34-106795
Nov. 2, 2026
Order Granting Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
34-106759
Oct. 28, 2026
S7-2026-38
Notice of Potential Change to Increase Maximum Fixed-Dollar Amount for Alternative Compliance Mechanism for Security-Based Swap Dealers that Are Registered as Swap Dealers and Have Limited Security-Based Swap Activities Comments Due:
34-106726
Oct. 23, 2026
4-930
Order Under Section 36 of the Securities Exchange Act of 1934 Granting Conditional Exemptive Relief Regarding the Treatment of Customer Margin Under Item 13 and Note F of Exhibit A to Rule 15c3-3 View Received Comments
34-106723
Oct. 22, 2026
600-47
Cboe Clear U.S., LLC; Order Granting an Application, as Amended, for Temporary Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934 View Received Comments
33-11453
Oct. 21, 2026
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)(I) of the Securities Act of 1933 and Section...
33-11452
Oct. 21, 2026
Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer
33-11451, 34-106698
Oct. 20, 2026
S7-2026-37
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version
34-106697
Oct. 19, 2026
Notice of Intention to Cancel Registrations of Certain Transfer Agents
34-106610
Oct. 6, 2026
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 View Received Comments Form CA-1 Application and Exhibits
34-106567
Oct. 1, 2026
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. Form 1-N Application and Exhibits
34-106545
Sept. 30, 2026
2026-55
Order Determining Whistleblower Award Claim
33-11449
Sept. 30, 2026
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: View Received Comments Federal Register version
33-11448
Sept. 30, 2026
4-934
Potential Designation of Certified Financial Planner Certification as Qualifying Natural Persons for Accredited Investor Status Comments Due: View Received Comments Federal Register version
33-11447
Sept. 30, 2026
4-933
Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status Comments Due: View Received Comments Federal Register version
33-11446
Sept. 30, 2026
4-932
Potential Designation of U.S. Certified Public Accountant License as Qualifying Natural Persons for Accredited Investor Status Comments Due: View Received Comments Federal Register version
33-11445
Sept. 30, 2026
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: View Received Comments Federal Register version
34-106536
Sept. 29, 2026
2026-54
Order Determining Whistleblower Award Claim
34-106535
Sept. 29, 2026
2026-53
Order Determining Whistleblower Award Claim
34-106532
Sept. 29, 2026
2026-52
Order Determining Whistleblower Award Claim
34-106531
Sept. 29, 2026
2026-49
Order Determining Whistleblower Award Claim
34-106530
Sept. 29, 2026
2026-50
Order Determining Whistleblower Award Claim
34-106528
Sept. 29, 2026
2026-51
Order Determining Whistleblower Award Claim
34-106525
Sept. 29, 2026
2026-48
Order Determining Whistleblower Award Claim
34-106517
Sept. 28, 2026
2026-47
Order Determining Whistleblower Award Claim
