Other Commission Orders, Notices, and Information
Archive of other SEC Orders, Notices and Information available include:
Other Commission Orders, Notices, and Information Table
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Release Number
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Details
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| 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 Submit a Comment on 4-809
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| 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) |