| Release No. |
Date |
Details |
| Fourth Quarter |
|
33-9505 |
Dec. 26, 2013 |
Nomura Holdings, 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.: 34-71192 |
|
33-9504 |
Dec. 26, 2013 |
Instinet, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
|
|
33-9494 |
Dec. 12, 2013 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated (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 Bank of America Corporation and Its Affiliates)
|
|
33-9491 |
Dec. 4, 2013 |
Fifth Third Bancorp (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.: 34-70984
|
|
33-9489 |
Dec. 3, 2013 |
RBS Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) & 602(c)(2) Disqualification Provisions)
|
|
33-9487 |
Nov. 26, 2013 |
The Royal Bank of Scotland Group plc (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 the Royal Bank of Scotland Group plc and Its Affiliates)
Other Release No.: 34-70949
|
|
34-70929 |
Nov. 22, 2013 |
Proxy Advisory Firm Roundtable (Notice of Roundtable Discussion)
Other Release No.: IA-3721
File No.: 4-670
Comments Due: January 10, 2014
Comments received
are available.
|
|
34-70927 |
Nov. 22, 2013 |
Topaz Exchange, LLC (Notice of Filing of Proposed Minor Rule Violation Plan)
Comments due: 21 days after publication in the Federal Register
See also:
Notice Rel. No. 34-71276 |
|
33-9476 |
Nov. 12, 2013 |
Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.: 34-70847
File No.: 265-28
Comments Due: November 22, 2013
Comments received
are available.
|
|
33-9475 |
Nov. 6, 2013 |
Notice of Semiannual Regulatory Agenda
Other Release Nos.: 34-70819, IA-3711, IC-30775
File No.: S7-10-13
Comments Due: February 6, 2014
|
|
34-70775 |
Oct. 30, 2013 |
Order Determining Whistleblower Award Claim
File No.: 2014-2
|
|
34-70772 |
Oct. 30, 2013 |
Order Denying Whistleblower Award Claim
File No.: 2014-1
|
|
SIPA-171 |
Oct. 29, 2013 |
Securities Investor Protection Corporation (Notice of Filing a Proposed Rule Change Relating to Securities Investor Protection Corporation Rule 400)
File No.: SIPC-2012-01
Comments Due: November 26, 2013
Federal Register (78 FR 66318):
HTML
|
PDF
|
text
|
XML
|
| Third Quarter |
|
34-70554 |
Sep. 30, 2013 |
Order Determining Whistleblower Award Claim
File No.: 2013-4
|
|
33-9456 |
Sep. 24, 2013 |
SEC Advisory Committee on Small and Emerging Companies (Notice of Federal Advisory Committee Renewal)
Other Release No.: 34-70491
File No.: 265-27
|
|
33-9447 |
Aug. 30, 2013 |
Order Making Fiscal Year 2014 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-70298
|
|
34-70293 |
Aug. 30, 2013 |
Order Determining Whistleblower Award Claim
File No.: 2013-3
|
|
33-9445 |
Aug. 23, 2013 |
SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-70251
File No.: 265-27
Comments Due: September 13, 2013
Comments received
are available.
|
|
33-9439 |
Aug. 6, 2013 |
UBS Securities LLC (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 UBS Securities LLC and Its Affiliates)
Other Release No.: 34-70122
File No.: 3-15407
See also:
Order Instituting Proceedings |
|
33-9436 |
Jul. 31, 2013 |
A.R. Schmeidler & 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.: 3-15399
|
|
34-70050 |
Jul. 26, 2013 |
Topaz Exchange, LLC (In the Matter of the Application of Topaz Exchange, LLC for Registration as a National Securities Exchange)
See also: Notice: Rel. No.
34-69012;
Form 1 Application and Exhibits;
Amendment No. 3
|
|
IA-3631 |
Jul. 18, 2013 |
Bruce Lieberman (Order Granting Consent to Associate)
|
|
33-9432 |
Jul. 17, 2013 |
Gaspard Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-186201)
|
|
33-9431 |
Jul. 17, 2013 |
Lost Hills Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-186343)
|
|
33-9430 |
Jul. 17, 2013 |
Kingman River Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-186342)
|
|
33-9429 |
Jul. 17, 2013 |
Jewel Explorations Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-186202)
|
|
33-9428 |
Jul. 17, 2013 |
Goldstream Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-183086)
|
|
33-9427 |
Jul. 17, 2013 |
Gold Camp Explorations Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-185851)
|
|
33-9426 |
Jul. 17, 2013 |
Eclipse Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-185227)
|
|
33-9425 |
Jul. 17, 2013 |
Coronation Mining Corp. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-186203)
|
|
33-9424 |
Jul. 17, 2013 |
Chum Mining Group Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-185210)
|
|
33-9423 |
Jul. 17, 2013 |
CBL Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-186341)
|
|
33-9422 |
Jul. 17, 2013 |
Bonanza Resources Corp. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-186340)
|
|
33-9421 |
Jul. 17, 2013 |
Yuma Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-186345)
|
|
33-9420 |
Jul. 17, 2013 |
Tuba City Gold Corp. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-185848)
|
|
33-9419 |
Jul. 17, 2013 |
Seaview Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-186344)
|
|
33-9418 |
Jul. 15, 2013 |
Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.: 34-69988
File No.: 265-28
Comments received
are available.
