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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
33-10263	Dec. 6, 2016		Stifel, Nicolaus & Co., Inc. (Order Under Rule 506(D)(2)(Ii) and Rule 262(B)(2) of the Securities Act of 1933 Granting a Waiver of the Rule 506(D)(1)(Ii) and Rule 262(A)(2) Disqualification Provisions)
34-79464	Dec. 5, 2016	2017-2	Order Determining Whistleblower Award Claim
IA-4576	Nov. 29, 2016		In the Matter of Ajenifuja Investments, LLC, 5226 Klingle Street NW., Washington, DC 20016; Investment Advisers Act of 1940; Notice of Intention to Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 Federal Register version (81 FR 87606)
34-79382	Nov. 23, 2016		HR Ratings de México, S.A. de C.V. (Order Granting Registration of HR Ratings de México, S.A. de C.V. for Two Additional Classes of Credit Ratings)
33-10258, 34-79350	Nov. 18, 2016	265-27	Advisory Committee on Small and Emerging Companies *Comments Due:* December 5, 2016 View Received Comments Submit a Comment on 265-27 Federal Register version (81 FR 84628)
34-79340	Nov. 17, 2016		Randy G. Ruhl (Order Approving Application For Relief From A Statutory Disqualification)
33-10257, 34-79336	Nov. 17, 2016	265-28	Investor Advisory Committee Meeting *Comments Due:* December 8, 2016 View Received Comments Submit a Comment on 265-28 Federal Register version (81 FR 83888)
34-79294	Nov. 14, 2016	2017-1	Order Determining Whistleblower Award Claim
33-10255, 34-79303	Nov. 14, 2016		Order Approving Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2016
34-79257	Nov. 8, 2016	265-29	Equity Market Structure Advisory Committee *Comments Due:* November 23, 2016 View Received Comments Submit a Comment on 265-29 Federal Register version (81 FR 79546)
33-10224	Sept. 28, 2016		SG Americas Securities, LLC (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iii) Disqualification Provision)
34-78941	Sept. 27, 2016	600-36	LCH SA; Notice of Filing of Application for Registration as a Clearing Agency and Request for Exemptive Relief *Comments Due:* 30 days after publication in the Federal Register See Also - Form CA-1 Application Submit a Comment on 600-36 Federal Register version (81 FR 68074)
IA-4532	Sept. 20, 2016	S7-16-16	Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to FINRA Rule 2030 Federal Register version (81 FR 66526)
IA-4531	Sept. 20, 2016	S7-17-16	Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to MSRB Rule G-37 Federal Register version (81 FR 66526)
34-78881	Sept. 20, 2016	2016-17	Order Determining Whistleblower Award Claim
33-10208, 34-78844	Sept. 15, 2016	265-27	SEC Advisory Committee on Small and Emerging Companies *Comments Due:* October 3, 2016 Submit a Comment on 265-27 Federal Register version (81 FR 64519)
33-10209, 34-78845, 39-2511, IA-4530, IC-32263	Sept. 15, 2016	S7-21-16	List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-21-16 Federal Register version (81 FR 64364)

Last Reviewed or Updated: June 28, 2024