Other Commission Orders, Notices, and Information
Archive of other SEC Orders, Notices and Information available include:
Second Quarter | First Quarter
Additional Archives
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| Release No. | Date | Details | |||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Second Quarter | |||||||||||||||||||||||||||||
| 34-83057 | Apr. 17, 2018 | Order Making Fiscal Year 2018 Annual Adjustments to Transaction Fee Rates | |||||||||||||||||||||||||||
| 34-83037 | Apr. 12, 2018 | Order Determining Whistleblower Award Claim
File No.: 2018-9 | |||||||||||||||||||||||||||
| 34-82996 | Apr. 5, 2018 | Order Determining Whistleblower Award Claim
File No.: 2018-8 | |||||||||||||||||||||||||||
| 33-10476 | Apr. 5, 2018 | Order Regarding Review of FASB Accounting Support Fee for 2018 Under Section 109 of the Sarbanes-Oxley Act of 2002 Other Release No.: 34-82997 | |||||||||||||||||||||||||||
| IA-4873 | Apr. 2, 2018 | Order Granting Hearing on Cancellation and Scheduling Filing of Statements See also: Notice, Rel. No. IA-4576 | |||||||||||||||||||||||||||
| First Quarter | |||||||||||||||||||||||||||||
| 33-10475 | Mar. 30, 2018 | Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer | |||||||||||||||||||||||||||
| 33-10474 | Mar. 30, 2018 | Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 Other Release Nos.: 34-82971 | |||||||||||||||||||||||||||
| 34-82955 | Mar. 27, 2018 | Order Determining Whistleblower Award Claim
File No.: 2018-7 | |||||||||||||||||||||||||||
| 34-82897 | Mar. 19, 2018 | Order Determining Whistleblower Award Claim
File No.: 2018-6 | |||||||||||||||||||||||||||
| 34-82896 | Mar. 16, 2018 | Order Granting Motion for Extension of Time File No.: SR-BatsBZX-2017-34 See also: Other Notices, Orders, and Additional Materials for SR-BatsBZX-2017-34 | |||||||||||||||||||||||||||
| 34-82884 | Mar. 15, 2018 | Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Monday, April 9, 2018) File No.: 265-30 Comments Due: April 9, 2018 | |||||||||||||||||||||||||||
| 33-10470 | Mar. 14, 2018 | Regulatory Flexibility Agenda Other Release Nos.: 34-82869, IA-4869 File No.: S7-06-18 Comments Due: 30 days after publication in the Federal Register | |||||||||||||||||||||||||||
| IA-4867 | Mar. 8, 2018 | Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940 | |||||||||||||||||||||||||||
| 33-10466 | Mar. 8, 2018 | Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Order Under Rule 506(d)(2)(ii) of ohe Securities Act of 1933 Granting A Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision) | |||||||||||||||||||||||||||
| 33-10464 | Mar. 6, 2018 | Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer) | |||||||||||||||||||||||||||
| 34-82807 | Mar. 6, 2018 | Order Determining Whistleblower Award Claim
File No.: 2018-5 | |||||||||||||||||||||||||||
| 34-82794 | Mar. 1, 2018 | Bats BZX Exchange, Inc. (Order Granting Petitions for Review and Scheduling Filing of Statements) File No.: SR-BatsBZX-2017-34 See also: Other Notices, Orders, and Additional Materials for SR-BatsBZX-2017-34 |
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| 34-82787 | Feb. 27, 2018 | Order Granting an Extension of Time to File Audited Financial Statements of DBRS Ratings Limited in Accordance With Exchange Act Rule 17g-3(a)(1)
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33-10456A |
Feb. 22, 2018 |
Investor Advisory Committee Meeting (Correction: Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - Thursday, March 8, 2018) | Other Release No.: 34-82656A File No.: 265-28 See also: Meeting Notice
PA-54 |
Feb. 9, 2018 |
Systems of Records (Rescindment of System of Records Notice) | File No.: S7-02-18
PA-53 |
Feb. 9, 2018 |
Systems of Records (Notice of new and modified system of records) | File No.: S7-01-18 Comments Due: 30 days after publication in the Federal Register
33-10456 |
Feb. 7, 2018 |
Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - Thursday, March 8, 2018) | Other Release No.: 34-82656 File No.: 265-28 Comments Due: March 8, 2018 Comments received are available. See also: Meeting Notice Correction 33-10455 |
Feb. 5, 2018 |
Wedbush Securities Inc. (Order Under Rule 262(b)(2) and Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 262(a)(4)(ii) and Rule 506(d)(1)(iv)(B) Disqualification Provisions) | See also: Enforcement Order and Summary IA-4849 |
Jan. 26, 2018 |
Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisors Act of 1940
| 34-82562 |
Jan. 22, 2018 |
Order Determining Whistleblower Award Claim
| File No.: 2018-4 33-10453 |
Jan. 10, 2018 |
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2018
| Other Release No.: 34-82483 33-10451 |
Jan. 8, 2018 |
Adjustments to Civil Monetary Penalty Amounts
| Other Release Nos.: 34-82455; IA-4842; IC-32963 |