Other Commission Orders, Notices, and Information
Archive of other SEC Orders, Notices and Information available include:
Third Quarter | Second Quarter | First Quarter
Additional Archives
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 | |
|---|---|---|---|
| Third Quarter | |||
| 33-10224 | Sep. 28, 2016 | SG Americas Securities, LLC (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iii) Disqualification Provision) | |
| 34-78941 | Sep. 27, 2016 | Notice of Filing of Application for Registration as a Clearing Agency and Request for Exemptive Relief File No.: 600-36 Comments Due: 30 days after publication in the Federal Register | |
| IA-4532 | Sep. 20, 2016 | Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order with respect to FINRA Rule 2030 (Corrected to conform to Federal Register version)
File No.: S7-16-16 | |
| IA-4531 | Sep. 20, 2016 | Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order with respect to MSRB Rule G-37 (Corrected to conform to Federal Register version)
File No.: S7-17-16 | |
| 33-10217 | Sep. 20, 2016 | Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-78883; 39-2512; IC-32269 Effective Date: date of publication in the Federal Register | |
| 34-78881 | Sep. 20, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-17 | |
| 33-10209 | Sep. 15, 2016 | List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release No.: 34-78845, 39-2511, IA-4530, IC-32263 File No.: S7-21-16 Comments Due: 30 days after publication in the Federal Register Comments received are available. | |
| 33-10208 | Sep. 15, 2016 | SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting - October 5, 2016) Other Release No.: 34-78844 File No.: 265-27 Comments Due: October 3, 2016 | |
| 34-78793 | Sep. 8, 2016 | MIAX PEARL, LLC (Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934) File No. 10-227 Comments Due: October 31, 2016 See Also: Form 1 Application and Exhibits | |
| 33-10203 | Sep. 2, 2016 | Regulatory Flexibility Agenda
Other Release No.: 34-78769, IA-4521, IC-32251 File No.: S7-20-16 Comments Due: 30 days after publication in the Federal Register | |
| 33-10200 | Aug. 30, 2016 | Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-78726 | |
| SIPA-178 | Aug. 30, 2016 | Order Approving a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members
File No. SIPC-2016-02 Comments received are available. | |
| 34-78719 | Aug. 30, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-16 | |
| 34-78710 | Aug. 29, 2016 | Euroclear Bank SA/NV (Notice of Filing of Application to Modify an Existing Exemption from Clearing Agency Registration) File No. 601-01 Comments due: October 6, 2016 See Also: Form CA-1 Application Comments received are available. | |
| IA-4512 | Aug. 25, 2016 | Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order with respect to MSRB Rule G-37 (Notice of intent to issue order) (Corrected to conform to the Federal Register version) | |
| IA-4511 | Aug. 25, 2016 | Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order with respect to FINRA Rule 2030 (Notice of intent to issue order) (Corrected to conform to the Federal Register version) | |
| 33-10198 | Aug. 25, 2016 | Request for Comment on Subpart 400 of Regulation S-K Disclosure Requirements Relating to Management, Certain Security Holders and Corporate Governance Matters
File No.: S7-18-16 Comments due: October 31, 2016 Comments received are available. | |
| 34-78671 | Aug. 24, 2016 | Morningstar Credit Ratings, LLC (Order Granting Registration of Morningstar Credit Ratings, LLC for Two Additional Classes of Credit Ratings) | |
| 34-78474 | Aug. 3, 2016 | Investors Exchange LLC (Order Declaring Effective a Minor Rule Violation Plan)
File No.: 4-701 | |
| 34-78356 | Jul. 19, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-15 | |
| 34-78355 | Jul. 19, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-14 | |
| 34-78308 | Jul. 13, 2016 | Equity Market Structure Advisory Committee (Notice of Meeting) File No.: 265-29 | |
| 34-78300 | Jul. 12, 2016 | Investors Exchange LLC (Notice of Filing of Proposed Minor Rule Violation Plan) File No.: 4-701 See also: Exhibit A Comments due: August 2, 2016 | |
| Second Quarter | |||
