Release No. |
Date |
Details |
Fourth Quarter |
IA-3126 |
Dec. 22, 2010 |
Filing Fees (Order Approving Investment Adviser Registration Depository Filing Fees)
|
33-9168 |
Dec. 22, 2010 |
PCAOB (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2011)
Other Release No.: 34-63596
|
34-63573 |
Dec. 17, 2010 |
Credit Rating Standardization Study
File No.: 4-622
Comments Due: February 7, 2011
Comments received
are available.
|
33-9162 |
Dec. 10, 2010 |
Order Approving Public Company Accounting Oversight Board Supplemental Budget Request to Establish an Office of Outreach and Small Business Liaison in 2010
Other Release No.: 34-63526
|
33-9161 |
Dec. 9, 2010 |
Jefferies & Co., Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-12495
|
34-63435 |
Dec. 6, 2010 |
Joint Public Roundtable on Issues Related to Capital and Margin Requirements for Swaps and Security-Based Swaps (Notice of Roundtable Discussion; Request for Comment)
File No.: 4-621
|
34-63423 |
Dec. 3, 2010 |
Acceptance of Public Submissions on a Study Mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 719(b)
File No.: 4-620
Comments Due: December 31, 2010
Comments received
are available.
Submit comments on 4-620
|
IA-3119 |
Dec. 2, 2010 |
Approval of Investment Adviser Registration Depository Filing Fees
File No.: S7-38-10
See also:
FINRA letter dated November 12, 2010
|
SIPA-169 |
Nov. 30, 2010 |
Notice of Filing of a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members
File No.: SIPC-2010-01
Comments Due: December 27, 2010
See also:
Order: Rel. No. SIPA-170
|
34-63363 |
Nov. 23, 2010 |
Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements Of Rule 17g-5 under the Securities Exchange Act of 1934 and Request for Comment
File No.: S7-04-09
Comments received
are available.
See also: Final Rule
Rel. No. 34-61050; Proposed Rule
Rel. No. 34-59343; Exemptive Order
Rel. No. 34-62120; Rountable Notice
Rel. No. 34-59753 |
IC-29497 |
Nov. 3, 2010 |
President's Working Group Report on Money Market Fund Reform (Request for Comment)
File No.: 4-619
Comments Due: January 10, 2011
Comments received
are available.
See also:
Response to Questions Posed by Commissioners Aguilar, Paredes, and Gallagher |
34-63211 |
Oct. 29, 2010 |
Notice of Intention to Cancel Registrations of Certain Transfer Agents
|
34-63174 |
Oct. 25, 2010 |
Study on Extraterritorial Private Rights of Action (Request for Comments)
File No.: 4-617
Comments Due: February 18, 2011
Comments received
are available.
|
34-63169 |
Oct. 25, 2010 |
Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
File No.: 265-26
Comments Due: November 4, 2010
|
33-9154 |
Oct. 20, 2010 |
Citigroup Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
|
34-63113 |
Oct. 15, 2010 |
Order Approving Minor Rule Violation Plan for BATS Y-Exchange, Inc.
File No.: 4-616
See also:
Notice: Rel. No. 34-62924
|
34-63112 |
Oct. 15, 2010 |
Joint Public Roundtable on Issues Related to the Clearing of Credit Default Swaps (Notice of roundtable discussion; request for comment)
File No.: 4-615
|
34-63108 |
Oct. 14, 2010 |
Study Required by Section 989G(b) of the Dodd-Frank Act Regarding Compliance with Section 404(b) of the Sarbanes-Oxley Act
File No.: S7-29-10
Comments Due: December 6, 2010
Comments received
are available.
|
33-9149 |
Oct. 4, 2010 |
In the Matter of the Motion of the Business Roundtable and the Chamber of Commerce of the United States of America for Stay of Effect of Commission's Facilitating Shareholder Director Nominations Rules (Order Granting Stay)
Other Release Nos.: 34-63031, IC-29456
File No.: S7-10-09
See also:
Final Rule Release No. 33-9259;
FR Notice of Stay of Effective and Compliance Dates;
Final Rule Release No. 33-9136;
Proposed Rule Release No. 33-9086;
Proposed Rule Release No. 33-9046
|
Third Quarter |
34-62924 |
Sep. 16, 2010 |
Notice of Filing of Proposed Minor Rule Violation Plan
File No.: 10-198
Comments Due: October 14, 2010
See also:
Order: Rel. No. 34-63113
|
33-9141 |
Sep. 10, 2010 |
Semiannual Regulatory Agenda
Other Release Nos.: 34-62881, IA-3081, IC-29414
File No.: S7-21-10
Comments Due: December 30, 2010
|
34-62864 |
Sep. 8, 2010 |
Joint Public Roundtable on Swap Execution Facilities and Security-Based Swap Execution Facilities
File No.: 4-612
Comments received on Mandatory Exchange Trading and Swap Execution Facilities
are available.
|
34-62863 |
Sep. 8, 2010 |
Joint Public Roundtable to Discuss Data for Swaps and Security-Based Swaps, Swap Data Repositories, Security-Based Swap Data Repositories, and Real-Time Public Reporting
File No.: 4-611
Comments received on Swap Data Repositories
are available.
