Other Commission Orders, Notices, and Information
Archive of other SEC Orders, Notices and Information available include:
Third Quarter | Second Quarter | First Quarter
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| Release No. | Date | Details |
|---|---|---|
| Third Quarter | ||
| 34-92542 | Aug. 2, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-77 |
| 34-92541 | Aug. 2, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-76 |
| 34-92530 | Jul. 30, 2021 | Notice Of Intention To Cancel Registration Of Certain Municipal Advisors Pursuant To Section 15b(c)(3) Of The Securities Exchange Act Of 1934 |
| 34-92529 | Jul. 30, 2021 | Order Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom
File No.: S7-04-21 See also: Notice, Release No. 34-91476 |
| 34-92484 | Jul. 23, 2021 | Order Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic
File No.: S7-22-20 See also: Notice, Release No. 34-90766 |
| 34-92456 | Jul. 21, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-75 |
| 34-92416 | Jul. 16, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-74 |
| 34-92413 | Jul. 15, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-73 |
| 34-92412 | Jul. 15, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-72 |
| 34-92411 | Jul. 15, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-71 |
| 34-92375 | Jul. 12, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-70 |
| 34-92357 | Jul. 9, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-69 |
| 34-92356 | Jul. 9, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-68 |
| 34-92355 | Jul. 9, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-67 |
| 34-92332 | Jul. 7, 2021 | Public Availability of the Securities and Exchange Commission's FY2018 Service Contract Inventory |
| 34-92326 | Jul. 6, 2021 | Credit Risk Retention-Notification of Extension of Review Period
File No.: S7-14-11 See Also:
|
| Second Quarter | ||
| 34-92251 | Jun. 24, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-65 |
| 34-92248 | Jun. 24, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-66 |
| 34-92247 | Jun. 24, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-64 |
| Letter | Jun. 21, 2021 | FINRA OTC Reporting Facility (Designation of the FINRA OTC Reporting Facility, Together with Any Interdealer Quotation System that Meets Specific Requirements, as an Automated Interdealer Quotation System for the Purposes of the Definition of "Penny Stock" in Exchange Act Rule 3a51-1, and as a Qualifying Electronic Quotation System for Purposes of the Penny Stock Rules) |
| 34-92214 | Jun. 21, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-63 |
| 34-92212 | Jun. 21, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-62 |
| 34-92210 | Jun. 21, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-61 |
| IA-5756 | Jun. 17, 2021 | Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940 |
| 34-92189 | Jun. 16, 2021 | ICE Trade Vault, LLC (Order Approving Application for Registration as a Security-Based Swap Data Repository)
File No.: SBSDR-2021-01 Comments received are available. See Also: Notice, Rel. No. 34-91331; Form SDR Application and Exhibits |
| 34-92179 | Jun. 15, 2021 | Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33 Comments received are available. |
| 34-92164 | Jun. 14, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-60 |
| 34-92163 | Jun. 14, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-59 |
| 34-92102 | Jun. 3, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-58 |
| 34-92101 | Jun. 3, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-57 |
| 34-92100 | Jun. 3, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-56 |
| 34-92099 | Jun. 3, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-55 |
| 34-92086 | Jun. 2, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-54 |
| 34-92067 | May 28, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-53 |
| 34-92065 | May 28, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-52 |
| 34-92037 | May 27, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-51 |
| 33-10944 | May 26, 2021 | Investor Advisory Committee Meeting (Thursday, June 10, 2021, 10:00 a. m.)
Other Release No.: 34-92018 File No.: 265-28 Comments received are available. |
| 34-91933 | May 19, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-50 |
| 33-10942 | May 17, 2021 | Regulatory Flexibility Agenda
Other Release Nos.: 34-91852; IA-5734; IC-34269 File No.: S7-06-21 Comments Due: on or before 30 days after publication in the Federal Register Comments received are available. |
| 34-91903 | May 17, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-49 |
| 34-91902 | May 17, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-48 |
| 34-91896 | May 14, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-47 |
| 34-91877 | May 12, 2021 | Order Granting Application by Nasdaq PHLX LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act from the Rule Filing Requirements of Section 19(b) of the Exchange Act with Respect to Certain Rules Incorporated by Reference |
| 34-91854 | May 12, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-46 |
| IA-5733 | May 10, 2021 | Performance Based Investment Advisory Fees
File No.: S7-05-21 |
| 34-91808 | May 10, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-45 |
| 34-91805 | May 10, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-44 |
| 34-91798 | May 7, 2021 | DTCC Data Repository (U.S.), LLC (Order Approving Application for Registration as a Security-Based Swap Data Repository)
File No.: SBSDR-2020-01 See Also: Notice, Rel No. 34-91071; Form SDR Application and Exhibits |
| IA-5730 | May 4, 2021 | Baomap Advisors Limited, et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 34-91651 | Apr. 23, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-43 |
| 34-91650 | Apr. 23, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-42 |
| 34-91649 | Apr. 23, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-41 |
| 33-10938 | Apr. 16, 2021 | SEC Small Business Capital Formation Advisory Committee: Notice of Meeting
Other Release Nos.: 34-91583 File No.: 265-32 Comments received are available. |
| 34-91584 | Apr. 16, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-40 |
| 34-91568 | Apr. 15, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-39 |