| 34-78216 | Jun. 30, 2016 | DTCC Data Repository (U.S.) LLC (Notice of Filing of Application for Registration as a Security-Based Swap Data Repository)
File No.: SBSDR-2016-02 Comments Due: August 8, 2016 Comments received are available. | |
| 34-78161 | Jun. 28, 2016 | Barclays Capital Inc. (Order Granting Accelerated Effectiveness of Notice Regarding Change of Method for Computing Deductions for Market and Credit Risk) | |
| 34-78169 | Jun. 27, 2016 | Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, Canada and the U.S. Extractive Industries Transparency Initiative as Substantially Similar to the Requirements of Rule 13q-1 under the Securities Exchange Act of 1934 ("Exchange Act") (Corrected to conform to the Federal Register version)
See also: Final Rule Release No. 34-78167 Federal Register version (81 FR 49163) | |
| 33-10105 | Jun. 27, 2016 | SEC Advisory Committee on Small and Emerging Companies (Notice of meeting - July 19, 2016) Other Release No.: 34-78158 File No.: 265-27 Comments Due: July 15, 2016 Comments received are available. | |
| 33-10102 | Jun. 22, 2016 | Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - July 14, 2016) Other Release No.: 34-78127 File No.: 265-28 Comments Due: July 14, 2016 Comments received are available. See also: Meeting Notice; correction | |
| 34-78101 | Jun. 17, 2016 | In the Matter of the Application of Investors' Exchange, LLC for Registration as a National Securities Exchange, Findings, Opinion, and Order of the Commission
File No.: 10-222 See also: Release No. 34-77406 and Notice of Filing of Application Federal Register version (81 FR 41141) | |
| SIPA-177 | Jun. 15, 2016 | Notice of Filing of Proposed Bylaw Amendments Relating to Assessment of SIPC Members
File No. SIPC-2016-02 Comments Due: July 11, 2016 Comments received are available. | |
| IA-4421 | Jun. 14, 2016 | Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act of 1940 | |
| 34-78040 | Jun. 10, 2016 | Equity Market Structure Advisory Committee Meeting (Notice of telephonic meeting) File No.: 265-29 Comments Due: July 5, 2016 | |
| 34-78025 | Jun. 9, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-13 | |
| 34-77948 | May 31, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-12 | |
| 34-77873 | May 20, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-11 | |
| 33-10079 | May 19, 2016 | Investor Advisory Committee Meeting (Notice of Telephonic Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - June 7, 2016) Other Release No.: 34-77857 File No.: 265-28 Comments Due: June 7, 2016 Comments received are available. | |
| IA-4388 | May 18, 2016 | Performance Based Investment Advisory Fees File No.: S7-08-16 | |
| 34-77843 | May 17, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-10 | |
| 34-77833 | May 13, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-9 | |
| 34-77751 | Apr. 29, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-8 | |
| 34-77746 | Apr. 29, 2016 | Steven Rattner (Order Vacating Commission Approval Order)
Note: This Order vacates the March 14, 2016 Order 34-77360 | |
| 33-10074 | Apr. 29, 2016 | SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting) File No.: 265-27 Other Release No.: 34-77743 Comments Due: May 16, 2016 Comments received are available. | |
| 34-77699 | Apr. 22, 2016 | ICE Trade Vault (Notice of Filing of Application for Registration as a Security-Based Swap Data Repository under Section 13(n) of the Securities Exchange Act of 1934)
File No.: SBSDR-2016-01 Comments Due: May 31, 2016 Comments received are available. | |
| 33-10073 | Apr. 22, 2016 | Order Regarding Review of FASB Accounting Support Fee for 2016 Under Section 109 of the Sarbanes-Oxley Act of 2002 | |
| 34-77629 | Apr. 15, 2016 | Public Availability of the Securities and Exchange Commission's FY 2014 Service Contract Inventory (Notice) | |
| 34-77543 | Apr. 6, 2016 | Equity Market Structure Advisory Committee (Notice of Meeting) File No.: 265-29 Comments received are available. | |
| 34-77530 | Apr. 5, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-7 | |
| 34-77529 | Apr. 5, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-6 | |
| First Quarter | |||
| SIPA-176 | Mar. 30, 2016 | 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-2016-01 See also: Notice: Rel. No. SIPA-174 | |
