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
34-106610 600-47 Cboe Clear U.S., LLC; Notice of Filing of an Amendment to Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: 21 days from publication in the Federal Register
View Received Comments
See Also - Form CA-1 Application and Exhibits
Submit a Comment on 600-47
34-106567 10-256 Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by ICE Futures U.S., Inc.
See Also - Form 1-N Application and Exhibits
34-106545 2026-55 Order Determining Whistleblower Award Claim
33-11449 4-935 Potential Designations of the Investment Banking Representative License (Series 79) and the Research Analyst License (Series 86 and Series 87) as Qualifying Natural Persons for Accredited Investor Status
Comments Due: December 4, 2026
View Received Comments
Submit a Comment on 4-935
Federal Register version
33-11448 4-934 Potential Designation of Certified Financial Planner Certification as Qualifying Natural Persons for Accredited Investor Status
Comments Due: December 4, 2026
View Received Comments
Submit a Comment on 4-934
Federal Register version
33-11447 4-933 Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status
Comments Due: December 4, 2026
View Received Comments
Submit a Comment on 4-933
Federal Register version
33-11446 4-932 Potential Designation of U.S. Certified Public Accountant License as Qualifying Natural Persons for Accredited Investor Status
Comments Due: December 4, 2026
View Received Comments
Submit a Comment on 4-932
Federal Register version
33-11445 4-931 Potential Designation of Passage of an Accredited Investor Exam to Be Developed by FINRA as Qualifying Natural Persons for Accredited Investor Status
Comments Due: December 4, 2026
View Received Comments
Submit a Comment on 4-931
Federal Register version
34-106536 2026-54 Order Determining Whistleblower Award Claim
34-106535 2026-53 Order Determining Whistleblower Award Claim
34-106532 2026-52 Order Determining Whistleblower Award Claim
34-106531 2026-49 Order Determining Whistleblower Award Claim
34-106530 2026-50 Order Determining Whistleblower Award Claim
34-106528 2026-51 Order Determining Whistleblower Award Claim
34-106525 2026-48 Order Determining Whistleblower Award Claim
34-106517 2026-47 Order Determining Whistleblower Award Claim
34-106513 2026-46 Order Determining Whistleblower Award Claim
34-106512 2026-45 Order Determining Whistleblower Award Claim
34-106511 2026-44 Order Determining Whistleblower Award Claim
34-106510 2026-42 Order Determining Whistleblower Award Claim
34-106509 2026-41 Order Determining Whistleblower Award Claim
34-106508 2026-43 Order Determining Whistleblower Award Claim
33-11442 Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision
34-106493 4-930 Notice of an Application of Cboe Clear U.S., LLC for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 Regarding the Treatment of Customer Margin Under Item 13 and Note F of Exhibit A to Rule 15c3-3
Comments Due: October 20, 2026
View Received Comments
Submit a Comment on 4-930
Federal Register version
34-106484 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
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