Comments received on Real-Time Reporting
are available.
|
34-62853 |
Sep. 7, 2010 |
State of the Municipal Securities Market Field Hearings
File No.: 4-610
Comments received
are available.
|
33-9138 |
Sep. 3, 2010 |
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos.: 34-62841, 39-2470, IA-3078, IC-29408
File No.: S7-20-10
Comments Due: December 15, 2010
|
34-62784 |
Aug. 27, 2010 |
Notice Regarding the Requirement to Use eXtensible Business Reporting Language Format to Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act
|
PA-44A |
Aug. 19, 2010 |
Privacy Act of 1974: Systems of Records (Notice to Establish Systems of Records (Correction))
File No.: S7-17-10
Effective Date: September 29, 2010, unless further notice is given
Comments Due: September 22, 2010
|
34-62725 |
Aug. 16, 2010 |
Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps and Security-Based Swaps
File No.: 4-609
|
34-62717 |
Aug. 13, 2010 |
Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
Comments due: September 20, 2010
File No.: S7-16-10
Comments received
are available
for this notice
Federal Register version
|
34-62716 |
Aug. 13, 2010 |
In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange (Findings, Opinion, and Order of the Commission)
File No.: 10-198
|
33-9134 |
Aug. 12, 2010 |
Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers
Other Release No.: 34-62700
File No.: 4-608
Comments Due: October 18, 2010
Comments received
are available.
|
33-9133 |
Aug. 12, 2010 |
Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers
Other Release No.: 34-62699
File No.: 4-607
Comments Due: October 18, 2010
Comments received
are available.
|
33-9131 |
Aug. 2, 2010 |
General Electric Company (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) & 602(b)(4) Disqualification Provisions)
|
34-62577 |
Jul. 27, 2010 |
Study Regarding Obligations of Brokers, Dealers, and Investment Advisers
Other Release No.: IA-3058
File No.: 4-606
Comments Due: August 30, 2010
Comments received
are available.
|
34-62552 |
Jul. 23, 2010 |
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues)
File No.: 265-26
Comments Due: August 10, 2010
Comments received
are available.
|
33-9130 |
Jul. 22, 2010 |
Goldman, Sachs & Co. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Goldman, Sachs & Co. And Its Affiliates)
Other Release No.: 34-62556
|
33-9129 |
Jul. 22, 2010 |
Goldman, Sachs & Co. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) & 602(b)(4) Disqualification Provisions)
|
Second Quarter |
34-62348 |
Jun. 22, 2010 |
Fixed Income Clearing Corporation (Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency)
File No.: 600-23
Comments Due: July 19, 2010
|
PA-43 |
Jun. 17, 2010 |
Privacy Act of 1974: Systems of Records
File No.: S7-13-10
Comments Due: July 23, 2010
Effective Date: August 2, 2010
Comments received
are available.
|
34-62266 |
Jun. 10, 2010 |
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues)
File No.: 265-26
Comments Due: June 18, 2010
Comments received
are available.
|
34-62120 |
May 19, 2010 |
Order Granting Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment
File No.: S7-04-09
Comments received
are available.
|
34-62115 |
May 18, 2010 |
Market Structure Roundtable (Notice of roundtable discussion; request for comment)
File No.: 4-602
Comments Due: June 23, 2010
Comments received
are available.
|
34-62114 |
May 18, 2010 |
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues)
File No.: 265-26
Comments Due: May 21, 2010
Comments received
are available.
|
33-9123 |
May 10, 2010 |
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Other Release No.: 34-61982
File No.: 265-26
Comments received
are available.
|
34-62037 |
May 5, 2010 |
EDGA Exchange, Inc. (Order Approving Minor Rule Violation Plan)
File No.: 4-595
See also:
Notice: Rel. No. 34-61753
|
34-62036 |
May 5, 2010 |
EDGX Exchange, Inc. (Order Approving Minor Rule Violation Plan)
File No.: 4-594
See also:
Notice: Rel. No. 34-61752
|
33-9122 |
Apr. 29, 2010 |
Order Making Fiscal Year 2011 Annual Adjustments to the Fee Rates Applicable under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 1934
Other Release No.: 34-62005
|
34-61995 |
Apr. 27, 2010 |
Patrick C. Lubin (Order Approving Application for Relief from a Statutory Disqualification)
|
33-9120 |
Apr. 26, 2010 |
Notice of Meeting of SEC Investor Advisory Committee
Other Release No.: 34-61982
File No.: 265-25-04
Comments Due: May 10, 2010
Comments received
are available.
