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
33-11330, 34-101769, 39-2558 S7-2024-08 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 9, 2025
Submit a Comment on S7-2024-08
34-101759 4-845 Notice of Filing of Proposed Minor Rule Violation Plan
View Received Comments
34-101729 Notice pursuant to Rule 15c3-3a, Note H(b)(3)
Federal Register version
34-101721 2025-7 Order Determining Whistleblower Award Claim
34-101692 Order Granting FINRA’s Application for Relief From Certain Statutory Disqualification
34-101511 SBSDR-2023-01 Security-Based Swap Data Repositories; KOR Reporting, Inc.; Order Approving Application for Registration as a Security-Based Swap Data Repository
See Also - Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
34-101506 2025-6 Order Determining Whistleblower Award Claim
34-101451 2025-5 Order Determining Whistleblower Award Claim
34-101431 10-242 Notice of Filing of Amendment No. 2 to an Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
View Received Comments
See Also - Form 1 Application and Exhibits
34-101397 10-244 Green Impact Exchange, LLC; Order Instituting Proceedings to Determine Whether to Grant or Deny an Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
View Received Comments
33-11319, 34-101375, IC-35361 S7-2024-06 Regulatory Agenda; Semiannual Regulatory Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-2024-06
34-101351 2025-4 Order Determining Whistleblower Award Claim
34-101299 2025-3 Order Determining Whistleblower Award Claim
34-101280 2025-2 Order Determining Whistleblower Award Claim
34-101283 4-844 Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: 21 days after date of publication in the Federal Register.
Submit a Comment on 4-844
34-101222 2025-1 Order Determining Whistleblower Award Claim
34-101211 2024-39 Order Determining Whistleblower Award Claim
34-101207 Order Cancelling Registration of Municipal Advisor, Development & Public Finance, LLC, Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
33-11308 Order Under Rules 262(b)(2), 506(d)(2)(II), and 602(e)of the Securities Act of 1933 and Rule 503(b)(2) Of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(a)(4)(II), 506(d)(i)(IV)(b), And 602(c)(3) of the Securities
34-100884 10-242 24X National Exchange LLC; 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 National Securities Exchange under Section 6 of the Securities Exchange Act
View Received Comments
34-100839 10-242 24X National Exchange LLC; Notice of Filing of Amendment No. 1 to an Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
Comments Due: 21 days from publication in the Federal Register.
View Received Comments
See Also - Form 1 Application and Exhibits
34-100818 2024-38 Order Determining Whistleblower Award Claim
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Last Reviewed or Updated: June 28, 2024