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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
33-9352, 34-67659	Aug. 15, 2012	265-27	Advisory Committee on Small and Emerging Companies; Meeting *Comments Due:* September 5, 2012 View Received Comments Submit a Comment on 265-27 Federal Register version (77 FR 50187)
33-9351, 34-67651	Aug. 14, 2012	3-14982	Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC
33-9350	Aug. 14, 2012	3-14982	Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC
33-9347, 34-67534	July 30, 2012		Mizuho Financial Group, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(a)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Mizuho Financial Group, Inc. and Its Affiliates)
33-9346	July 30, 2012		Mizuho Securities USA, Inc. (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(b)(4) and 602(c)(2) as to Mizuho Securities USA, Inc.)
34-67480	July 20, 2012	S7-24-11	Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant See Also - Release No. 34-64678, Security-Based Swaps Implementation Policy Statement Federal Register version (77 FR 43878)
33-9325, 34-67038	May 22, 2012	265-27	Advisory Committee on Small and Emerging Companies; Meeting *Comments Due:* June 5, 2012 View Received Comments Submit a Comment on 265-27 Federal Register version (77 FR 31409)
33-9322, 34-66986	May 14, 2012	265-28	Dodd-Frank Investor Advisory Committee *Comments Due:* June 1, 2012 View Received Comments Submit a Comment on 265-28 Federal Register version (77 FR 29705)
34-66976	May 11, 2012		Order Granting Application of BOX Options Exchange, LLC for a Limited Exemption From Exchange Act Rule 10b-10(a)(2)(i)(A) Pursuant to Rule 10b-10(f) See Also - Request for Limited Exemption Federal Register version (77 FR 29397)
34-66932	May 7, 2012	265-26	Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Submit a Comment on 265-26 Federal Register version (77 FR 27444)
33-9320	May 1, 2012		UBS Financial Services Inc. of Puerto Rico (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9319, 34-66896	May 1, 2012		UBS Financial Services Inc. of Puerto Rico (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
34-66871	April 27, 2012	10-206	In the Matter of the Application of BOX Options Exchange LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission See Also - Form 1 Application and Exhibits, Amendment No. 2 Federal Register version (77 FR 26323)
34-66844	April 24, 2012		Financial Industry Regulatory Authority, Inc. (Order Approving Application for Relief from a Statutory Disqualification)
33-9316, 34-66845, IA-3400, IC-30041	April 23, 2012	S7-4-12	Regulatory Flexibility Agenda *Comments Due:* 30 days after publication in the Federal Register Submit a Comment on S7-4-12
33-9312	April 12, 2012		Goldman, Sachs & Co (Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Rule 602(C)(3) Disqualification Provision)

Last Reviewed or Updated: June 28, 2024