Other Commission Orders, Notices, and Information

Commission orders, notices, and other information in miscellaneous categories such as whistleblower award claims, fee rates, and specific requests for public comment.

Release Number Issue Date File Number Details
34-98985 2024-2 Order Determining Whistleblower Award Claim
34-98902 4-809 Order Granting ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
See Also - ICEU CA Withdrawal Request Letter
PA-61 S7-19-23 Privacy Act of 1974: Systems of Records
Comments Due: November 30, 2023
Submit a Comment on S7-19-23
Federal Register version (88 FR 74550)
34-98746 10-240 MIAX Sapphire, LLC; Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
Comments Due: December 4, 2023
View Received Comments
See Also - Form 1 Application and Exhibits
34-98736 2024-1 Order Determining Whistleblower Award Claim
33-11252, 34-98699, IA-6454, IC-35030 S7-17-23 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
34-98689 PCAOB-2023-02 Notice of Filing of Proposed Rules on the Auditor’s Use of Confirmation, and Other Amendments to Related PCAOB Standards
Comments Due: November 7, 2023
View Received Comments
Submit a Comment on PCAOB-2023-02
34-98680 Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-98672 Public Availability of the Security and Exchange Commission's FY 2020 Service Contract Inventory
34-98668 Order Regarding Net Capital Computation for Jefferies Financial Services, Inc.
34-98642 Order Scheduling Filing of Statements of Review for SR-FINRA-2022-032
34-98655 2023-84 Order Determining Whistleblower Award Claim
33-11249 Certain Broker-Dealer Practices
34-98590 Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
34-98488 Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc.
See Also - FINRA Incoming Fingerprint Plan Cover Letter
34-98340 2023-83 Order Determining Whistleblower Award Claim
34-98331 4-809 Notice of Filing and Request for Comment on ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
Comments Due: October 5, 2023
Submit a Comment on 4-809
34-98236 2023-82 Order Determining Whistleblower Award Claim
34-98235 2023-81 Order Determining Whistleblower Award Claim
33-11225; 34-98226; IA-6388; IC-34993, S7-14-23 Fall 2023 Regulatory Flexibility Agenda
Comments Due: March 11, 2024
View Received Comments
Submit a Comment on S7-14-23
Federal Register version
33-11224; 34-98223 Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates
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