|
34-61930 |
Apr. 16, 2010 |
Wynnefield Capital Management LLC and Wynnefield Capital, Inc. (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption From Rule 13f-1 Under the Securities Exchange Act of 1934)
|
PA-42 |
Apr. 2, 2010 |
Privacy Act of 1974: Systems of Records
File No.: S7-07-10
Comments Due: May 10, 2010
Effective Date: May 18, 2010
|
First Quarter |
34-61803 |
Mar. 30, 2010 |
Chicago Mercantile Exchange Inc. (Order Extending Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments)
File No.: S7-06-09
Comments received
are available.
|
34-61753 |
Mar. 22, 2010 |
EDGA Exchange, Inc. (Notice of Filing of Proposed Minor Rule Violation Plan)
File No.: 4-595
Comments Due: April 28, 2010
See also:
Order: Rel. No. 34-62037
|
34-61752 |
Mar. 22, 2010 |
EDGX Exchange, Inc. (Notice of Filing of Proposed Minor Rule Violation Plan)
File No.: 4-594
Comments Due: April 28, 2010
See also:
Order: Rel. No. 34-62036
|
34-61722 |
Mar. 17, 2010 |
Chicago Board Options Exchange, Inc. (Order Extending Time to File Statements)
File No.: SR-ISE-2009-35
See also:
Order: Rel. No. 34-60989
Statements received
are available.
|
33-9112 |
Mar. 16, 2010 |
Regulatory Flexibility Agenda
Other Release Nos.: 34-61714, IA-3001, IC-29175
File No.: S7-06-10
Comments Due: June 30, 2010
|
34-61698 |
Mar. 12, 2010 |
In the Matter of the Applications of EDGX Exchange, Inc., and EDGA Exchange, Inc. for Registration as National Securities Exchanges (Findings, Opinion, and Order of the Commission)
File Nos.: 10-194 and 10-196
See also:
EDGX Amendment No. 2
and
EDGA Amendment No. 2
|
34-61662 |
Mar. 5, 2010 |
ICE Trust U.S. LLC (Order Extending Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request of ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments)
File No.: S7-05-09
Comments received
are available.
See also:
ICE Request Letter
|
34-61651 |
Mar. 5, 2010 |
Policy Statement on Obtaining and Retaining Beneficial Ownership Information for Anti-Money Laundering Purposes
See also:
Joint Release - Guidance on Obtaining and Retaining Beneficial Ownership Information
|
34-61605 |
Mar. 1, 2010 |
Order Making Fiscal Year 2010 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
|
PA-41 |
Feb. 25, 2010 |
Privacy Act of 1974: Systems of Records
File No.: S7-05-10
Comments Due: April 5, 2010
Federal Register version
|
33-9109 |
Feb. 24, 2010 |
Commission Statement in Support of Convergence and Global Accounting Standards
Other Release No.: 34-61578
Federal Register version
|
33-9105 |
Feb. 2, 2010 |
Order Regarding Review of FASB Accounting Support Fee for 2010 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-61468
|
33-9104 |
Feb. 2, 2010 |
Notice of Meeting of SEC Investor Advisory Committee
Other Release No.: 34-61462
File No.: 265-25-03
Comments Due: February 16, 2010
Comments received
are available.
|
33-9103 |
Jan. 27, 2010 |
TD Ameritrade, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(a)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
Other Release No.: 34-61428
File No.: 3-13557
|
34-61400 |
Jan. 22, 2010 |
BATS Y-Exchange, Inc. (Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934)
File No.: 10-198
Comments Due: March 15, 2010
See also:
Form 1 Application and Exhibits
|
34-61366 |
Jan. 15, 2010 |
Full Value Advisors, LLC (Stay Order)
See also:
Order Denying Application for Exemption
|
34-61328 |
Jan. 11, 2010 |
Full Value Advisors, LLC (Order Pursuant to Sections 13(f)(3) and 13(f)(4) of the Securities Exchange Act of 1934 Denying Requests for Confidential Treatment of Information Required to be Filed Pursuant to Section 13(f)(1) of the Securities Echange Act of 1934)
|
34-61327 |
Jan. 11, 2010 |
Full Value Advisors, LLC (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Securities Exchange Act of 1934)
See also:
Stay Order
|