uyeda Approved WisdomTree Securities, Inc. Atkins Approved Peirce Approved Uyeda Approved WisdomTree Digital Management, Inc. Atkins Approved Peirce Approved Uyeda Approved WisdomTree Transfers, Inc. Atkins Approved Peirce Approved Uyeda Approved 34-104681 https://www.sec.gov/files/litigation/opinions/2026/34-104681.pdf 2026-01-26 Jan Extension Orders Capellini, Suzanne Marie Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 33-11404 https://www.sec.gov/files/rules/other/2026/33-11404.pdf 2026-01-27 Archer-Daniels-Midland Company Archer-Daniels-Midland Company Atkins Approved Peirce Approved Uyeda Approved 33-11405 https://www.sec.gov/files/rules/other/2026/33-11405.pdf 2026-01-27 Archer-Daniels-Midland Company Archer-Daniels-Midland Company Atkins Approved Peirce Approved Uyeda Approved 33-11403 https://www.sec.gov/files/litigation/admin/2026/33-11403.pdf 2026-01-27 Archer-Daniels-Midland Company Archer-Daniels-Midland Company Atkins Approved Peirce Approved Uyeda Approved Macciocchi, Vince Atkins Approved Peirce Approved Uyeda Approved Young, Ray Atkins Approved Peirce Approved Uyeda Approved 34-104710 https://www.sec.gov/files/litigation/opinions/2026/34-104710.pdf 2026-01-28 Paul Eric Flesche Flesche, Paul Eric Atkins Approved Peirce Approved Uyeda Approved 34-104747 https://www.sec.gov/files/litigation/admin/2026/34-104747.pdf 2026-01-29 Verifone Systems, Inc. Van de Grift, Kevin A. CPA Atkins Approved Peirce Not Approved Uyeda Approved 34-104757 https://www.sec.gov/files/rules/other/2026/34-104757.pdf 2026-01-30 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Grant or Deny an Application for Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934 by Paxos Securities Settlement Company, LLC Paxos Securities Settlement Company, LLC Atkins Approved Peirce Approved Uyeda Approved 34-104750 https://www.sec.gov/files/litigation/opinions/2026/34-104750.pdf 2026-01-30 Southeast Investments, N.C., Inc. and Frank Harmon Black Southeast Investments, N.C., Inc. Atkins Approved Peirce Approved Uyeda Approved Black, Frank Harmon Atkins Approved Peirce Approved Uyeda Approved 34-104753 https://www.sec.gov/files/litigation/opinions/2026/34-104753.pdf 2026-01-30 Jan Extension Orders Lek Securities Corporation Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 34-104762 https://www.sec.gov/files/rules/other/2026/34-104762.pdf 2026-01-30 Order Granting an Application for Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934 by ICE Clear Credit LLC ICE Clear Credit LLC Atkins Approved Peirce Approved Uyeda Approved 34-104748 https://www.sec.gov/files/rules/other/2026/34-104748.pdf 2026-01-30 Notice of an Application of the Fixed Income Clearing Corporation and Chicago Mercantile Exchange Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 in Connection with the Cross-Margining of U.S. Treasury Securities and Related Futures Cross-Margining of U.S. Treasury Securities and Related Futures Atkins Approved Peirce Approved Uyeda Approved IA-6941 https://www.sec.gov/files/litigation/admin/2026/ia-6941.pdf Commission 2026-01-20 95891 FamilyWealth Advisers, LLC Atkins Approved Peirce Approved with Exception Approved except as to the Section 206(4) and Rule 206(4)-7 charges Uyeda Approved FamilyWealth Asset Management, LLC Atkins Approved Peirce Approved with Exception Approved except as to the Section 206(4) and Rule 206(4)-7 charges Uyeda Approved 34-104651 https://www.sec.gov/files/litigation/admin/2026/34-104651.pdf Commission 2026-01-21 95899 Verma, Mohit Atkins Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Uyeda Approved 34-104637 https://www.sec.gov/files/litigation/admin/2026/34-104637.pdf Commission 2026-01-21 95900 Yuan, Song Atkins Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Uyeda Approved 34-104652 https://www.sec.gov/files/litigation/admin/2026/34-104652.pdf Commission 2026-01-22 95729 Hudzik, David Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 33-11401 https://www.sec.gov/files/rules/other/2026/33-11401.pdf Commission 2026-01-22 95942 Public Company Accounting Oversight Board Atkins Approved Peirce Approved Uyeda Approved 34-104662 https://www.sec.gov/files/rules/exorders/2026/34-104662.pdf Commission 2026-01-23 95994 National Market System Plan Atkins Approved Peirce Approved Uyeda Approved 34-104663 https://www.sec.gov/files/rules/exorders/2026/34-104663.pdf Commission 2026-01-23 95994 National Market System Plan Atkins Approved Peirce Approved Uyeda Approved 34-104664 https://www.sec.gov/files/rules/exorders/2026/34-104664.pdf Commission 2026-01-23 95994 National Market System Plan Atkins Approved Peirce Approved Uyeda Approved 33-11402 https://www.sec.gov/files/litigation/opinions/2026/33-11402.pdf Commission 2026-01-23 95859 American CryptoFed DAO LLC Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 34-104678 https://www.sec.gov/files/rules/other/2026/34-104678.pdf Commission 2026-01-23 95996 Nearwater Capital Markets, Ltd. Atkins Approved Peirce Approved Uyeda Approved 34-104677 https://www.sec.gov/files/litigation/admin/2026/34-104677.pdf Commission 2026-01-23 95964 Vertex Education – PA, LLC, f/k/a Charter Choices, LLC Atkins Approved Peirce Approved Uyeda Approved 34-104574 https://www.sec.gov/files/litigation/opinions/2026/34-104574.pdf Commission 2026-01-12 95859 DreamFunded Marketplace, LLC Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved Fernandez, Manuel Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 34-104586 https://www.sec.gov/files/rules/sro/nms/2026/34-104586.pdf Commission 2026-01-13 95961 Joint Industry Plan Atkins Approved Peirce Approved Uyeda Approved 34-104601 https://www.sec.gov/files/litigation/opinions/2026/34-104601.pdf Commission 2026-01-14 95944 IEH Corporation Atkins Approved Peirce Approved Uyeda Approved 34-104613 https://www.sec.gov/files/litigation/suspensions/2026/34-104613.pdf Commission 2026-01-14 95980 JM Group Limited Atkins Approved Peirce Approved Uyeda Approved 34-104612 https://www.sec.gov/files/rules/exorders/2026/34-104612.pdf Commission 2026-01-15 95976 Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 from Compliance with Rule 600(b)(69)(ii) of Regulation NMS Atkins Approved Peirce Approved Uyeda Approved 34-104614 https://www.sec.gov/files/rules/other/2026/34-104614.pdf Commission 2026-01-15 95700 Claimant Atkins Approved Peirce Approved Uyeda Approved 34-104615 https://www.sec.gov/files/rules/other/2026/34-104615.pdf Commission 2026-01-15 95699 Claimant Atkins Approved Peirce Approved Uyeda Approved 34-104616 https://www.sec.gov/files/rules/other/2026/34-104616.pdf Commission 2026-01-15 95698 Claimant Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 33-11400 https://www.sec.gov/files/litigation/admin/2026/33-11400.pdf Commission 2026-01-16 95920 Mahadevia, Ankit Atkins Approved Peirce Not Approved Uyeda Approved Shukla, Satyavrat Atkins Approved Peirce Not Approved Uyeda Approved IA-6940 https://www.sec.gov/files/litigation/admin/2026/ia-6940.pdf Commission 2026-01-16 95921 Engaged Capital, LLC Atkins Approved Peirce Approved Uyeda Approved 34-104627 https://www.sec.gov/files/litigation/admin/2026/34-104627.pdf Commission 2026-01-16 95896 Duarte, Leonela M. Atkins Approved Peirce Approved with Exception Approved except as to the penny stock bar Uyeda Approved 34-104540 https://www.sec.gov/files/rules/other/2026/34-104540.pdf Commission 2026-01-05 Application by Clasificadora de Riesgo Pacific Credit Rating S.A.C., a credit rating agency domiciled in Peru, to register with the Commission as a nationally recognized statistical rating organization under Section 15E of the Securities and Exchange Act of 1934 for the classes of credit ratings described in Section 3(a)(62)(A) of the Exchange Act, et al. Clasificadora de Riesgo Pacific Credit Rating S.A.C. Atkins Approved Peirce Approved Crenshaw Not Approved Uyeda Approved 34-104544 https://www.sec.gov/files/litigation/admin/2026/34-104544.pdf Commission 2026-01-05 Engagement of two tax administrators for calendar years 2026 through 2030 for qualified settlement funds that are established in administrative proceedings and for recommendation for QSFs established in district court cases Miller Kaplan Arase LLP Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved Heffler, Radetich & Saitta LLP Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 34-104536 https://www.sec.gov/files/litigation/opinions/2026/34-104536.pdf Commission 2026-01-05 Jan Extension Orders Mantei, Ricky Alan Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 33-11399 https://www.sec.gov/files/rules/other/2026/33-11399.pdf Commission 2026-01-07 Publication of the Commission’s Regulatory Flexibility Act Rule Review List List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Atkins Approved Peirce Approved Crenshaw Not Approved Uyeda Approved 34-104561 https://www.sec.gov/files/litigation/opinions/2026/34-104561.pdf Commission 2026-01-08 The Michael James Ferguson Jr. Foreign Private Trust The Michael James Ferguson Jr. Foreign Private Trust Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 34-104566 https://www.sec.gov/files/litigation/opinions/2026/34-104566.pdf Commission 2026-01-09 Jan Extension Orders Allen, Laurence G. Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved NYPPEX, LLC Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 34-104573 https://www.sec.gov/files/rules/exorders/2026/34-104573.pdf Commission 2026-01-09 Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934,from Certain Aspects of Rule 3a71-2(a)(1). Order Granting Temporary Exemptive Relief from Certain Aspects of Rule 3a71-2(a)(2)(ii)(B) Atkins Approved Peirce Approved Uyeda Approved IA-6935 2026-01-07 95916 Amendments to the Small Business and Small Organization Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act Atkins Approved Peirce Approved Uyeda Approved IC-35848 https://www.sec.gov/files/rules/ic/2026/ic-35848.pdf 2026-01-02 95731 Oppenheimer & Co. Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved Advantage Advisers Multi-Manager, L.L.C. Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved Oppenheimer Holdings Inc. Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 34-104532 https://www.sec.gov/files/litigation/opinions/2026/34-104532.pdf 2026-01-02 95859 Spartan Capital Securities, LLC Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved Lowry, John D. Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved Monchik, Kim M. Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved 34-104535 https://www.sec.gov/files/litigation/opinions/2026/34-104535.pdf 2026-01-02 95822 Entrex Carbon Market, Inc. (f/k/a UHF Logistics Group, Inc.) Shareholders Atkins Approved Peirce Approved Crenshaw Approved Uyeda Approved