34-78793
Sept. 8, 2016
10-227
MIAX PEARL, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: Form 1 Application and Exhibits Federal Register version (81 FR 63238)
33-10203, 34-78769, IA-4521, IC-32251
Sept. 2, 2016
S7-20-16
Regulatory Flexibility Agenda Comments Due: Federal Register version (81 FR 94898)
33-10200, 34-78726
Aug. 30, 2016
Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates Federal Register version (81 FR 61283)
34-78719
Aug. 30, 2016
2016-16
Order Determining Whistleblower Award Claim
SIPA-178
Aug. 30, 2016
SIPC-2016-02
Securities Investor Protection Corporation: Order Approving a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members View Received Comments Federal Register version (81 FR 61263)
34-78710
Aug. 29, 2016
601-01
Euroclear Bank SA/NV; Notice of Filing of Application To Modify an Existing Exemption From Clearing Agency Registration Comments Due: View Received Comments Form CA-1 Application Federal Register version (81 FR 61271)
33-10198
Aug. 25, 2016
S7-18-16
Request for Comment on Subpart 400 of Regulation S-K Disclosure Requirements Relating to Management, Certain Security Holders and Corporate Governance Matters Comments Due: View Received Comments Press Release Federal Register version (81 FR 59927)
IA-4511
Aug. 25, 2016
S7-16-16
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order With Respect to FINRA Rule 2030 Federal Register version (81 FR 60653)
IA-4512
Aug. 25, 2016
S7-17-16
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order With Respect to MSRB Rule G-37 Federal Register version (81 FR 60651)
34-78671
Aug. 24, 2016
Morningstar Credit Ratings, LLC (Order Granting Registration of Morningstar Credit Ratings, LLC for Two Additional Classes of Credit Ratings)
34-78474
Aug. 3, 2016
4-701
Investors Exchange LLC; Order Declaring Effective a Minor Rule Violation Plan Federal Register version (81 FR 52717)
34-78356
July 19, 2016
2016-15
Order Determining Whistleblower Award Claim
34-78355
July 19, 2016
2016-14
Order Determining Whistleblower Award Claim
34-78308
July 13, 2016
265-29
Equity Market Structure Advisory Committee Federal Register version (81 FR 46744)
34-78300
July 12, 2016
4-701
Investors Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan Comments Due: Exhibit A Federal Register version (81 FR 46730)
34-78216
June 30, 2016
Security-Based Swap Data Repositories; DTCC Data Repository (U.S.) LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository Comments Due: View Received Comments LLC Form SDR Application and Exhibits Federal Register version (81 FR 44379)
34-78161
June 28, 2016
Barclays Capital Inc. (Order Granting Accelerated Effectiveness of Notice Regarding Change of Method for Computing Deductions for Market and Credit Risk)
33-10105, 34-78158
June 27, 2016
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (81 FR 42777)
34-78169
June 27, 2016
Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, Canada and the U.S. Extractive Industries Transparency Initiative as Substantially Similar to the Requirements of Rule 13q-1 Under the Securities Exchange Act of 1934 34-78167.pdf Federal Register version (81 FR 49163)
33-10102, 34-78127
June 22, 2016
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments correction Federal Register version (81 FR 41628)