| 33-10058 | Mar. 23, 2016 | Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee) Other Release No.: 34-77432 File No.: 265-28 Comments Due: April 14, 2016 Comments received are available. | |
| 33-10056 | Mar. 18, 2016 | Regulatory Flexibility Agenda
Other Release No.: 34-77408, IA-4354, IC-32031 File No.: S7-04-16 Comments Due: July 11, 2016 | |
| 34-77406 | Mar. 18, 2016 | Investors’ Exchange LLC (Notice of Filing of Amendment Nos. 2, 3, and 4 to, and Order Instituting Proceedings to Determine Whether to Grant or Deny, and Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Grant or Deny, an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto)
See also: Notice of Filing of Application File No.: 10-222 Comments Due: April 14, 2016 Comments received are available. | |
| 34-77382 | Mar. 16, 2016 | Order Denying Petition for Review | |
| 34-77368 | Mar. 14, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-5 | |
| 33-10054 | Mar. 14, 2016 | Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2016
Other Release No.: 34-77367 | |
| 34-77360 | Mar. 14, 2016 | Steven Rattner (Order Approving Application for Relief from a Statutory Disqualification)
Note: This Order has been vacated by the April 29, 2016 Order 34-77746 | |
| SIPA-175 | Mar. 14, 2016 | Securities Investor Protection Corporation (Corrected to conform to the Federal Register version)
Effective Date: 14 days after publication in the Federal Register File No.: SIPC-2015-01 See also: Notice: Rel. No. SIPA-173, Order: Rel. No. SIPA-176 |
|
| 34-77322 | Mar. 8, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-4 | |
| 33-10043 | Feb. 19, 2016 | Tigon (Order Denying Withdrawal of Registration Statement Under the Securities Act
of 1933)
File No.: 333-201823 | |
| SIPA-174 | Feb. 22, 2016 | Securities Investor Protection Corporation
File No.: SIPC-2016-01 Comments Due: March 11, 2016 See Also: Order: Rel. No. SIPA-176 |
|
| 34-77112 | Feb. 11, 2016 | Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan and Denying Motions See also: Order, Release Nos. 34-74452, 34-74136 File No.: SR-OCC-2015-02 See also: | |
| 34-77112 | Feb. 11, 2016 | Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan and Denying Motions See also: Order, Release Nos. 34-74452, 34-74136 File No.: SR-OCC-2015-02 See also: | |
| 33-10034 | Feb. 5, 2016 | Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-77064 File No.: 265-27 Comments Due: February 23, 2016 | |
| 34-77037 | Feb. 2, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-3 | |
| 33-10030 | Feb. 2, 2016 | Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Order Under Rules 262(b)(2), 405, 505(b)(2)(iii)(C), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 Granting Waivers of the Disqualification Provisions of Rules 262(a)(4)(ii), 505(b)(2)(iii), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Granting Waivers from Being Ineligible Issuers )
File Nos.: 3-17084; 3-17085; 3-17086; 3-17087; 3-17088; 3-17089; 3-17090; 3-17091; 3-17092; 3-17093; 3-17094; 3-17095; 3-17096 and 3-17097 See also: Orders, Release Nos. 33-10016, 33-10017, 33-10018, 33-10019, 33-10020, 33-10021, 33-10022, 33-10023, 33-10024, 33-10025, 33-10026, 33-10027, 33-10028, 33-10029 | |
| 33-10012 | Jan. 31, 2016 | Barclays PLC and Barclays Bank PLC (Order Under Rule 405 of The Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
File No.: 3-17077 See also: Order, Release No. 33-10010 | |
| 33-10011 | Jan. 31, 2016 | Barclays Capital Inc. (Order Under Rule 506(d) of The Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
File No.: 3-17077 See also: Order, Release No. 33-10010 | |
| 34-76998 | Jan. 29, 2016 | ISE Mercury, LLC (In the Matter of the Application of ISE Mercury, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission) File No.: 10-221 See also: Notice: Release No. 34-75884; Form 1 Application and Exhibits; Amendment No. 2 | |
| 34-76921 | Jan. 15, 2016 | Order Determining Whistleblower Award Claim
File No.: 2016-2 | |
| 34-76883 | Jan. 13, 2016 | Equity Market Structure Advisory Committee (Notice of Meeting) File No.: 265-29 Comments received are available. | |
| IA-4308 | Jan. 8, 2016 | Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940 | |
| 34-76848 | Jan. 7, 2016 | Order Making Fiscal Year 2016 Annual Adjustments to Transaction Fee Rates | |