|
|
PA-50 |
Jul. 8, 2013 |
Systems of Records (Notice to revise two existing systems of records)
File No.: S7-05-13
Effective Date: August 21, 2013
Comments Due: August 12, 2013
|
|
33-9412 |
Jul. 3, 2013 |
La Paz Mining Corp. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-182751)
|
|
33-9411 |
Jul. 3, 2013 |
Clearpoint Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-185849)
|
|
33-9410 |
Jul. 3, 2013 |
Braxton Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number:
333-185850)
|
|
34-69918 |
Jul. 2, 2013 |
Frank P. Meadows (Order Granting Consent to Associate)
|
|
34-69912 |
Jul. 2, 2013 |
Order Determining Whistleblower Award Claim
File No.: 2013-2
|
| Second Quarter |
|
34-69838 |
Jun. 24, 2013 |
FICC (Order Granting the Fixed Income Clearing Corporation's Amended Application for Permanent Registration as a Clearing Agency)
File No.: 600-23
See also:
Notice: Rel. No. 34-69362 |
|
33-9409 |
Jun. 19, 2013 |
Notice of Semiannual Regulatory Agenda
Other Release Nos.: 34-69800, IA-3617, IC-30563
File No.: S7-04-13
Comments Due: August 22, 2013
|
|
34-69749 |
Jun. 12, 2013 |
Order Determining Whistleblower Award Claim
File No.: 2013-1 |
|
34-69520 |
May 6, 2013 |
Credit Ratings Roundtable (Notice of Roundtable Discussion; Location Change)
File No.: 4-661 |
|
34-69477 |
Apr. 30, 2013 |
Notice of an Application of W2007 Grace Acquisition I, Inc. under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-939
Comments due: June 5, 2013
See also:
Application
and
Supplemental Letter
Comments received
are available.
|
|
34-69449 |
Apr. 25, 2013 |
Order Making Fiscal Year 2013 Annual Adjustments to Transaction Fee Rates
|
|
34-69433 |
Apr. 23, 2013 |
Credit Ratings Roundtable (Notice of Roundtable Discussion; Request for Comment)
File No.: 4-661
Comments due: 30 days after publication in the Federal Register
See also:
Location Change Notice
Comments received
are available.
|
|
34-69362 |
Apr. 11, 2013 |
FICC (Notice of Filing of Amended Application for Registration as a Clearing Agency)
Comments due: June 3, 2013
File No.: 600-23
See also:
Order: Rel. No. 34-69838
|
|
33-9399 |
Apr. 5, 2013 |
SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-69316
File No.: 265-27
Comments received
are available.
|
|
33-9398 |
Apr. 2, 2013 |
FASB (Order Regarding Review of FASB Accounting Support Fee for 2013 Under Section 109 of the Sarbanes-Oxley Act of 2002)
Other Release No.: 34-69265
|
|
34-69275 |
Apr. 2, 2013 |
Fixed Income Roundtable (Notice of Roundtable Discussion)
File No.: 4-660
Comments received
are available.
|
| First Quarter |
|
33-9397 |
Mar. 29, 2013 |
Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.: 34-69257
File No.: 265-28
Comments received
are available. |
|
33-9392 |
Mar. 11, 2013 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision) |
|
33-9391 |
Mar. 11, 2013 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC (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 Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC) |
|
34-69013 |
Mar. 1, 2013 |
Duties of Brokers, Dealers, and Investment Advisers (Request for data and other information.)
Other Release No.: IA-3558
File No.: 4-606
Comments due: July 5, 2013
Comments received
are available.
Federal Register (78 FR 14848):
HTML
|
PDF
|
text
|
XML
|
|
34-69012 |
Mar. 1, 2013 |
Topaz Exchange, 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.: File No. 10-209
Comments due: April 22, 2013
Comments received
are available.
See also:
Form 1 Application and Exhibits
|
|
34-69011 |
Mar. 1, 2013 |
Topaz Exchange, LLC (Order Granting Application 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)
See also:
Incoming Letter
|
|
34-68992 |
Feb. 27, 2013 |
Public Availability of the Securities and Exchange Commission's FY 2012 Service Contract Inventory
|
|
33-9384 |
Feb. 13, 2013 |
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2013
Other Release No.: 34-68921
|
|
IA-3547 |
Feb. 6, 2013 |
Investment Adviser Registration Cancellations (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
|
|
33-9381 |
Jan. 9, 2013 |
JPMorgan Chase & Co. (Order Granting Waivers)
Other Release No.: 34-68610
|
|
33-9380 |
Jan. 9, 2013 |
J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, INC., And J.P. Morgan Acceptance Corporation I (Order Granting a Waiver)
|
|
33-9379 |
Jan. 9, 2013 |
SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-68604
File No.: 265-27
Comments received
are available.
|
|
33-9378 |
Jan. 9, 2013 |
Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.: 34-68603
File No.: 265-28
Comments received
are available.
|
