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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
33-10708, IA-5378	Sept. 27, 2019		Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
34-87039	Sept. 20, 2019	2019-11	Order Determining Whistleblower Award Claim
IA-5360	Sept. 20, 2019		Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-87021	Sept. 19, 2019		*Comments Due:* View Received Comments See Also - Exhibit A Federal Register version (84 FR 50525)
33-10690, : 34-86986, IA-5353	Sept. 17, 2019	3-19464	Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
33-10685, IA-5347	Sept. 16, 2019		Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
34-86902	Sept. 9, 2019	2019-10	Order Determining Whistleblower Award Claim
34-86803	Aug. 29, 2019	2019-9	Order Determining Whistleblower Award Claim
33-10676, 34-86785	Aug. 28, 2019	265-28	Investor Advisory Committee Meeting *Comments Due:* September 19, 2019 Submit a Comment on 265-28 Federal Register version (84 FR 46061)
33- 10674, 34-86748, IA-5328, IC-33607	Aug. 23, 2019	S7-12-19	Regulatory Agenda; Semiannual Regulatory Agenda *Comments Due:* 30 days after publication in the Federal Register Submit a Comment on S7-12-19 Federal Register version (84 FR 71285)
33-10675, 34-86750	Aug. 23, 2019		Order Making Fiscal Year 2020 Annual Adjustments to Registration Fee Rates Federal Register version (84 FR 45601)
IA-5317	Aug. 12, 2019		Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
33-10670, 34-86628	Aug. 12, 2019	265-28	Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (84 FR 42027)
IA-5315	Aug. 5, 2019	801-117067	Order Granting Registration Pursuant to Section 203(c) of the Investment Advisers Act of 1940
33-10666, 34-86552	Aug. 2, 2019	265-32	SEC Small Business Capital Formation Advisory Committee *Comments Due:* August 12, 2019 Submit a Comment on 265-32 Federal Register version (84 FR 38688)

Last Reviewed or Updated: June 28, 2024