Archive of other SEC Orders, Notices and Information available include:

Other Commission Orders, Notices, and Information Table

Release Number
Details
Release Number: 34-98488 SEC Issue Date: File Number: Details: Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc.
See Also - FINRA Incoming Fingerprint Plan Cover Letter
Release Number:34-98340 SEC Issue Date: File Number:2023-83 Details: Order Determining Whistleblower Award Claim
Release Number:34-98331 SEC Issue Date: File Number:4-809 Details: Notice of Filing and Request for Comment on ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
Comments Due: 21 days from publication in the Federal Register
Release Number:34-98331 SEC Issue Date: File Number:4-809 Details: Notice of Filing and Request for Comment on ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
Comments Due: 21 days from publication in the Federal Register
Release Number:34-98271 SEC Issue Date: File Number:4-757 Details: Amended Order Directing the Exchanges and the Financial Industry Regulatory Authority, Inc., to File a National Market System Plan Regarding Consolidated Equity Market Data
View Received Comments
Release Number:34-98236 SEC Issue Date: File Number:2023-82 Details: Order Determining Whistleblower Award Claim
Release Number:34-98235 SEC Issue Date: File Number:2023-81 Details: Order Determining Whistleblower Award Claim
Release Number:33-11225; 34-98226; IA-6388; IC-34993, SEC Issue Date: File Number:S7-14-23 Details: Fall 2023 Regulatory Flexibility Agenda
Comments Due: 30 days after date of publication in the Federal Register.
Release Number:33-11225; 34-98226; IA-6388; IC-34993, SEC Issue Date: File Number:S7-14-23 Details: Fall 2023 Regulatory Flexibility Agenda
Comments Due: 30 days after date of publication in the Federal Register.
Release Number:33-11224; 34-98223 SEC Issue Date: File Number: Details: Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates
Release Number:34-98219 SEC Issue Date: File Number:2023-79 Details: Order Determining Whistleblower Award Claim
Release Number:34-98220 SEC Issue Date: File Number:2023-80 Details: Order Determining Whistleblower Award Claim
Release Number:34-98208 SEC Issue Date: File Number: Details: Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
Release Number:34-98198 SEC Issue Date: File Number:2023-77 Details: Order Determining Whistleblower Award Claim
Release Number:34-98199 SEC Issue Date: File Number:2023-78 Details: Order Determining Whistleblower Award Claim
Release Number:34-98196 SEC Issue Date: File Number:2023-76 Details: Order Determining Whistleblower Award Claims
Release Number:34-98117 SEC Issue Date: File Number: Details: Order Extending the Effective Date of the Form BDW of Monmouth Capital Management LLC
Release Number:33-11221 SEC Issue Date: File Number: Details: Certain Broker-Dealer Practices
Release Number:34-98054 SEC Issue Date: File Number:2023-75 Details: Order Determining Whistleblower Award Claim
Release Number:34-97879 SEC Issue Date: File Number:2023-74 Details: Order Determining Whistleblower Award Claim
Release Number:IA-6339 SEC Issue Date: File Number: Details: Order Cancelling Registrations of Certain Investment Advisers Pursuant To Section 203(H) of the Investment Advisers Act of 1940
Release Number:34-97838 SEC Issue Date: File Number:2023-73 Details: Order Determining Whistleblower Award Claim
Release Number:34-97831 SEC Issue Date: File Number:2023-72 Details: Order Determining Whistleblower Award Claim
Release Number:34-97826 SEC Issue Date: File Number:2023-71 Details: Order Determining Whistleblower Award Claim
Release Number:34-97805 SEC Issue Date: File Number:2023-70 Details: Order Determining Whistleblower Award Claim
Release Number:34-97804 SEC Issue Date: File Number:2023-69 Details: Order Determining Whistleblower Award Claim
Release Number:34-97803 SEC Issue Date: File Number:2023-68 Details: Order Determining Whistleblower Award Claim
Release Number:34-97728 SEC Issue Date: File Number:2023-67 Details: Order Determining Whistleblower Award Claim
Release Number:34-97683 SEC Issue Date: File Number:2023-66 Details: Order Determining Whistleblower Award Claim
Release Number:IA-6322 SEC Issue Date: File Number: Details: Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers Act of 1940
Release Number:34-97612 SEC Issue Date: File Number:2023-65 Details: Order Determining Whistleblower Award Claim
Release Number:34-97601 SEC Issue Date: File Number:2023-64 Details: Order Determining Whistleblower Award Claim
