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

Other Rules Table

Release Number
Details
Release Number:34-100025 Issue Date: File Number:2024-17 Details: Order Determining Whistleblower Award Claim
Release Number:34-99973 Issue Date: File Number: Details: Order Making Fiscal Year 2024 Annual Adjustments to Transaction Fee Rates
Release Number:34-99939 Issue Date: File Number:2024-16 Details: Order Determining Whistleblower Award Claim
Release Number:34-99929 Issue Date: File Number:2024-15 Details: Order Determining Whistleblower Award Claim
Release Number:34-99920 Issue Date: File Number:2024-14 Details: Order Determining Whistleblower Award Claim
Release Number:34-99916 Issue Date: File Number:2024-13 Details: Order Determining Whistleblower Award Claim
Release Number:34-99915 Issue Date: File Number: Details: Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013
Release Number:34-99914 Issue Date: File Number:2024-12 Details: Order Determining Whistleblower Award Claim
Release Number:33-11280, 34-99908 Issue Date: File Number:S7-10-22 Details: In the Matter of the Enhancement and Standardization of Climate-Related Disclosures for Investors (Order Issuing Stay)
View Received Comments
Federal Register version
Release Number:34-99892 Issue Date: File Number: Details: Order Cancelling Registration of Certain Municipal Securities Dealers Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
Release Number:34-99890 Issue Date: File Number:2024-11 Details: Order Determining Whistleblower Award Claim
Release Number:34-99671 Issue Date: File Number: Details: Notice of Intention to Cancel Registration of Certain Municipal Securities Dealers Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
Release Number:34-99670 Issue Date: File Number:2024-10 Details: Order Determining Whistleblower Award Claim
Release Number:34-99669 Issue Date: File Number:2024- 9 Details: Order Determining Whistleblower Award Claim
Release Number:34-99657 Issue Date: File Number: Details: J.P. Morgan Securities LLC (“JPMS LLC”) and JPMorgan Chase Bank, N.A.
Release Number:34-99614 Issue Date: File Number:10-242 Details: 24X National Exchange LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: April 18, 2024
View Received Comments
See Also - Form 1 Application and Exhibits
Submit a Comment on 10-242
Federal Register version ((89 FR 15621))
Release Number:33-11273, 34-99583 Issue Date: File Number: Details: Order Regarding Review of FASB Accounting Support Fee For 2024 Under Section 109 of The Sarbanes-Oxley Act of 2002
Release Number:33-11270 Issue Date: File Number: Details: Certain Broker-Dealer Practices
Release Number:34-99313 Issue Date: File Number:2024-8 Details: Order Determining Whistleblower Award Claim
Release Number:34-99312 Issue Date: File Number:2024-7 Details: Order Determining Whistleblower Award Claim
Release Number:34-99331 Issue Date: File Number: Details: Order Granting FINRA’s Application For Relief From Certain Statutory Disqualification
Release Number:33-11263, 34-99276, IA-6521, IC-35085 Issue Date: File Number: Details: Adjustments to Civil Monetary Penalty Amounts
Release Number:34-99230 Issue Date: File Number:2024-6 Details: Order Determining Whistleblower Award Claim
Release Number:34-99229 Issue Date: File Number:2024-5 Details: Order Determining Whistleblower Award Claim
Release Number:33-11258, 34-99150 Issue Date: File Number: Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2024
See Also - Press Release
Release Number:34-99079 Issue Date: File Number:2024-4 Details: Order Determining Whistleblower Award Claim
Release Number:34-99070 Issue Date: File Number:2024-3 Details: Order Determining Whistleblower Award Claim
Release Number:34-99060 Issue Date: File Number:PCAOB-2023-02 Details: Order Granting Approval of Auditing Standard Governing the Auditor’s Use of Confirmation
Release Number:34-99011 Issue Date: File Number:S7-21-21 Details: In the Matter of Share Repurchase Disclosure Modernization (Order Issuing Stay)
Release Number:34-98985 Issue Date: File Number:2024-2 Details: Order Determining Whistleblower Award Claim
Release Number:34-98902 Issue Date: File Number:4-809 Details: Order Granting ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
See Also - ICEU CA Withdrawal Request Letter
Release Number:PA-61 Issue Date: File Number:S7-19-23 Details: Privacy Act of 1974: Systems of Records
Comments Due: 30 Days After Date Of Publication In The Federal Register
Submit a Comment on S7-19-23
Federal Register version (88 FR 74550)
Release Number:34-98746 Issue Date: File Number:10-240 Details: MIAX Sapphire, LLC; Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
Comments Due: December 4, 2023
View Received Comments
See Also - Form 1 Application and Exhibits
Submit a Comment on 10-240
Release Number:34-98736 Issue Date: File Number:2024-1 Details: Order Determining Whistleblower Award Claim
Release Number:33-11252, 34-98699, IA-6454, IC-35030 Issue Date: File Number:S7-17-23 Details: List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
Release Number:34-98689 Issue Date: File Number:PCAOB-2023-02 Details: Notice of Filing of Proposed Rules on the Auditor’s Use of Confirmation, and Other Amendments to Related PCAOB Standards
Comments Due: November 7, 2023
View Received Comments
Submit a Comment on PCAOB-2023-02
Release Number:34-98680 Issue Date: File Number: Details: Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
Release Number:34-98672 Issue Date: File Number: Details: Public Availability of the Security and Exchange Commission's FY 2020 Service Contract Inventory
Release Number:34-98668 Issue Date: File Number: Details: Order Regarding Net Capital Computation for Jefferies Financial Services, Inc.
