| Release No. |
Date |
Details |
| Fourth Quarter |
|
34-68510 |
Dec. 21, 2012 |
Decimalization Roundtable (Notice of roundtable discussion; request for comment)
File No.: 4-657
Comments received
are available.
|
|
34-68489 |
Dec. 20, 2012 |
BOX Options Exchange LLC (Order Approving Minor Rule Violation Plan for BOX Options Exchange LLC)
File No.: 4-655
See also:
Notice: Rel. No. 34-68170
|
|
34-68341 |
Dec. 3, 2012 |
Miami International Securities Exchange, LLC (In the Matter of the Application of Miami International Securities Exchange, LLC for Registration as a National Securities Exchange)
File No.: 10-207
See also:
Notice: Rel. No. 34-67660;
Form 1 Application and Exhibits;
Amendment No. 1
|
|
33-9370 |
Nov. 28, 2012 |
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release No.: 34-68309, 39-2487, IA-3506, IC-30282
File No.: S7-12-12
Comments Due: January 3, 2013
Comments received
are available.
|
|
34-68286 |
Nov. 26, 2012 |
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
See also: Extension Orders, Rel. Nos.
34-63363
and
34-65765; and Temporary Exemptive Order,
Rel. No. 34-62120
Comments received
are available.
|
|
33-9369 |
Nov. 20, 2012 |
Credit Suisse Securities (USA), LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation (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.: 34-68273
|
|
34-68266 |
Nov. 19, 2012 |
Financial Industry Regulatory Authority, Inc. (Order Approving Application for Relief from a Statutory Disqualification)
|
|
34-68224 |
Nov. 14, 2012 |
Hurricane Sandy Exemptive Orders (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 and 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-30261
|
|
34-68170 |
Nov. 6, 2012 |
BOX Options Exchange LLC (Notice of Filing of Proposed Minor Rule Violation Plan)
File No.: 4-655
See also:
Order: Rel. No. 34-68489
|
|
34-68160 |
Nov. 5, 2012 |
HR Ratings de México, S.A. de C.V. (Order Granting Registration of HR Ratings de México, S.A. de C.V. as a Nationally Recognized Statistical Rating Organization) (Corrected)
|
|
33-9367 |
Nov. 2, 2012 |
Notice of Semiannual Regulatory Agenda
Other Release Nos.: 34-68140, IA-3498, IC-30256
File No.: S7-11-12
Comments Due: February 7, 2013
|
|
PA-49 |
Oct. 25, 2012 |
Systems of Records (Notice to establish a new system of records and to revise two existing systems of records)
File No.: S7-10-12
Comments Due: 30 days after publication in the Federal Register
Comments received
are available.
|
|
IA-3490 |
Oct. 19, 2012 |
Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
|
|
33-9365 |
Oct. 9, 2012 |
Notice of Telephonic Meeting of Securities and Exchange Commission Investor Advisory Committee
Other Release No.: 34-68019
File No.: 265-28
Comments received
are available.
|
| Third Quarter |
|
34-67927 |
Sep. 26, 2012 |
Acceptance of Public Submissions Regarding the Study of Stable Value Contracts
File No.: S7-32-11
Comments Due: November 1, 2012
See also:
Notice: Rel. No. 34-65153
Comments received
are available.
|
|
33-9360 |
Sep. 10, 2012 |
JP Turner & Company, LLC, and William L. Mello (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
File No.: 3-15014
See also:
Order: Rel. No. 34-67808
|
|
34-67802 |
Sep. 7, 2012 |
Technology and Trading Roundtable (Notice of roundtable discussion; date change.)
File No.: 4-652
Comments Due: October 23, 2012
See also:
Notice: Rel. No. 34-67725
Comments received
are available.
|
|
33-9358 |
Sep. 7, 2012 |
Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
Other Release No.: 34-67801
File No.: 265-28
Comments received
are available.
|
|
33-9357 |
Aug. 31, 2012 |
Order Making Fiscal Year 2013 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-67771
|
|
34-67725 |
Aug. 24, 2012 |
Technology and Trading Roundtable
File No.: 4-652
Comments Due: October 5, 2012
Comments received
are available.
|
|
34-67699 |
Aug. 21, 2012 |
Order Determining Whistleblower Award Claim
File No.: 2012-1
|
|
34-67698 |
Aug. 21, 2012 |
Order Determining Whistleblower Award Claim
File No.: 2012-1
|
|
33-9352 |
Aug. 15, 2012 |
Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-67659
File No.: 265-27
Comments Due: September 5, 2012
Comments received
are available.
|
|
34-67663 |
Aug. 15, 2012 |
Public Availability of the Securities and Exchange Commission's FY 2011 Service Contract Inventory
|
|
34-67660 |
Aug. 15, 2012 |
Miami International Securities Exchange, LLC (Notice of Filing of Application, as amended, for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.: 10-207
Comments Due: October 4, 2012
Comments received
are available.
