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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
34-82181	Nov. 30, 2017	2018-2	Order Determining Whistleblower Award Claims
34-82146	Nov. 22, 2017	4-715	MIAX PEARL, LLC; Notice of Filing of Proposed Minor Rule Violation Plan *Comments Due:* December 19, 2017 Federal Register version (82 FR 56280)
34-82145	Nov. 22, 2017		Miami International Securities Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan *Comments Due:* December 19, 2017 View Received Comments Federal Register version (82 FR 56291)
34-82067	Nov. 13, 2017	SR-OCC-2015-02	In the Matter of the Petitions of: Virtu Financial Inc. and Virtu Americas, LLC and Susquehanna International Group, et al.; Order Granting Motion To Substitute Parties and Motion for Extension of Time; Securities Exchange Act of 1934 View Received Comments Federal Register version (82 FR 54439)
33-10435, 34-82042	Nov. 9, 2017	265-28	Investor Advisory Committee Meeting *Comments Due:* December 7, 2017 View Received Comments Submit a Comment on 265-28 Federal Register version (82 FR 52949)
34-81958	Oct. 26, 2017	265-30	Fixed Income Market Structure Advisory Committee Federal Register version (82 FR 50460)
34-81857	Oct. 12, 2017	2018-1	Order Determining Whistleblower Award Claim
33-10424, 34-81839, IA-4789, IC-32857	Oct. 10, 2017	S7-07-17	Regulatory Flexibility Agenda *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-07-17 Federal Register version (83 FR 2022)
34-81760, IC-32842	Sept. 28, 2017		Order concerning Hurricane Harvey, Hurricane Irma, and Hurricane Maria (Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder)
34-81687	Sept. 22, 2017		Public Availability of the Securities and Exchange Commission's FY 2015 Service Contract Inventory Federal Register version (82 FR 45639)
34-81628	Sept. 14, 2017	SR-OCC-2015-02	The Options Clearing Corporation (Corrected Order Denying Motion for Stay)
34-81629	Sept. 14, 2017	SR-OCC-2015-02	The Options Clearing Corporation (Corrected Order Scheduling Filing of Statements on Review) View Received Comments Note: The Options Clearing Corporation (Corrected Order Scheduling Filing of Statements on Review) File No.: SR-OCC-2015-02 See also: Capital Plan File: SR-OCC-2015-02 Comments received are available . SIG Motion for Extension of Time Comments of Joseph Kamnik, Senior Vice President and General Counsel, The Options Clearing Corporation Note: The Commission has received this submission from the Options Clearing Corporation in connection with the Corrected Order Scheduling Filing of Statements on Review. The submission contains a reference to an Appendix, which is the subject of a Request for Confidential Treatment by OCC. That Request for Confidential Treatment is currently under consideration.
33-10412, 34-80767	Sept. 12, 2017	265-28	Investor Advisory Committee Meeting View Received Comments Submit a Comment on 265-28 Federal Register version (82 FR 43439)
33-10407, 34-81476	Aug. 24, 2017		Order Making Fiscal Year 2018 Annual Adjustments to Registration Fee Rates Federal Register version (82 FR 41080)
33-10399, 34-81389	Aug. 14, 2017	265-27	SEC Advisory Committee on Small and Emerging Companies View Received Comments Federal Register version (82 FR 39145)
34-81358	Aug. 9, 2017	265-29	Equity Market Structure Advisory Committee Federal Register version (82 FR 38733)
34-81302	Aug. 3, 2017	SBSDR-2016-02	Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository *Comments Due:* August 30, 2017 View Received Comments See Also - LLC Form SDR Amended Application and Exhibits Submit a Comment on SBSDR-2016-02 Federal Register version (82 FR 37276)

Last Reviewed or Updated: June 28, 2024