Release Number:34-97600 SEC Issue Date: File Number:2023-63 Details: Order Determining Whistleblower Award Claim
Release Number:34-97599 SEC Issue Date: File Number:2023-62 Details: Order Determining Whistleblower Award Claim
Release Number:34-97598 SEC Issue Date: File Number:2023-61 Details: Order Determining Whistleblower Award Claim
Release Number:34-97573 SEC Issue Date: File Number:2023-60 Details: Order Determining Whistleblower Award Claim
Release Number:34-97529 SEC Issue Date: File Number:2023-59 Details: Order Determining Whistleblower Award Claim
Release Number:34-97524 SEC Issue Date: File Number:2023-58 Details: Order Determining Whistleblower Award Claim
Release Number:33-11182 SEC Issue Date: File Number: Details: Certain Broker-Dealer Practices: (Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act OF 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(a)(4), 506(d)(1)(iv), AND
Release Number:34-97450 SEC Issue Date: File Number:2023-57 Details: Order Determining Whistleblower Award Claim
Release Number:34-97449 SEC Issue Date: File Number:2023-56 Details: Order Determining Whistleblower Award Claim
Release Number:34-97438 SEC Issue Date: File Number:2023-55 Details: Order Determining Whistleblower Award Claim
Release Number:34-97408 SEC Issue Date: File Number:2023-54 Details: Order Determining Whistleblower Award Claim
Release Number:34-97397 SEC Issue Date: File Number:2023-53 Details: Order Determining Whistleblower Award Claim
Release Number:34-97396 SEC Issue Date: File Number:2023-52 Details: Order Determining Whistleblower Award Claim
Release Number:34-97395 SEC Issue Date: File Number:2023-51 Details: Order Determining Whistleblower Award Claim
Release Number:34-97295 SEC Issue Date: File Number:2023-50 Details: Order Determining Whistleblower Award Claim
Release Number:33-11178, 34-97286, IA-6281, IC-34884 SEC Issue Date: File Number:S7-09-23 Details: Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
Release Number:33-11178, 34-97286, IA-6281, IC-34884 SEC Issue Date: File Number:S7-09-23 Details: Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
Release Number:33-11178, 34-97286, IA-6281, IC-34884 SEC Issue Date: File Number:S7-09-23 Details: Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
Release Number:33-11178, 34-97286, IA-6281, IC-34884 SEC Issue Date: File Number:S7-09-23 Details: Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
Release Number:34-97285 SEC Issue Date: File Number:2023-49 Details: Order Determining Whistleblower Award Claim
Release Number:34-97226 SEC Issue Date: File Number:2023-45 Details: Order Determining Whistleblower Award Claim
Release Number:34-97227 SEC Issue Date: File Number:2023-46 Details: Order Determining Whistleblower Award Claim
Release Number:34-97228 SEC Issue Date: File Number:2023-47 Details: Order Determining Whistleblower Award Claim
Release Number:34-97229 SEC Issue Date: File Number:2023-48 Details: Order Determining Whistleblower Award Claim
Release Number:34-97222 SEC Issue Date: File Number:2023-44 Details: Order Determining Whistleblower Award Claim
Release Number:34-97202 SEC Issue Date: File Number:2023-42 Details: Order Determining Whistleblower Award Claim
Release Number:34-97205 SEC Issue Date: File Number:2023-43 Details: Order Determining Whistleblower Award Claim
Release Number:34-97051 SEC Issue Date: File Number:2023-41 Details: Order Determining Whistleblower Award Claim
Release Number:34-97043 SEC Issue Date: File Number:10-239 Details: 24X National Exchange LLC; Notice of Withdrawal of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Federal Register version (88 FR 14663)
Release Number:34-97015 SEC Issue Date: File Number:2023-40 Details: Order Determining Whistleblower Award Claim
Release Number:34-96983 SEC Issue Date: File Number:2023-39 Details: Order Determining Whistleblower Award Claim
Release Number:34-96970 SEC Issue Date: File Number:2023-37 Details: Order Determining Whistleblower Award Claim
Release Number:34-96971 SEC Issue Date: File Number:2023-38 Details: Order Determining Whistleblower Award Claim
Release Number:34-96923 SEC Issue Date: File Number:2023-36 Details: Order Determining Whistleblower Award Claim
Release Number:34-96887 SEC Issue Date: File Number:2023-35 Details: Order Determining Whistleblower Award Claim
Release Number:33-11155, 34-96851 SEC Issue Date: File Number: Details: Order Regarding Review of FASB Accounting Support Fee for 2023 under Section 109 of the Sarbanes-Oxley Act of 2002
