Other Commission Orders, Notices, and Information

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

Third Quarter |  Second Quarter | First Quarter

Additional Archives

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: Federal Register version (86 FR 38607)
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 Federal Register version (86 FR 18341)
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. See Also: Press Release No. 2021-25
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