See also:
Form 1 Application and Exhibits;
Amendment No. 1
|
|
33-9351 |
Aug. 14, 2012 |
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC
Other Release No.: 34-67651
File No.: 3-14982
|
|
33-9350 |
Aug. 14, 2012 |
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC
File No.: 3-14982
|
|
33-9347 |
Jul. 30, 2012 |
Mizuho Financial Group, 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 as to Mizuho Financial Group, Inc. and Its Affiliates)
Other Release No.: 34-67534
|
|
33-9346 |
Jul. 30, 2012 |
Mizuho Securities USA, Inc. (Order Under Rule 602(e) of the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(b)(4) and 602(c)(2) as to Mizuho Securities USA, Inc.)
|
|
34-67480 |
Jul. 20, 2012 |
Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant
File No.: S7-24-11
See also:
Order: Release No. 34-64678;
Security-Based Swaps Implementation Policy Statement
|
|
33-9337 |
Jul. 13, 2012 |
Notification of Technical Amendments to Securities Act Industry Guides
Other Release No.: 34-67432
|
| Second Quarter |
|
33-9325 |
May 22, 2012 |
Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-67038
File No.: 265-27
Comments Due: June 5, 2012
Comments received
are available.
|
|
33-9322 |
May 14, 2012 |
Notice of First Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
Other Release No.: 34-66986
File No.: 265-28
Comments Due: June 1, 2012
Comments received
are available.
|
|
34-66976 |
May 11, 2012 |
Order Granting Application of BOX Options Exchange, LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
See also:
Request for Limited Exemption
|
|
34-66932 |
May 7, 2012 |
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (Notice of Federal Advisory Committee Renewal)
File No.: 265-26
Federal Register (77 FR 27444):
HTML
|
PDF
|
text
|
XML
|
|
33-9320 |
May 1, 2012 |
UBS Financial Services Inc. of Puerto Rico (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
See also:
Administrative Proceeding: Rel. No. 33-9318
|
|
33-9319 |
May 1, 2012 |
UBS Financial Services Inc. of Puerto Rico (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.: 34-66896
See also:
Administrative Proceeding: Rel. No. 33-9318
|
|
34-66871 |
Apr. 27, 2012 |
BOX Options Exchange LLC (In the Matter of the Application of BOX Options Exchange LLC for Registration as a National Securities Exchange)
File No.: 10-206
See also:
Notice: Rel. No. 34-66242;
Form 1 Application and Exhibits;
Amendment No. 2
|
|
34-66844 |
Apr. 24, 2012 |
Financial Industry Regulatory Authority, Inc. (Order Approving Application for Relief from a Statutory Disqualification)
|
|
33-9316 |
Apr. 23, 2012 |
Regulatory Flexibility Agenda
Other Release Nos.: 34-66845, IA-3400, IC-30041
File No.: S7-4-12
Comments Due: 30 days after publication in the Federal Register
|
|
33-9312 |
Apr. 12, 2012 |
Goldman, Sachs & Co (Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Rule 602(C)(3) Disqualification Provision)
See also:
Administrative Proceeding: Rel. No. 34-66791
|
| First Quarter |
|
34-66667 |
Mar. 28, 2012 |
The NASDAQ Stock Market LLC (Order Granting Petition for Review and Scheduling Filing of Statements)
|
|
PA-48 |
Mar. 16, 2012 |
Privacy Act of 1974: System of Records (Notice to revise two existing systems of records)
File No.: S7-03-12
Comments Due: April 20, 2012
Effective Date: April 30, 2012
|
|
34-66541 |
Mar. 8, 2012 |
Order Granting an Application of BF Enterprises, Inc. under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-937
|
|
33-9300 |
Mar. 7, 2012 |
Order Regarding Review of FASB Accounting Support Fee for 2012 under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-66529
|
|
34-66514 |
Mar. 5, 2012 |
Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
|
|
34-66495 |
Mar. 1, 2012 |
Order Making Fiscal Year 2012 Mid-year Adjustments to Transaction Fee Rates
|
|
34-66461 |
Feb. 24, 2012 |
Order Cancelling Clearing Agency Registration of Midwest Securities Trust Company
File No.: 600-7
|
|
34-66460 |
Feb. 24, 2012 |
Order Cancelling Clearing Agency Registration of the Pacific Securities Depository Trust Company
File No.: 600-10
|
|
34-66459 |
Feb. 24, 2012 |
Order Cancelling Clearing Agency Registration of the Pacific Clearing Corporation
File No.: 600-11
|
|
34-66458 |
Feb. 24, 2012 |
Order Cancelling Clearing Agency Registration of the Midwest Clearing Corporation
File No.: 600-9
|
|
34-63899 |
Feb. 14, 2012 |
Public Availability of the Securities and Exchange Commission's FY 2010 Service Contract Inventory
|
|
IA-3369 |
Feb. 7, 2012 |
Gravity Capital Partners, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.: 801-71579
|
|
34-66242 |
Jan. 26, 2012 |
BOX Options Exchange LLC (Notice of Filing of Application, as amended, for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.: File No. 10-206
Comments Due: March 16, 2012
See also:
Form 1 Application and Exhibits;
Amendment No. 2;
Order: Release No. 34-66871
|
|
34-66241 |
Jan. 26, 2012 |
BOX Options Exchange LLC (Order Granting Application by BOX Options Exchange LLC for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rules 6a-1 and 6a-2 under the Exchange Act)
|
|
34-66202 |
Jan. 20, 2012 |
Order Making Fiscal Year 2012 Annual Adjustments to Transaction Fee Rates
|
|
34-66164 |
Jan. 17, 2012 |
Comment Request for Study Regarding Financial Literacy Among Investors
File No.: 4-645
Comments Due: March 23, 2012
Comments received
are available.
|
|
IA-3354 |
Jan. 17, 2012 |
Royal Oak Capital Management, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
File No.: 801-68894
|
|
33-9294 |
Jan. 11, 2012 |
PCAOB (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2012)
Other Release No.: 34-66141
|
|
33-9293 |
Jan. 10, 2012 |
Notice of Meeting of SEC Advisory Committee on Small and Emerging Companies
Other Release No.: 34-66123
File No.: 265-27
Comments Due: January 27, 2012
Comments received
are available.
|
|
IC-29913 |
Jan. 4, 2012 |
Wells Fargo Bank, N.A., et al.
File No.:
812-13987
See also:
Notice and Temporary Order
|
