Other Commission Orders, Notices, and Information
Archive of other SEC Orders, Notices and Information available include:
Second Quarter | First Quarter
Additional Archives
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
| Release No. | Date | Details |
|---|---|---|
| Second Quarter | ||
| 34-85682 | Apr. 17, 2019 | Order Scheduling Filing of Statements on Review In the Matter of Cboe BZX Exchange, Inc. For an Order of Disapproval of Proposed Rule Change to Amend BZX Rule 14.11(c), Index Fund Shares (File No. SR-CboeBZX-2018-044) |
| 34-85538 | Apr. 8, 2019 | Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) Of the Securities Exchange Act of 1934 |
| First Quarter | ||
| 34-85447 | Mar. 28, 2019 | Order Issuing Stay (In the Matter of Rule 610T of Regulation NMS) File No.: 3-19124 See also: Final Rule (File No. S7-05-18): Release No. 34-84875 |
| 34-85412 | Mar. 26, 2019 | Order Determining Whistleblower Award Claim File No.: 2019-4 |
| 33-10621 | Mar. 25, 2019 | Order Regarding Review of FASB Accounting Support Fee for 2019 under Section 109 of the Sarbanes-Oxley Act of 2002 Other Release No.: 34-85402 |
| 33-10620 | Mar. 22, 2019 | Regulatory Flexibility Agenda Other Release Nos.: 34-85401, IA-5207, IC-33428 File No.: S7-04-19 Comments Due: 30 days after publication in the Federal Register |
| 34-85383 | Mar. 21, 2019 | Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Monday, April 15) File No.: 265-30 Comments Due: April 10, 2019 |
| 33-10616 | Mar. 20, 2019 | Wells Fargo Services, LLC (Order Under Rule 506(d)(2)(ii) and Rule 262(b)(2)of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) and Rule 262(a)(2) Disqualification Provisions) |
| 34-85287 | Mar. 11, 2019 | Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates |
| 33-10613 | Mar. 11, 2019 | Deutsche Bank Securities, Inc., RBC Capital Markets, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC (Order Under Rules 262(B)(2), 405, 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(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers) File Nos.: 3-19100, 3-19101, 3-19102 |
| 33-10612 | Mar. 11, 2019 | Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 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(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers) File Nos.: 3-19026, 3-19027, 3-19028, 3-19029, 3-19030, 3-19031, 3-19032, 3-19033, 3-19034, 3-19035, 3-19036, 3-19037, 3-19038, 3-19039, 3-19040, 3-19041, 3-19042, 3-19043, 3-19044, 3-19045, 3-19046, 3-19047, 3-19048, 3-19049, 3-19050, 3-19051, 3-19052, 3-19053, 3-19054, 3-19055, 3-19056, 3-19057, 3-19058, 3-19059, 3-19060, 3-19061, 3-19062, 3-19063, 3-19064, 3-19065, 3-19066, 3-19067, 3-19068, 3-19069, 3-19070, 3-19071, 3-19072, 3-19073, 3-19074, 3-19075, 3-19076, 3-19077, 3-19078, 3-19079, 3-19080, 3-19081, 3-19082, 3-19083, 3-19084, 3-19085, 3-19086, 3-19087, 3-19088, 3-19089, 3-19090, 3-19091, 3-19092, 3-19093, 3-19094, 3-19095, 3-19096, 3-19097, 3-19098, 3-19099, 3-19100, 3-19101, 3-19102 |
| 33-10611 | Mar. 8, 2019 | Investor Advisory Committee Meeting (Thursday, March 28, 2019) Other Release No.: 34-85271 File No.: 265-28 |
| 34-85273 | Mar. 8, 2019 | Order Determining Whistleblower Award Claim File No.: 2019-3 |
| 34-85227 | Mar. 1, 2019 | Notice of Intent to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 |
| 34-85174 | Feb. 22, 2019 | Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds |
| 33-10604 | Feb. 13, 2019 | Adjustments to Civil Monetary Penalty Amounts Release Nos.: 33-10604; 34-85118 ; IA-5111; IC-33373 |
| 34-84985 | Jan. 15, 2019 | Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting Cancellation - Monday, January 28) File No.: 265-30 |