Release Number:33-11155, 34-96851 SEC Issue Date: File Number: Details: Order Regarding Review of FASB Accounting Support Fee for 2023 under Section 109 of the Sarbanes-Oxley Act of 2002
Release Number:34-96788 SEC Issue Date: File Number:SR-MEMX-2021-10 Details: In the Matter of the MEMX LLC Regarding an Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program (File No. SR-MEMX-2021-10); Order Scheduling Filing of Statements on Review
Federal Register version (88 FR 8008)
Release Number:34-96765 SEC Issue Date: File Number:2023-33 Details: Order Determining Whistleblower Award Claim
Release Number:34-96767 SEC Issue Date: File Number:2023-34 Details: Order Determining Whistleblower Award Claim
Release Number:34-96739 SEC Issue Date: File Number:2023-32 Details: Order Determining Whistleblower Award Claim
Release Number:34-96724 SEC Issue Date: File Number: Details: Order Making Fiscal Year 2023 Annual Adjustments to Transaction Fee Rates
Federal Register version (88 FR 5051)
Release Number:34-96705 SEC Issue Date: File Number:2023-30 Details: Order Determining Whistleblower Award Claim
Release Number:34-96708 SEC Issue Date: File Number:2023-31 Details: Order Determining Whistleblower Award Claim
Release Number:34-96669 SEC Issue Date: File Number:2023-29 Details: Order Determining Whistleblower Award Claim
Release Number:34-96656 SEC Issue Date: File Number:2023-25 Details: Order Determining Whistleblower Award Claim
Release Number:34-96657 SEC Issue Date: File Number:2023-26 Details: Order Determining Whistleblower Award Claim
Release Number:34-96658 SEC Issue Date: File Number:2023-27 Details: Order Determining Whistleblower Award Claim
Release Number:34-96667 SEC Issue Date: File Number:2023-28 Details: Order Determining Whistleblower Award Claim
Release Number:34-96641 SEC Issue Date: File Number:2023-23 Details: Order Determining Whistleblower Award Claim
Release Number:34-96642 SEC Issue Date: File Number:2023-24 Details: Order Determining Whistleblower Award Claim
Release Number:34-96604 SEC Issue Date: File Number:2023-22 Details: Order Determining Whistleblower Award Claim
Release Number:33-11143, 34-96605, IA-6212, IC-34797 SEC Issue Date: File Number: Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
Release Number:33-11143, 34-96605, IA-6212, IC-34797 SEC Issue Date: File Number: Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
Release Number:33-11143, 34-96605, IA-6212, IC-34797 SEC Issue Date: File Number: Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
Release Number:33-11143, 34-96605, IA-6212, IC-34797 SEC Issue Date: File Number: Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
Release Number:33-11142, 34-96577 SEC Issue Date: File Number: Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023
Release Number:33-11142, 34-96577 SEC Issue Date: File Number: Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023
Release Number:34-96541 SEC Issue Date: File Number: Details: Order Scheduling Filing of Statements on Review; In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008)
View Received Comments
Federal Register version (87 FR 79014)
Release Number:34-96527 SEC Issue Date: File Number:2023-21 Details: Order Determining Whistleblower Award Claim
Release Number:34-96474 SEC Issue Date: File Number:2023-20 Details: Order Determining Whistleblower Award Claim
Release Number:PA-58 SEC Issue Date: File Number:S7-28-22 Details: Privacy Act of 1974; System of Records
Comments Due: January 6, 2023
Federal Register version (87 FR 76097)
Release Number:34-96439 SEC Issue Date: File Number:2023-19 Details: Order Determining Whistleblower Award Claim
Release Number:34-96399 SEC Issue Date: File Number:2023-18 Details: Order Determining Whistleblower Award Claim
Release Number:33-11136, 34-96386, IC-34765 SEC Issue Date: File Number:S7-27-22 Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 3, 2023
Federal Register version (87 FR 74057)
Release Number:34-96381 SEC Issue Date: File Number:2023-17 Details: Order Determining Whistleblower Award Claim
Release Number:33-11136, 34-96386, IC-34765 SEC Issue Date: File Number:S7-27-22 Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 3, 2023
Federal Register version (87 FR 74057)
Release Number:33-11136, 34-96386, IC-34765 SEC Issue Date: File Number:S7-27-22 Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 3, 2023
Federal Register version (87 FR 74057)