33-10058, 34-77432
March 23, 2016
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (81 FR 17513)
33-10056, 34-77408, IA-4354, IC-32031
March 18, 2016
S7-04-16
Regulatory Flexibility Agenda Comments Due: Federal Register version (81 FR 37469)
34-77406
March 18, 2016
10-222
Investors' Exchange LLC; Notice of Filing of Amendment Nos. 2, 3, and 4 to, and Order Instituting Proceedings To Determine Whether To Grant or Deny, and Notice of Designation of 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 of 1934, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto Comments Due: View Received Comments Federal Register version (81 FR 15765)
34-77382
March 16, 2016
Order Denying Petition for Review
34-77360
March 14, 2016
Steven Rattner Order Approving Application for Relief from a Statutory Disqualification Note: This Order has been vacated by the April 29, 2016 Order 34-77746
SIPA-175
March 14, 2016
SIPC-2015-01
Securities Investor Protection Corporation sipa-173.pdf , Rel. No. SIPA-176 Federal Register version (81 FR 14372)
34-77368
March 14, 2016
2016-5
Order Determining Whistleblower Award Claim
33-10054, 34-77367
March 14, 2016
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2016
34-77322
March 8, 2016
2016-4
Order Determining Whistleblower Award Claim
SIPA-174
Feb. 22, 2016
SIPC-2016-01
Securities Investor Protection Corporation Comments Due: Federal Register version (81 FR 9561)
33-10043
Feb. 19, 2016
333-201823
Tigon (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
34-77112
Feb. 11, 2016
SR-OCC-2015-02
Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning the Options Clearing Corporation's Capital Plan and Denying Motions Release Nos. 34-74452 , 34-74136 , Inc. , LLP , Petition for Review Federal Register version (81 FR 8294)
33-10034, 34-77064
Feb. 5, 2016
265-27
SEC Advisory Committee on Small and Emerging Companies; Meeting Comments Due: Federal Register version (81 FR 7179)
34-77037
Feb. 2, 2016
2016-3
Order Determining Whistleblower Award Claim
33-10030
Feb. 2, 2016
3-17084
Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Order Under Rules 262(b)(2), 405, 505(b)(2)(iii)(C), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 Granting Waivers of the Disqualification Provisions of Rules 262(a)(4)(ii), 505(b)(2)(iii), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Granting Waivers from Being Ineligible Issuers ) File Nos.:
33-10011
Jan. 31, 2016
3-17077
Barclays Capital Inc. (Order Under Rule 506(d) of The Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
33-10012
Jan. 31, 2016
3-17077
Barclays PLC and Barclays Bank PLC (Order Under Rule 405 of The Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
34-76998
Jan. 29, 2016
10-221
In the Matter of the Application of ISE Mercury, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission Form 1 Application and Exhibits , Amendment No. 2 Federal Register version (81 FR 6066)
34-76921
Jan. 15, 2016
2016-2
Order Determining Whistleblower Award Claim
34-76883
Jan. 13, 2016
265-29
Equity Market Structure Advisory Committee View Received Comments Federal Register version (81 FR 2931)
