| Release No. |
Date |
Details |
| Fourth Quarter |
|
34-73953 |
Dec. 30, 2014 |
NASDAQ OMX PHLX LLC (Order Granting Petition for Review and Scheduling Filing of Statements)
Comments Due: January 20, 2015
Comments received are available.
|
| 34-73911 |
Dec. 22, 2014 |
Automated Matching Systems Exchange, LLC (Notice of Filing of Amendment No. 1 to an Application for Limited Volume Exemption from Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934)
File No.: 10-214
See also: Order Instituting Proceedings; Notice of Filing of Application; Form 1 Application and Exhibits; Amendment No. 1 to Form 1
Comments Due: January 20, 2015
Comments received
are available.
|
|
33-9694 |
Dec. 22, 2014 |
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos.: 34-73891, 39-2500, IC-31389; IA-3986
File No.: S7-13-14
Comments Due: 30 days after publication in the Federal Register
Comments received are available.
|
|
33-9683 |
Dec. 1, 2014 |
SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-73709
File No.: 265-27
Comments Due: December 15, 2014
Comments received
are available.
|
| 33-9682 |
Nov. 25, 2014 |
Bank of America, N.A. and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
|
|
PA-52 |
Nov. 19, 2014 |
Systems of Records (Notice to revise two existing systems of records.)
File No.: S7-11-14
Effective Date: 40 days after publication in the Federal Register
Comments Due: 30 days after publication in the Federal Register
|
| 34-73419 |
Oct. 23, 2014 |
Automated Matching Systems Exchange, LLC (Order Instituting Proceedings to Determine Whether to Grant or Deny an Application for an Exemption from Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934)
File No.: 10-214
See also: Notice;
Form 1 Application and Exhibits
Comments Due: November 19, 2014 Rebuttal comments are due December 3, 2014
|
|
33-9663 |
Oct. 10, 2014 |
Regulatory Flexibility Agenda
Other Release Nos.: 34-73341, IA-3945, IC-31283
File No.: S7-10-14
Comments Due: 30 days after publication in the Federal Register
|
| Third Quarter |
| 33-9658 |
Sep. 26, 2014 |
Citigroup Inc. (Order Under Rule 405 of the Securities Act Of 1933, Granting a Waiver From Being an Ineligible Issuer)
|
| 33-9657 |
Sep. 26, 2014 |
Citigroup Global Markets, Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
|
| 33-9652 |
Sep. 23, 2014 |
Barclays Capital 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 Barclays Capital Inc.)
Other Release No.: 34-73185
File No.: 3-16154 |
| 33-9651 |
Sep. 23, 2014 |
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)
|
| 33-9650 |
Sep. 23, 2014 |
Barclays PLC (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
File No.: 3-16154 |
| 33-9649 |
Sep. 22, 2014 |
Wells Fargo Advisors, LLC (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.: 3-16153 |
| 34-73174 |
Sep. 22, 2014 |
Order Determining Whistleblower Award Claim
File No.: 2014-10 |
| 33-9647 |
Sep. 17, 2014 |
Investor Advisory Committee Meeting (Notice of Meeting)
Other Release No.: 34-73131
File No.: 265-28
Comments Due: October 9, 2014
Comments received are available.
|
| 34-72985 |
Sep. 04, 2014 |
Stay Order
|
| 34-72984 |
Sep. 04, 2014 |
Order Pursuant to Section 13(f)(3) 13(f)(5) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Act
|
| 34-72983 |
Sep. 04, 2014 |
Order Pursuant to Sections 13(f)(4) and 13(f)(5) of the Securities and Exchange Act of 1934 Denying Requests for Confidential Treatment of Information Required to be Filed Pursuant
|
| 33-9635 |
Aug. 29, 2014 |
Order Making Fiscal Year 2015 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-72948
|
| 34-72947 |
Aug. 29, 2014 |
Order Determining Whistleblower Award Claim
File No.: 2014-9 |
| 34-72921 |
Aug. 26, 2014 |
Paul R. Venesky, CPA (Order Granting Application For Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the Commission)
Other Release No.: AAER-3577
|
| IC-31199 |
Aug. 6, 2014 |
Citigroup Global Markets Inc., et al. (Notice of Application and Temporary Order)
|
| 33-9627 |
Aug. 6, 2014 |
Citigroup Global Markets 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)
|
| 33-9626 |
Aug. 6, 2014 |
Citigroup 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 Citigroup Inc. and Its Affiliates)
Other Release No.: 34-72780
|
| 34-72727 |
Jul. 31, 2014 |
Order Determining Whistleblower Award Claim
File No.: 2014-8 |
| 33-9619 |
Jul. 28, 2014 |
Dominick & Dominick LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
See also: Order, Release No. 34-72694
|
| 33-9618 |
Jul. 24, 2014 |
Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
Other Release No.: 34-72670
See also: Order, Release No. 33-9617
|
|
34-72661 |
Jul. 23, 2014 |
Automated Matching Systems Exchange, LLC (Notice of Filing of Application for Limited Volume Exemption from Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934)
File No.: File No. 10-214
Comments due: September 12, 2014
See also:
Form 1 Application and Exhibits
|
| 34-72659 |
Jul. 23, 2014 |
Order Determining Whistleblower Award Claim
File No.: 2014-7 |
| 34-72658 |
Jul. 23, 2014 |
Notice of Proposed Exemptive Order Granting Permanent Exemptions Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10 for Certain Money Market Funds
File No.: File No. S7-08-14
Comments due: August 19, 2014
Comments received
are available.
