33-9926, 34-75968, IA-4207, IC-31848
Sept. 23, 2015
S7-17-15
Regulatory Flexibility Agenda Comments Due: Federal Register version (80 FR 78111)
33-9924, 34-75961
Sept. 22, 2015
265-28
Investor Advisory Committee Meeting View Received Comments Federal Register version (80 FR 58322)
34-75925
Sept. 15, 2015
10-222
Investors' Exchange, LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: View Received Comments Form 1 Application and Exhibits , and 4 Form 1 Application and Exhibits , Amendment No. 5 Federal Register version (80 FR 57261)
34-75886
Sept. 10, 2015
The Options Clearing Corporation (Order Discontinuing the Automatic Stay) s Ruling on the Pending Motion to Reinstitute the Automatic Stayand Supporting Brief , Email from SIG , Letter Regarding OCC Press Release Announcing Distribution , Motion for an Order , s Capital Plan , s Brief in Opposition to Motion for Oral Argument , Declaration of Craig S. Donohue , s Brief in Opposition to Motion for Referral to Hearing Officer and Discovery , Peak6 Capital Management Statement in Opposition to the Order , KCG Statement in Opposition to the Order , SIG et at. Motion for Oral Argument and Supporting Brief , SIG et al. Motion for an Order Referring this Matter to Hearing Officer and Directing Discovery in Advance of Hearing and Supporting Brief , s Capital Plan , BATS Statement in Opposition to Action talten by DelegatedAuthority , OCC Statement in Support of Approval Order , Motion to Reinstitute Automatic Stay and Supporting Brief , Brief in Opposition to Motion to Reinstitute Automatic Stay , Memorandum in Further Support of Motion to Reinstitute Automatic Stay
34-75884
Sept. 10, 2015
10-221
ISE Mercury, 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: View Received Comments Form 1 Application and Exhibits Federal Register version (80 FR 55691)
34-75885
Sept. 10, 2015
BATS Global Markets, Inc., BOX Options Exchange LLC, KCG Holdings, Inc., Miami International Securities Exchange, LLC, Susquehanna International Group, LLP (Order Granting Petitions for Review and Scheduling Filing of Statements) Statements Due: October 7, 2015
34-75867
Sept. 9, 2015
ISE Mercury, LLC; Order Granting Application for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a-1 and 6a-2 Under the Exchange Act Federal Register version (80 FR 55395)
34-75829
Sept. 3, 2015
265-29
Equity Market Structure Advisory Committee Comments Due: View Received Comments Federal Register version (80 FR 54365)
33-9899, 34-75812
Sept. 2, 2015
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (80 FR 53904)
33-9898, 34-75764
Aug. 26, 2015
Order Making Fiscal Year 2016 Annual Adjustments to Registration Fee Rates Federal Register version (80 FR 52824)
34-75762
Aug. 26, 2015
600-35
Notice of Filing and Request for Comment on Chicago Mercantile Exchange Inc.'s Request To Withdraw From Registration as a Clearing Agency Comments Due: Federal Register version (80 FR 52815)
34-75752
Aug. 24, 2015
2015-6
Order Determining Whistleblower Award Claim
33-9896
Aug. 19, 2015
Citigroup Inc. (Waiver Order)
33-9895
Aug. 19, 2015
Citigroup Global Markets, Inc. (Waiver Order)
34-75714
Aug. 17, 2015
Designation of the Financial Industry Regulatory Authority To Administer Professional Qualification Tests for Associated Persons of Registered Municipal Advisors Federal Register version (80 FR 50883)
33-9894
Aug. 17, 2015
Citigroup Inc. (Waiver Order)
33-9884
Aug. 10, 2015
Guggenheim Partners Investment Management, LLC (Waiver Order)
34-75477
July 17, 2015
2015-5
Order Determining Whistleblower Award Claim
33-9855
June 29, 2015
KKR & Co. L.P. (Waiver Order)
IA-4129
June 25, 2015
S7-18-09
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date Staff Responses to Questions About the Pay to Play Rule Federal Register version (80 FR 37538)
