Other Commission Orders, Notices, and Information

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

Fourth Quarter |  Third Quarter |  Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-82067 Nov. 13, 2017 The Options Clearing Corporation (In the Matter of the Petitions of Virtu Financial Inc. and Virtu Americas, LLC and Susquehanna International Group, et al.; Order Granting Motion to Substitute Parties and Motion for Extension of Time)
File No.: SR-OCC-2015-02
See also: Capital Plan File: SR-OCC-2015-02
Comments received are available.
33-10435 Nov. 9, 2017 Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - December 7, 2017)
Other Release No.: 34-82042
File No.: 265-28
Comments Due:  December 7, 2017
34-81958 Oct. 26, 2017 Notice of Federal Advisory Committee Establishment
File No.: 265-30
34-81857 Oct. 12, 2017 Order Determining Whistleblower Award Claim
File No.: 2018-1
33-10424 Oct. 10, 2017 Regulatory Flexibility Agenda
Other Release No.: 34-81839, IA-4789, IC-32857
File No.: S7-07-17
Comments Due:  30 days after publication in the Federal Register
Third Quarter
34-81760 Sep. 28, 2017 Order concerning Hurricane Harvey, Hurricane Irma, and Hurricane Maria (Order Under Section 15B, 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;
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)
Other Release No.: IC-32842
34-81687 Sep. 22, 2017 Public Availability of the Securities and Exchange Commission's FY 2015 Service Contract Inventory
34-81629 Sep. 14, 2017 The Options Clearing Corporation (Corrected Order Scheduling Filing of Statements on Review)
File No.: SR-OCC-2015-02
See also: Capital Plan File: SR-OCC-2015-02
Comments received are available.
34-81628 Sep. 14, 2017 The Options Clearing Corporation (Corrected Order Denying Motion for Stay)
File No.: SR-OCC-2015-02
See also: Capital Plan File: SR-OCC-2015-02
33-10412 Sep. 12, 2017 Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - October 12, 2017)
Other Release No.: 34-80767
File No.: 265-28
Comments received are available.
33-10407 Aug. 24, 2017 Order Making Fiscal Year 2018 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-81476
33-10399 Aug. 14, 2017 SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting)
File No.: 265-27
Other Release No.: 34-81389
Comments received are available.
34-81358 Aug. 9, 2017 Notice of Federal Advisory Committee Renewal
File No.: 265-29
34-81302 Aug. 3, 2017 DTCC Data Repository (U.S.), LLC (Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository)
File No.: SBSDR-2016-02
Comments Due:  August 30, 2017
See also: Notice: Rel. No. 34-78216
Comments received are available. DTCC Data Repository (U.S.) LLC's Form SDR application and non-confidential exhibits thereto are available in EDGAR. For ease of reference, the public may access copies of these materials at DTCC Data Repository (U.S.) LLC Form SDR Amended Application and Exhibits.
34-81227 July 27, 2017 Order Determining Whistleblower Award
File No.: 2017-13
34-81223 Jul. 27, 2017 ICE Trade Vault (Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository)
File No.: SBSDR-2017-01
Comments Due:  August 22, 2017
See also: Notice: Rel. No. 34-77699
Comments received are available. ICE Trade Vault's Form SDR application and non-confidential exhibits thereto are available in EDGAR. For ease of reference, the public may access copies of these materials at ICE Trade Vault Form SDR Amended Application and Exhibits.
34-81200 July 25, 2017 Order Determining Whistleblower Award
File No.: 2017-12
Second Quarter
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. Federal Register version (82 FR 18877)
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: September 25, 2017
Comments received are available. Federal Register version (82 FR 40452)
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
Comments received are available.
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. Federal Register version (82 FR 12757)
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