33-10499, 34-83308
May 23, 2018
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (83 FR 24836)
34-83057
April 17, 2018
Order Making Fiscal Year 2018 Annual Adjustments to Transaction Fee Rates Federal Register version (83 FR 17577)
34-83037
April 12, 2018
2018-9
Order Determining Whistleblower Award Claim
33-10476, 34-82997
April 5, 2018
Order Regarding Review of FASB Accounting Support Fee for 2018 Under Section 109 of the Sarbanes-Oxley Act of 2002 Federal Register version (83 FR 15658)
34-82996
April 5, 2018
2018-8
Order Determining Whistleblower Award Claim
IA-4873
April 2, 2018
Order Granting Hearing on Cancellation and Scheduling Filing of Statements
33-10474, 34-82971
March 30, 2018
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) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934
33-10475
March 30, 2018
Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer
34-82955
March 27, 2018
2018-7
Order Determining Whistleblower Award Claim
34-82897
March 19, 2018
2018-6
Order Determining Whistleblower Award Claim
34-82896
March 16, 2018
SR-BatsBZX-2017-34
Order Granting Motion for Extension of Time
34-82884
March 15, 2018
265-30
Meeting of the Fixed Income Market Structure Advisory Committee Comments Due: Federal Register version (83 FR 12431)
33-10470, 34-82869, IA-4869
March 14, 2018
S7-06-18
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (83 FR 27279)
IA-4867
March 8, 2018
Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
33-10466
March 8, 2018
Merrill Lynch, Pierce, Fenner & Smith, Incorporated (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)
34-82807
March 6, 2018
2018-5
Order Determining Whistleblower Award Claim
33-10464
March 6, 2018
Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
34-82794
March 1, 2018
SR-BatsBZX-2017-34
Order Granting Petitions for Review and Scheduling Filing of Statements Federal Register version (83 FR 9561)
34-82787
Feb. 27, 2018
Order Granting an Extension of Time to File Audited Financial Statements of DBRS Ratings Limited in Accordance With Exchange Act Rule 17g-3(a)(1)
33-10456A, 34-82656A
Feb. 22, 2018
265-28
Investor Advisory Committee Meeting Federal Register version (83 FR 8727)