| 34-91525 | Apr. 9, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-38 |
| 34-91520 | Apr. 9, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-37 |
| 34-91502 | Apr. 7, 2021 | Cboe BZX Exchange, Inc. (Order Scheduling Filing of Statements on Review)
File No.: SR-CboeBZX-2020-070 |
| 34-91501 | Apr. 7, 2021 | Cboe BZX Exchange, Inc. (Order Scheduling Filing of Statements on Review)
File No.: SR-CboeBZX-2020-053 |
| IA-5714 | Apr. 6, 2021 | Baomap Advisors Limited, et al. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 34-91477 | Apr. 5, 2021 | Reopening of Comment Period for Order Proposing Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic
File No.: S7-22-20 Comments received are available. Comments Due: May 3, 2021 See also: 34-90766 |
| 34-91476 | Apr. 5, 2021 | Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection with Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order
File No.: S7-04-21 Comments received are available. Federal Register version (86 FR 18378) |
| First Quarter | ||
| 34-91427 | Mar. 29, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-36 |
| 34-91426 | Mar. 29, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-35 |
| IA-5708 | Mar. 26, 2021 | Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940 |
| SIPA-184 | Mar. 26, 2021 | Securities Investor Protection Corporation (Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount)
File No.: SIPC-2021-01 |
| 34-91397 | Mar. 24, 2021 | In the Matter of Market Data Infrastructure: Order Denying Stay
See also: Final Rule Release No. 34-90610; Motion for Stay |
| 33-10905A | Mar. 19, 2021 | Amendment to Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2021
Other Release Nos.: 34-90693A See also: 33-10905 |
| 33-10934 | Mar. 17, 2021 | List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos.: 34-91344; 39-2537; IA-5698; IC-34225 File No.: S7-02-21 Comments received are available. Comments Due: April 26, 2021 |
| 34-91332 | Mar. 16, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-34 |
| 34-91331 | Mar. 16, 2021 | ICE Trade Vault, LLC (Notice of Filing of Application for Registration as a Security-Based Swap Data Repository)
File No.: SBSDR-2021-01 Comments Due: April 9, 2021 Comments received are available. See Also: Form SDR Application and Exhibits; Order, Rel. No. 34-92189 |
| 34-91280 | Mar. 9, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-33 |
| IA-5696 | Mar. 9, 2021 | BWM Advisory LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 34-91253 | Mar. 4, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-32 |
| 34-91225 | Mar. 1, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-31 |
| 34-91214 | Feb. 26, 2021 | Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33 Comments received are available. |
| 34-91207 | Feb. 25, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-30 |
| 34-91206 | Feb. 25, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-29 |
| IA-5689 | Feb. 24, 2021 | Strategic Options, LLC (Order Denying a Request for Hearing and Cancelling the Registration of an Investment Advisor Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.: 801-106576 |
| 34-91183 | Feb. 23, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-28 |
| IA-5688 | Feb. 22, 2021 | Atlantis Asset Management International Corp., et al. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.: 801-80706, et al. |
| 34-91165 | Feb. 19, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-27 |
| 34-91164 | Feb. 19, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-26 |
| 34-91163 | Feb. 19, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-25 |
| 33-10927 | Feb. 17, 2021 | Investor Advisory Committee Meeting (Thursday, March 11, 2021, 10:00 a. m.)
Other Release No.: 34-91150 File No.: 265-28 Comments received are available. |
| 34-91128 | Feb. 12, 2021 | Order Extending the Annual Reports Filing Deadline for Certain Smaller Broker-Dealers |
| 34-91117 | Feb. 11, 2021 | OneChicago, LLC (Order Granting OneChicago, LLC's Request to Withdraw from Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products)
File No.: 10-133 |
| 34-91117 | Feb. 11, 2021 | OneChicago, LLC (Order Granting OneChicago, LLC's Request to Withdraw from Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products)
File No.: 10-133 |
| 34-91071 | Feb. 5, 2021 | DTCC Data Repository (U.S.), LLC (Notice of Filing of Application for Registration as a Security-Based Swap Data Repository)
File No.: SBSDR-2020-01 Comments Due: March 3, 2021 Comments received are available. See Also: Form SDR Application and Exhibits |
| IC-34188 | Feb. 4, 2021 | Request for Comment on Potential Money Market Fund Reform Measures in President’s Working Group Report
File No.: S7-01-21 Comments Due: April 12, 2021 Comments received are available. |
| 33-10923 | Jan. 28, 2021 | Order Regarding Review of FASB Accounting Support Fee for 2021 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-91004 |
| SIPA-183 | Jan. 27, 2021 | Securities Investor Protection Corporation (Notice of the determination of the Board of Directors of the Securities Investor Protection Corporation (“SIPC”) regarding the standard maximum cash advance amount, beginning January 1, 2022)
File No.: SIPC-2021-01 Comments Due: within 15 days of publication in the Federal Register |
| IA-5673 | Jan. 22, 2021 | Trevor Stewart Burton & Jacobsen Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.: 801-10369 |
| 34-90932 | Jan. 15, 2021 | Order Making Fiscal Year 2021 Annual Adjustments to Transaction Fee Rates |
| IA-5669 | Jan. 14, 2021 | Family Office Partners, Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.: 801-110022 |
| 34-90922 | Jan. 14, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-24 |
| 33-10919 | Jan. 11, 2021 | SEC Small Business Capital Formation Advisory Committee: Notice of Meeting
Other Release Nos.: 34-90882 File No.: 265-32 Comments received are available. |
| 33-10918 | Jan. 8, 2021 | Adjustments to Civil Monetary Penalty Amounts
Other Release Nos.: 34-90874; IA-5664; IC-34166 |
| 34-90872 | Jan. 7, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-23 |
| 34-90867 | Jan. 7, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-22 |
| 34-90866 | Jan. 7, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-21 |
| 34-90864 | Jan. 7, 2021 | Order Determining Whistleblower Award Claim
File No.: 2021-20 |