SEC.gov | Other Commission Orders, Notices, and Information

Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

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
IA-4308	Jan. 8, 2016		Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-76848	Jan. 7, 2016		Order Making Fiscal Year 2016 Annual Adjustments to Transaction Fee Rates Federal Register version (81 FR 1458)
33-10000, 34-76762	Dec. 23, 2015	265-28	Investor Advisory Committee Meeting View Received Comments Submit a Comment on 265-28 Federal Register version (80 FR 81576)
33-9993	Dec. 18, 2015		JPMorgan Chase Bank, N.A. (Waiver Order)
34-76678	Dec. 17, 2015	600-35	Order Granting Chicago Mercantile Exchange Inc.'s Request To Withdraw From Registration as a Clearing Agency Federal Register version (80 FR 79983)
IA-4285	Dec. 2, 2015		Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-76514	Nov. 24, 2015	600-33	Bloomberg STP LLC; SS&C Technologies, Inc.; Order of the Commission Approving Applications for an Exemption From Registration as a Clearing Agency File Nos.: 600-33, 600-34 Federal Register version (80 FR 75387)
IA-4261	Nov. 10, 2015		Order Granting Application For Modification of Consentto Associate
34-76338	Nov. 4, 2015	2016-1	Order Determining Whistleblower Award Claim
SIPA-173	Oct. 28, 2015	SIPC-2015-01	Securities Investor Protection Corporation *Comments Due:* November 25, 2015 Federal Register version (80 FR 68286)
33-9965, 34-76240, 39-2507, IC-31879, IA-4238	Oct. 22, 2015	S7-21-15	List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* November 27, 2015 View Received Comments Submit a Comment on S7-21-15 Federal Register version (80 FR 65973)
34-76081	Oct. 6, 2015	265-29	Equity Market Structure Advisory Committee Federal Register version (80 FR 61246)
33-9956	Sept. 30, 2015	3-16853	Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Waiver Order)
34-76025	Sept. 29, 2015	2015-8	Order Determining Whistleblower Award Claim
34-76000	Sept. 28, 2015	2015-7	Order Determining Whistleblower Award Claim
33-9929, 34-75985, IC-31849	Sept. 25, 2015	S7-20-15	Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant *Comments Due:* November 30, 2015 View Received Comments See Also - Spotlight page on Disclosure Effectiveness, Request for Comment on The Effectiveness of Financial Disclosures About Entities Other Than the Registrant, Press Release Submit a Comment on S7-20-15 Federal Register version (80 FR 59083)
33-9927, 34-75973	Sept. 24, 2015	265-27	Advisory Committee on Small and Emerging Companies Federal Register version (80 FR 58528)

Last Reviewed or Updated: June 28, 2024