Other Commission Orders, Notices, and Information

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

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Release No. Date Details
Fourth Quarter
33-10877 Oct. 23, 2020 SEC Small Business Capital Formation Advisory Committee (Notice of Meeting)
Other Rel. No.: 34-90260
File No.: 265-32
34-90247 Oct. 22, 2020 Order Determining Whistleblower Award Claim
File No.: 2021-2
34-90246 Oct. 22, 2020 Request for Comments on Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
File No.: S7-15-20
Comments Due: 30 days after publication in the Federal Register See Also: Press Release No. 2020-264
34-90223 Oct. 19, 2020 Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Allocations Pursuant to the National Market System Plan Governing the Consolidated Audit Trail
34-90211 Oct. 16, 2020 Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33
Comments received are available.
34-90189 Oct. 15, 2020 Order Determining Whistleblower Award Claim
File No.: 2021-1
IA-5612 Oct. 15, 2020 EF Hutton Investments LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
33-10873 Oct. 8, 2020 Regulatory Flexibility Agenda
Other Release Nos.: 34-90131, IA-5610, IC-34047
File No.: S7-14-20
Comments Due: 30 days after publication in the Federal Register
34-90112 Oct. 7, 2020 Notice of Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders
File No: S7-13-20
Comments Due: November 12, 2020
Comments received are available for this proposal.
Federal Register version (85 FR 64542)
See also: Press Release 2020-248
Third Quarter
IA-5602 Sep. 30, 2020 Sagent Wealth Management (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-90059 Sep. 30, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-39
34-90057 Sep. 30, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-38
34-90054 Sep. 30, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-37
34-90049 Sep. 30, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-36
33-10866 Sep. 30, 2020 Salt Blockchain Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act Of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
See Also: Release No. 33-10865
33-10864 Sep. 30, 2020 Aegon N.V. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
See Also: Release No. IA-5599
34-90021 Sep. 28, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-35
34-89996 Sep. 25, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-34
34-89995 Sep. 25, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-33
34-90001 Sep. 25, 2020 New York Stock Exchange LLC Regarding an Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Chapter One of the Listed Company Manual to Modify the Provisions Relating to Direct Listings (File No. SR-NYSE-2019-67) (Order Granting Petition for Review, Scheduling Filing of Statements, and Denying New York Stock Exchange LLC’s Motion to Lift the Stay)
See: See Also:
34-89929 Sep. 21, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-32
33-10846 Sep. 18, 2020 Northern Trust Corporation (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver From Being Ineligible Issuer)
34-89912 Sep. 17, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-31
34-89868 Sep. 15, 2020 Fixed Income Market Structure Advisory Committee (Notice of meeting, October 5, 2020)
File No.: 265-30
Comments received are available.
34-89850 Sep. 14, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-30
34-89836 Sep. 11, 2020 MEMX LLC (Order Declaring Effective a Minor Rule Violation Plan)
File No.: 4-764
Additional Materials: Exhibit A
Comments received are available.
See also: Notice: Release No. 34-89485
34-89780 Sep. 8, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-29
IA-5568 Sep. 2, 2020 Europa Investment Bank Inc. (Order Cancelling Registration Pursuant to SECTION 203(h) of the Investment Advisers Act of 1940)
34-89721 Sep. 1, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-28
33-10830 Aug. 31, 2020 Investor Advisory Committee Meeting (Thursday, September 24, 2020, 10:00 a. m.)
Other Release No.: 34-89713
File No.: 265-28
Comments Due:  Thursday, May 21, 2020
Comments received are available.
34-89712 Aug. 31, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-27
34-89693 Aug. 27, 2020 Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33
Comments received are available.
33-10826 Aug. 26, 2020 Order Making Fiscal Year 2021 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-89671
33-10823 Aug. 26, 2020 Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status Pursuant to Rule 501(a)(10) under the Securities Act of 1933
34-89659 Aug. 25, 2020 Order Granting Exemptions from Certain Rules Related to the Sale and Delivery of Physical Securities under Regulation SHO Related to COVID-19
File No.: TP 20-02
IA-5565 Aug. 25, 2020 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order Under Section 206A of the Investment Advisers Act of 1940 Granting an Exemption from Section 205 of the Act and Rule 205-1 Thereunder)
File No.: 803-00250
34-89551 Aug. 13, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-26
34-89485 Aug. 5, 2020 MEMX LLC (Notice of Filing of Proposed Minor Rule Violation Plan)
File No.: 4-764
Comments due: August 24, 2020
Additional Materials: Exhibit A
Comments received are available.
