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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
33-10464	March 6, 2018		Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
34-82794	March 1, 2018	SR-BatsBZX-2017-34	Order Granting Petitions for Review and Scheduling Filing of Statements Federal Register version (83 FR 9561)
34-82787	Feb. 27, 2018		Order Granting an Extension of Time to File Audited Financial Statements of DBRS Ratings Limited in Accordance With Exchange Act Rule 17g-3(a)(1)
33-10456A, 34-82656A	Feb. 22, 2018	265-28	Investor Advisory Committee Meeting Federal Register version (83 FR 8727)
PA-54	Feb. 9, 2018	S7-02-18	Privacy Act of 1974; System of Records Submit a Comment on S7-02-18 Federal Register version (83 FR 6905)
PA-53	Feb. 9, 2018	S7-01-18	Privacy Act of 1974; System of Records *Comments Due:* 30 days after publication in the Federal Register Submit a Comment on S7-01-18 Federal Register version (83 FR 6892)
33-10456, 34-82656	Feb. 7, 2018	265-28	Investor Advisory Committee Meeting *Comments Due:* March 8, 2018 View Received Comments Submit a Comment on 265-28 Federal Register version (83 FR 6279)
33-10455	Feb. 5, 2018		Wedbush Securities Inc. (Order Under Rule 262(b)(2) and Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 262(a)(4)(ii) and Rule 506(d)(1)(iv)(B) Disqualification Provisions)
IA-4849	Jan. 26, 2018		Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisors Act of 1940
34-82562	Jan. 22, 2018	2018-4	Order Determining Whistleblower Award Claim
33-10453, 34-82483	Jan. 10, 2018		Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2018 Federal Register version (83 FR 2470)
33-10451, 34-82455, IA-4842, IC-32963	Jan. 8, 2018		Adjustments to Civil Monetary Penalty Amounts Federal Register version (83 FR 1396)
34-82385	Dec. 21, 2017	4-715	MIAX PEARL, LLC; Order Declaring Effective a Minor Rule Violation Plan *Comments Due:* December 19, 2017 Federal Register version (82 FR 61613)
34-82384	Dec. 21, 2017		*Comments Due:* December 19, 2017 View Received Comments Federal Register version (82 FR 61649)
34-82342	Dec. 18, 2017		Notice of Intention To Cancel Registrations of Certain Transfer Agents Federal Register version (82 FR 60778)
34-82338	Dec. 15, 2017	265-30	Fixed Income Market Structure Advisory Committee View Received Comments Submit a Comment on 265-30 Federal Register version (82 FR 60639)
33-10446, 34-82280	Dec. 11, 2017	S7-19-16	Compliance Date for Form 10-D Hyperlink Requirements View Received Comments Federal Register version (82 FR 58731)
34-82214	Dec. 5, 2017	2018-3	Order Determining Whistleblower Award Claim

Last Reviewed or Updated: June 28, 2024