Other Commission Orders, Notices, and Information
Archive of other SEC Orders, Notices and Information available include:
Second Quarter | First Quarter
Additional Archives
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 | ||
| 34-81200 | July 25, 2017 | Order Determining Whistleblower Award File No.: 2017-12 |
| 34-81064 | June 30, 2017 | In the Matter of Certain Disgorgement and Fair Funds in Administrative Proceedings: Notice of Name Change of Appointed Tax Administrator File Nos.: 3-11292, 3-11359, 3-11393, 3-11450, 3-11498, 3-11514, 3-11515, 3-11538, 3-11578, 3-11645, 3-11676, 3-11793, 3-11814, 3-11818, 3-11914, 3-11915, 3-11916, 3-11935, 3-11940, 3-11987, 3-12114, 3-12115, 3-12116, 3-12238, 3-12372, 3-12400, 3-12540, 3-12554, 3-12678, 3-12737, 3-12805, 3-12868, 3-13199, 3-13675, 3-13847, 3-14191, 3-14192, 3-14594, 3-14641, 3-14854, 3-14863, 3-14899, 3-14909, 3-14950, 3-14982, 3-15014, 3-15098, 3-15134, 3-15135, 3-15211, 3-15429, 3-15471, 3-15507, 3-15526, 3-15641, 3-15982, 3-16014, 3-16017, 3-16163, 3-16175, 3-16203, 3-16389, 3-16398, 3-16575, 3-16755, 3-16757, 3-16786, 3-16829, 3-16846, 3-16852, 3-16955, 3-17075, and 3-17186 |
| 34-81057 | June 30, 2017 | Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds |
| 34-80871 | June 7, 2017 | Order Determining Whistleblower Award File No.: 2017-11 |
| 34-80870 | Jun. 7, 2017 | Commission Statement Concerning a Request for an Interpretation as to Whether a Particular Agreement is a Swap, Security-Based Swap, or Mixed Swap (Conformed to Federal Register version) See also: Exhibits |
| 34-80816 | May 31, 2017 | Order Making Fiscal Year 2017 Annual Adjustments to Transaction Fee Rates |
| 33-10366 | May 25, 2017 | Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - June 22, 2017) Other Release No.: 34-80767 File No.: 265-28 Comments Due: June 22, 2017 Comments received are available. |
| 34-80596 | May 4, 2017 | Order Determining Whistleblower Award Claims File No.: 2017-10 |
| 34-80571 | May 2, 2017 | Order Determining Whistleblower Award Claim File No.: 2017-9 |
| IA-4691 | Apr. 26, 2017 | Michael L. Silver (Order Granting Consent to Associate) File No.: 3-13417 |
| 34-80511 | Apr. 24, 2017 | Bats BZX Exchange, Inc. (Order Granting Petition for Review and Scheduling Filing of Statements) File No.: SR-BatsBZX-2016-30 Statements received are available. See also: Notice: Rel. No. 34-80206, Notice: Rel. No. 34-79725, Notice: Rel. No. 34-79183, Notice: Rel. No. 34-79084, Notice: Rel. No. 34-78653, Notice: Rel. No. 34-78262 |
| 34-80521 | Apr. 25, 2017 | Order Determining Whistleblower Award Claim File No.: 2017-8 |
| 33-10350 | Apr. 24, 2017 | SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting) File No.: 265-27 Other Release No.: 34-80512 Comments Due: May 8, 2017 |
| 33-10349 | Apr. 18, 2017 | Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies); Extension of Comment Period Other Release Nos.: 34-80479 File No.: S7-02-17 Comments Due: July 7, 2017 Comments received are available for this proposal. |
| 34-80477 | Apr. 18, 2017 | ISE Mercury, LLC (Order Declaring Effective a Minor Rule Violation Plan) File No: 4-707 See also: Notice, Release No. 34-80259 |
| First Quarter | ||
| 33-10333 | Mar. 31, 2017 | Regulatory Flexibility Agenda File No.: S7-04-17 Comments Due: 30 days after publication in the Federal Register |
| 34-80259 | Mar. 16, 2017 | ISE Mercury, LLC (Notice of Filing of Proposed Minor Rule Violation Plan)
File No.: 4-707 Comments due: April 11, 2017 See also: Order, Release No. 34-80477 |
| 34-80245 | Mar. 14, 2017 | Equity Market Structure Advisory Committee (Notice of Meeting) File No.: 265-29 Comments Due: March 29, 2017 |
| 33-10321 | Mar. 1, 2017 | Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies) Other Release No.: 34-80131 File No.: S7-02-17 Comments Due: May 8, 2017 Comments received are available for this proposal. |
| 33-10320 | Mar. 1, 2017 | IFRS Taxonomy for Foreign Private Issuers That Prepare Their Financial Statements in Accordance with International Financial Reporting Standards as Issued by the International Accounting Standards Board Other Release No: 34-80128 See also: DERA Taxonomies |
| 34-80115 | Feb. 28, 2017 | Order Determining Whistleblower Award Claim File No.: 2017-7 |
| 33-10312 | Feb. 24, 2017 | Securities and Exchange Commission Evidence Summit (Notice of conference) Other Release No.: 34-80096 |
| 33-10306 | Feb. 13, 2017 | Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - March 9, 2017) Other Release No.: 34-80024 File No.: 265-28 Comments Due: March 9, 2017 Comments received are available. |
| 34-79992 | Feb. 9, 2017 | Notice of Federal Advisory Committee Renewal
File No.: 265-29 |
| 33-10297 | Jan. 31, 2017 | Order Regarding Review of FASB Accounting Support Fee For 2017 Under Section 109 of the Sarbanes-Oxley Act Of 2002
Other Release No.: 34-79912 |
| 33-10292 | Jan. 25, 2017 | Notice of Meeting: SEC Advisory Committee on Small and Emerging Companies
File No.: 265-27 Other Release No.: 34-79872 Comments Due: February 13, 2017 Comments received are available. |
| 33-10289 | Jan. 24, 2017 | Citigroup, Inc. and Citigroup Global Markets Holdings, Inc. |
| 34-79853 | Jan. 23, 2017 | Order Determining Whistleblower Award Claim File No.: 2017-6 |
| 34-79747 | Jan. 6, 2017 | Order Determining Whistleblower Award Claim File No.: 2017-5 |