|
| 34-72652 |
Jul. 22, 2014 |
Order Determining Whistleblower Award Claim
File No.: 2014-6 |
| Second Quarter |
| 34-72460 |
Jun. 24, 2014 |
Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a Tick Size Pilot Plan (Corrected) |
| 33-9603 |
Jun. 23, 2014 |
Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.: 34-72448
File No.: 265-28
Comments Due: July 10, 2014
Comments received are available.
|
| IC-31088 |
Jun. 19, 2014 |
Copley Fund, Inc. (Order under Section 6(c) of the Investment Company Act of 1940 Denying a Request for a Hearing and Denying an Exemption from Rule 22c-1 under the Act and Rule 4-01(a)(1) of Regulation S-X) |
| 34-72373 |
June 12, 2014 |
Public Availability of the Securities and Exchange Commission's FY 2013 Service Contract Inventory |
| 34-72301 |
June 3, 2014 |
Order Determining Whistleblower Award Claim
File No.: 2014-5 |
|
PA-51 |
May 21, 2014 |
Systems of Records (Notice to establish a new system of records and to revise two existing systems of records)
File No.: S7-06-14
Effective Date: July 7, 2014
Comments Due: June 27, 2014
Comments received
are available.
|
|
IC-31051 |
May 19, 2014 |
Credit Suisse Asset Management, LLC, et al. (Notice of Application and Temporary Order)
See also: Order Granting Permanent Exemption
|
|
33-9589 |
May 19, 2014 |
Certain Current Funds, Third Party Issuers and Portfolio Companies affiliated with Credit Suisse AG (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(i) Disqualification Provision)
See also: Incoming Letter
|
|
33-9588 |
May 16, 2014 |
EDGARizing Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
Registration No.: 333-190755
|
|
33-9587 |
May 16, 2014 |
Borderless Holdings, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
Registration No.: 333-190773
|
|
33-9586 |
May 16, 2014 |
Transfer Enterprises, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
Registration No.: 333-190772
|
|
33-9585 |
May 16, 2014 |
List Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
Registration No.: 333-190759
|
|
34-72178 |
May 16, 2014 |
Order Determining Whistleblower Award Claim
File No.: 2014-4
|
| 34-72173 |
May 15, 2014 |
Copley Fund, Inc. (Notice of Application)
See also: Application, and Exhibits |
|
34-72079 |
May 2, 2014 |
In the Matter of Exchange Act Rule 13p-1 and Form SD (Order Issuing Stay)
|
|
33-9578 |
Apr. 25, 2014 |
The Royal Bank Of Scotland Group, plc (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
Other Release No.: 34-72032
See also: Incoming Letter |
|
33-9569 |
Apr. 3, 2014 |
FASB (Order Regarding Review of FASB Accounting Support Fee for 2014 Under Section 109 of the Sarbanes-Oxley Act of 2002)
Other Release No.: 34-71852
|
|
34-71849 |
Apr. 3, 2014 |
Order Determining Whistleblower Award Claim
File No.: 2014-3
|
| First Quarter |
|
33-9567 |
Mar. 28, 2014 |
Dodd-Frank Investor Advisory Committee (Notice of Meeting)
Other Release No.: 34-71829
File No.: 265-28
Comments Due: April 10, 2014
Comments received
are available.
|
|
33-9563 |
Mar. 21, 2014 |
Notice of Semiannual Regulatory Agenda
Other Release Nos.: 34-71771, IA-3803, IC-30989
File No.: S7-04-14
Comments Due: July 14, 2014
Comments received are available.
|
|
33-9562 |
Mar. 14, 2014 |
Cybersecurity Roundtable (Notice of roundtable discussion; request for comment)
Other Release Nos.: 34-71742; IA-3799
File No.: 4-673
Comments Due: May 2, 2014
Comments received
are available.
|
|
33-9558 |
Mar. 12, 2014 |
Jefferies LLC, (formerly known as Jefferies & Company, Inc.) (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision) |
|
33-9550 |
Feb. 21, 2014 |
Credit Suisse Group AG (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision) |
|
34-71533 |
Feb. 12, 2014 |
Daniel Covello (Order Approving Application for Relief from a Statutory Disqualification) |
|
34-71550 |
Feb. 12, 2014 |
Order Making Fiscal Year 2014 Annual Adjustments to Transaction Fee Rates |
|
33-9546 |
Feb. 5, 2014 |
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2014
Other Release Nos.: 34-71494 |
|
34-71466 |
Feb. 3, 2014 |
Draft 2014-2018 Strategic Plan for Securities and Exchange Commission
Comments received are available.
Submit comments on Draft Strategic Plan |
|
33-9516 |
Jan. 23, 2014 |
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos.: 34-71370, 39-2494, IC-30890
File No.: S7-02-14
Comments Due: 30 days after publication in the Federal Register
|
|
33-9517 |
Jan. 23, 2014 |
Mobile Vault, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
Registration No.: 333-189796
|
|
33-9510 |
Jan. 13, 2014 |
Dodd-Frank Investor Advisory Committee (Notice of Meeting; Corrected to indicate EST instead of EDT)
Other Release No.: 34-70847
File No.: 265-28
Comments Due: January 31, 2014
Comments received
are available.
|
|
34-71276 |
Jan. 10, 2014 |
Order Declaring Effective a Minor Rule Violation Plan for Topaz Exchange, LLC
File No.: 4-669
See also:
Notice Rel. No. 34-70927 |
|
SIPA-172 |
Jan. 9, 2014 |
Rules of the Securities Investor Protection Corporation
Effective Date: February 18, 2014
File No.: SIPC-2012-01
See also: Notice:
Rel. No. SIPA-171 |