See also: Order: Release No. 34-89836
Federal Register version (85 FR 46766)
33-10808 Jul. 28, 2020 American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
33-10807 Jul. 28, 2020 American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
IA-5549 Jul. 27, 2020 Europa Investment Bank Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-89355 Jul. 21, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-24
33-10804 Jul. 21, 2020 SEC Small Business Capital Formation Advisory Committee (Notice of Meeting)
Other Rel. No.: 34-89353
File No.: 265-32
34-89354 Jul. 21, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-25
34-89311 Jul. 14, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-23
IA-5534 Jul. 8, 2020 McDaniel Investments, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
33-10798 Jul. 2, 2020 Franklin Resources, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
IC-33916 Jul. 1, 2020 Allianz Life Insurance Co. of North America, et al. (Order Granting Hearing and Scheduling Filing of Statements)
Second Quarter
34-89184 Jun. 29, 2020 Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater than $20 Million but Less than $50 Million
34-89170 Jun. 26, 2020 Order under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder
34-89124 Jun. 23, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-22
34-89100 Jun. 19, 2020 Credit Risk Retention – Notice of Commencement of Review; Extension of Review Period
File No.: S7-14-11
See Also: Notice of Commencement of Review, Rel. No. 34-87714; Division of Economic and Risk Analysis White Paper: Qualified Residential Mortgage: Background Data Analysis on Credit Risk Retention; Proposed Rule Release Nos. 34-70277, 34-64603 and 34-64148
Federal Register version (85 FR 39099)
IC-33897 Jun. 19, 2020 Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Sections 15(c) and 32(a) of the Investment Company Act and Rules 12b-1(b)(2) and 15a-4(b)(2)(ii) Thereunder
34-89102 Jun. 19, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-21
34-89087 Jun. 18, 2020 Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33
Comments received are available.
IA-5525 Jun. 17, 2020 Cheswold Lane Asset Management, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-89074 Jun. 16, 2020 Order Granting a Temporary Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors
34-89051 Jun. 11, 2020 Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail
SIPA-182 Jun. 9, 2020 Securities Investor Protection Corporation (Order Approving Proposed Bylaw Change Relating to SIPC Member Assessments)
File No.: SIPC-2019-02
See Also: Correction: SIPA-179A
SIPA-181 Jun. 9, 2020 Securities Investor Protection Corporation (Order Approving Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation)
File No.: SIPC-2019-01
See Also: Correction: SIPA-180A
34-89003 Jun. 4, 2020 Brewer Financial Services, LLC (Order Cancelling Registration Under Section 15(b) of the Securities Exchange Act of 1934)
File No.: 8-66603
34-89002 Jun. 4, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-20
34-88973 May 29, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-19
34-88960 May 27, 2020 Order under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder
IA-5506 May 20, 2020 McDaniel Investments, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940)
IA-5504 May 18, 2020 Strategic Options, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940)
34-88884 May 15, 2020 Order Granting a Conditional Exemption from Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral
See also: Incoming Letter
34-88866 May 14, 2020 Order Designating Financial Industry Regulatory Authority, Inc., to Receive Form X-17A-5 (FOCUS Report) from Certain Security-Based Swap Dealers and Major Security-Based Swap Participants
33-10784 May 12, 2020 Morgan Stanley; and Morgan Stanley Finance LLC (Order Under Rule 405 of the Securities Act of 1933, Granting Waivers From Being Ineligible Issuers)
34-88842 May 8, 2020 Fixed Income Market Structure Advisory Committee (Notice of meeting)
File No.: 265-30
Comments received are available.
34-88807 May 5, 2020 Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33
Comments received are available.
34-88806 May 4, 2020 MEMX LLC (Findings, Opinion, and Order of the Commission in the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange)
File No.: 10-237
See Also: Form 1 Application and Exhibits; Notice Rel. No. 34-87436
34-88803 May 4, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-18
IA-5493 May 1, 2020 Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940
33-10780 May 1, 2020 Investor Advisory Committee Meeting (Thursday, May 21, 2020, 10:00 a. m.)