Release Number:34-98642 Issue Date: File Number: Details: Order Scheduling Filing of Statements of Review for SR-FINRA-2022-032
Release Number:34-98655 Issue Date: File Number:2023-84 Details: Order Determining Whistleblower Award Claim
Release Number:33-11249 Issue Date: File Number: Details: Certain Broker-Dealer Practices
Release Number:34-98590 Issue Date: File Number: Details: Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
Release Number: 34-98488 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 Issue Date: File Number:2023-83 Details: Order Determining Whistleblower Award Claim
Release Number:34-98331 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: October 5, 2023
Submit a Comment on 4-809
Release Number:34-98236 Issue Date: File Number:2023-82 Details: Order Determining Whistleblower Award Claim
Release Number:34-98235 Issue Date: File Number:2023-81 Details: Order Determining Whistleblower Award Claim
Release Number:33-11225; 34-98226; IA-6388; IC-34993, Issue Date: File Number:S7-14-23 Details: Fall 2023 Regulatory Flexibility Agenda
Comments Due: March 11, 2024
View Received Comments
Submit a Comment on S7-14-23
Federal Register version
Release Number:33-11224; 34-98223 Issue Date: File Number: Details: Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates
Release Number:34-98219 Issue Date: File Number:2023-79 Details: Order Determining Whistleblower Award Claim
Release Number:34-98220 Issue Date: File Number:2023-80 Details: Order Determining Whistleblower Award Claim
Release Number:34-98208 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 Issue Date: File Number:2023-77 Details: Order Determining Whistleblower Award Claim
Release Number:34-98199 Issue Date: File Number:2023-78 Details: Order Determining Whistleblower Award Claim
Release Number:34-98196 Issue Date: File Number:2023-76 Details: Order Determining Whistleblower Award Claims
Release Number:34-98117 Issue Date: File Number: Details: Order Extending the Effective Date of the Form BDW of Monmouth Capital Management LLC
Release Number:33-11221 Issue Date: File Number: Details: Certain Broker-Dealer Practices
Release Number:34-98054 Issue Date: File Number:2023-75 Details: Order Determining Whistleblower Award Claim
Release Number:34-97879 Issue Date: File Number:2023-74 Details: Order Determining Whistleblower Award Claim
Release Number:IA-6339 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 Issue Date: File Number:2023-73 Details: Order Determining Whistleblower Award Claim
Release Number:34-97831 Issue Date: File Number:2023-72 Details: Order Determining Whistleblower Award Claim
Release Number:34-97826 Issue Date: File Number:2023-71 Details: Order Determining Whistleblower Award Claim
Release Number:34-97805 Issue Date: File Number:2023-70 Details: Order Determining Whistleblower Award Claim
Release Number:34-97804 Issue Date: File Number:2023-69 Details: Order Determining Whistleblower Award Claim
Release Number:34-97803 Issue Date: File Number:2023-68 Details: Order Determining Whistleblower Award Claim
Release Number:34-97728 Issue Date: File Number:2023-67 Details: Order Determining Whistleblower Award Claim
Release Number:34-97683 Issue Date: File Number:2023-66 Details: Order Determining Whistleblower Award Claim
Release Number:IA-6322 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 Issue Date: File Number:2023-65 Details: Order Determining Whistleblower Award Claim
Release Number:34-97601 Issue Date: File Number:2023-64 Details: Order Determining Whistleblower Award Claim
Release Number:34-97600 Issue Date: File Number:2023-63 Details: Order Determining Whistleblower Award Claim
Release Number:34-97599 Issue Date: File Number:2023-62 Details: Order Determining Whistleblower Award Claim
Release Number:34-97598 Issue Date: File Number:2023-61 Details: Order Determining Whistleblower Award Claim
Release Number:34-97573 Issue Date: File Number:2023-60 Details: Order Determining Whistleblower Award Claim
Release Number:34-97529 Issue Date: File Number:2023-59 Details: Order Determining Whistleblower Award Claim
Release Number:34-97524 Issue Date: File Number:2023-58 Details: Order Determining Whistleblower Award Claim
Release Number:33-11182 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 Issue Date: File Number:2023-57 Details: Order Determining Whistleblower Award Claim
Release Number:34-97449 Issue Date: File Number:2023-56 Details: Order Determining Whistleblower Award Claim
Release Number:34-97438 Issue Date: File Number:2023-55 Details: Order Determining Whistleblower Award Claim
Release Number:34-97408 Issue Date: File Number:2023-54 Details: Order Determining Whistleblower Award Claim
Release Number:34-97397 Issue Date: File Number:2023-53 Details: Order Determining Whistleblower Award Claim
Release Number:34-97396 Issue Date: File Number:2023-52 Details: Order Determining Whistleblower Award Claim
Release Number:34-97395 Issue Date: File Number:2023-51 Details: Order Determining Whistleblower Award Claim
Release Number:34-97295 Issue Date: File Number:2023-50 Details: Order Determining Whistleblower Award Claim
Release Number:33-11178, 34-97286, IA-6281, IC-34884 Issue Date: File Number:S7-09-23 Details: Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
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