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
33-10503, 34-83376, IC-33113	June 5, 2018	S7-12-18	Request for Comment on Fund Retail Investor Experience and Disclosure *Comments Due:* October 31, 2018 View Received Comments See Also - Fund Disclosure Feedback Flier Submit a Comment on S7-12-18 Federal Register version (83 FR 26891)
34-83378	June 5, 2018		Order Affirming Action by Delegated Authority Approving SR-NYSE-2016-55 and Discontinuing Stay
34-83361	June 1, 2018	084-06306	Order Cancelling Registrations of Certain Transfer Agents File Nos.: 084-06306, 084-06171, 084-06327, 084-06440, 084-06173, 084-06204, 084-01911, 084-06197, 084-05425, 084-06274, 084-6193, 084-06084, 084-06174, 084-06228, 084-06208, 084-05445, 084-01822, 084-06113, 084-01123, 084-01425, 084-05831, 084-06046, 084-06094, 084-06257, 084-06122, 084-06518, 084-06268, 084-05621, 084-06500, 084-06360, 084-05819, 084-6121, 084-01300, 084-06293, 084-05663, 084-00012, 084-06246 Federal Register version (83 FR 26331)
33-10499, 34-83308	May 23, 2018	265-28	Investor Advisory Committee Meeting *Comments Due:* June 14, 2018 View Received Comments Submit a Comment on 265-28 Federal Register version (83 FR 24836)
34-83057	April 17, 2018		Order Making Fiscal Year 2018 Annual Adjustments to Transaction Fee Rates Federal Register version (83 FR 17577)
34-83037	April 12, 2018	2018-9	Order Determining Whistleblower Award Claim
33-10476, 34-82997	April 5, 2018		Order Regarding Review of FASB Accounting Support Fee for 2018 Under Section 109 of the Sarbanes-Oxley Act of 2002 Federal Register version (83 FR 15658)
34-82996	April 5, 2018	2018-8	Order Determining Whistleblower Award Claim
IA-4873	April 2, 2018		Order Granting Hearing on Cancellation and Scheduling Filing of Statements
33-10474, 34-82971	March 30, 2018		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
33-10475	March 30, 2018		Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer
34-82955	March 27, 2018	2018-7	Order Determining Whistleblower Award Claim
34-82897	March 19, 2018	2018-6	Order Determining Whistleblower Award Claim
34-82896	March 16, 2018	SR-BatsBZX-2017-34	Order Granting Motion for Extension of Time
34-82884	March 15, 2018	265-30	Meeting of the Fixed Income Market Structure Advisory Committee *Comments Due:* April 9, 2018 Submit a Comment on 265-30 Federal Register version (83 FR 12431)
33-10470, 34-82869, IA-4869	March 14, 2018	S7-06-18	Regulatory Flexibility Agenda *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-06-18 Federal Register version (83 FR 27279)
IA-4867	March 8, 2018		Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
33-10466	March 8, 2018		Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting A Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
34-82807	March 6, 2018	2018-5	Order Determining Whistleblower Award Claim

Last Reviewed or Updated: June 28, 2024