Other Release No.: 34-88790
File No.: 265-28
Comments Due:  Thursday, May 21, 2020
34-88759 Apr. 28, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-17
33-10776 Apr. 24, 2020 SEC Small Business Capital Formation Advisory Committee (Notice of meeting)
Other Rel. No.: 34-88742
File No.: 265-32
34-88703 Apr. 20, 2020 Order Granting Limited Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Related to Certain Introducing Brokers, From the Requirements of the National Market System Plan Governing the Consolidated Audit Trail
34-88702 Apr. 20, 2020 Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, from Sections 6.4, 6.7(a)(v) and 6.7(a)(vi) of the National Market System Plan Governing the Consolidated Audit Trail
34-88689 Apr. 20, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-15
34-88687 Apr. 20, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-16
33-10774 Apr. 17, 2020 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)
34-88667 Apr. 16, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-14
34-88658 Apr. 16, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-13
34-88608 Apr. 8, 2020 Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act to Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Granularity of Timestamps Specified in Section 6.8(b) and Appendix D, Section 3 of the National Market System Plan Governing the Consolidated Audit Trail
IC-33837 Apr. 8, 2020 Order Under Sections 6(c), 17(d), 38(a), and 57(i) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder
34-88547 Apr. 3, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-12
First Quarter
33-10769 Mar. 31, 2020 Regulatory Flexibility Agenda
Other Release Nos.: 34-88531, IA-5470, IC-33833
File No.: S7-06-20
Comments Due: 30 days after publication in the Federal Register
Comments received are available.
34-88507 Mar. 30, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-11
34-88491 Mar. 26, 2020 Order Under Section 15B of the Securities Exchange Act of 1934 Granting an Exemption for Municipal Advisors from Specified Provisions of the Securities Exchange Act and Rule 15Ba1-5(a)(1) Thereunder
IA-5469 Mar. 25, 2020 Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
IC-33824 Mar. 25, 2020 Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
34-88478 Mar. 25, 2020 Order Granting Application by The Financial Information Forum and Security Traders Association for a Temporary Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act in Response to the Effects of COVID-19
34-88465 Mar. 25, 2020 Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions from the Reporting and Proxy Delivery Requirements for Public Companies
34-88464 Mar. 24, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-10
34-88462 Mar. 24, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-9
IC-33821 Mar. 23, 2020 Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) AND 38(a) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder
34-88449 Mar. 23, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-8
34-88448 Mar. 20, 2020 Order Under Section 17A and Section 36 of the Securities Exchange Act oF 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder
34-88393 Mar. 17, 2020 Order Granting Conditional Exemptive Relief, Pursuant to Section 36 and Rule 608(e) of the Securities Exchange Act of 1934, from Section 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the National Market System Plan Governing the Consolidated Audit Trail
34-88318 Mar. 4, 2020 Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder
IC-33817 Mar. 13, 2020 Order under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
IA-5463 Mar. 13, 2020 Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
34-88318 Mar. 4, 2020 Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder
IC–33809 Mar. 2, 2020 Request for Comments on Fund Names (Conformed to Federal Register version)
File No.: S7-04-20
Effective Date: May 5, 2020
Comments received are available.
Federal Register version (85 FR 13221)
34-88299 Feb. 28, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-7
33-10758 Feb. 21, 2020 Wells Fargo & Company (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(A) Disqualification Provision)
See Also: Enforcement Order
34-88214 Feb. 14, 2020 Financial Industry Regulatory Authority, Inc. (Order Granting Petition for Review and Scheduling Filing of Statements)
File No.: SR-FINRA-2019-008
33-10753 Feb. 6, 2020 Order Regarding Review of FASB Accounting Support Fee for 2020 under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-88137
33-10752 Feb. 3, 2020 Investor Advisory Committee Meeting (Thursday, February 27, 2020)
Other Release No.: 34-88113
File No.: 265-28
Comments Due:  February 27, 2020
SIPA-180A Jan. 24, 2020 Securities Investor Protection Corporation (Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation; Correction)
File No.: SIPC-2019-01
Comments Due:  February 20, 2020
Comments received are available.
SIPA-179A Jan. 24, 2020 Securities Investor Protection Corporation (Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments; Correction)
File No.: SIPC-2019-02
Comments Due: February 20, 2020
34-88015 Jan. 22, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-6
34-88014 Jan. 22, 2020 Order Determining Whistleblower Award Claim
File No.: 2020-5
33-10747 Jan. 22, 2020 SEC Small Business Capital Formation Advisory Committee (Notice of Meeting)
Other Release No.: 34-88012
File No.: 265-32
34-87956 Jan. 13, 2020 Fixed Income Market Structure Advisory Committee (Notice of Meeting)
File No.: 265-30
Comments received are available.
34-87918 Jan. 9, 2020 Order Making Fiscal Year 2020 Annual Adjustments to Transaction Fee Rates
33-10740 Jan. 8, 2020 Notice of Annual Inflation Adjustment of Civil Monetary Penalties
Other Release Nos.: 34-87905; IA-5428; IC-33740