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Other Commission Orders, Notices, and Information Archive: 2015

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
33-10000 Dec. 23, 2015 Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee)
File No.:  265-28
Other Release No.: 34-76762;
Comments received are available.
33-9993 Dec. 18, 2015 JPMorgan Chase Bank, N.A. (Waiver Order)
See also: Order, Release No. 33-9992
34-76678 Dec. 17, 2015 Order Granting Chicago Mercantile Exchange Inc.'s Request to Withdraw from Registration as a Clearing Agency
IA-4285 Dec. 2, 2015 Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-76514 Nov. 24, 2015 Bloomberg STP LLC; SS&C Technologies, Inc.; Order of the Commission Approving Applications for an Exemption from Registration as a Clearing Agency
File No.: 600-33, 600-34
IA-4261 Nov. 10, 2015 Order Granting Application For Modification of Consent to Associate
34-76338 Nov. 4, 2015 Order Determining Whistleblower Award Claim
File No.: 2016-1
SIPA-173 Oct. 28, 2015 Securities Investor Protection Corporation
File No.: SIPC-2015-01
Comments Due:  November 25, 2015 Federal Register (80 FR 68286): HTML | PDF | Text | XML
33-9965 Oct. 22, 2015 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos.: 34-76240, 39-2507, IC-31879, IA-4238
File No.: S7-21-15
Comments Due:  November 27, 2015
Comments received are available. Federal Register (80 FR 65973): HTML | PDF | Text | XML
34-76081 Oct. 6, 2015 Equity Market Structure Advisory Committee (Notice of Meeting)
File No.: 265-29
Third Quarter
33-9956 Sep. 30, 2015 Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Waiver Order)
File Nos..: 3-16853, 3-16854, 3-16855, 3-16856, 3-16857, 3-16858, 3-16859, 3-16860, 3-16861, 3-16862, 3-16863, 3-16864, 3-16865, 3-16866, 3-16867, 3-16868, 3-16869, 3-16870, 3-16871, 3-16872, 3-168734, 3-16874
34-76025 Sep. 29, 2015 Order Determining Whistleblower Award Claim
File No.: 2015-8
34-76000 Sep. 28, 2015 Order Determining Whistleblower Award Claim
File No.: 2015-7
33-9929 Sep. 25, 2015 Request for Comment on the Effectiveness of Financial Disclosures about Entities Other than the Registrant
Other Release Nos.:  34-75985; IC-31849
File No.:  S7-20-15
Comments due: November 30, 2015
Comments received are available.
See also: Spotlight page on Disclosure Effectiveness and Correction (Release Nos. 33-9929A; 34-75985A; IC-31849A) Federal Register (80 FR 59083): HTML | PDF | text | XML
33-9927 Sep. 24, 2015 SEC Advisory Committee on Small and Emerging Companies (Notice of Federal Advisory Committee Renewal)
Other Release No.:  34-75973
File No.:  265-27
33-9926 Sep. 23, 2015 Regulatory Flexibility Agenda (Notice of Semiannual Regulatory Agenda)
File No.:  S7-17-15
Other Release Nos.: 34-75968, IA-4207, IC-31848
Comments due: 30 days after publication in Federal Register
33-9924 Sep. 22, 2015 Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee)
File No.:  265-28
Other Release No.: 34-75961
Comments received are available.
34-75925 Sep. 15, 2015 Investors’ 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.:  10-222
Comments Due: November 6, 2015
Comments received are available.
See also: Form 1 Application and Exhibits
Amendment Nos. 2, 3, and 4 Form 1 Application and Exhibits
Amendment No. 5
Proposed Interpretation: Rel. No. 34-77407
Order Instituting Proceedings
34-75886 Sep. 10, 2015 The Options Clearing Corporation (Order Discontinuing the Automatic Stay)
See also:
34-75885 Sep. 10, 2015 BATS Global Markets, Inc., BOX Options Exchange LLC, KCG Holdings, Inc., Miami International Securities Exchange, LLC, Susquehanna International Group, LLP (Order Granting Petitions for Review and Scheduling Filing of Statements)
Statements Due:  October 7, 2015
34-75884 Sep. 10, 2015 ISE Mercury, 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.:  10-221
Comments Due:  November 2, 2015
Comments received are available.
See also: Form 1 Application and Exhibits
34-75867 Sep. 9, 2015 ISE Mercury, 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)

34-75829 Sep. 3, 2015 Equity Market Structure Advisory Committee: (Notice of Meeting)
File No.:  265-29
Comments Due: September 21, 2015
Comments received are available.
33-9899 Sep. 2, 2015 Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-75812
File No.:  265-27
Comments Due:  September 21, 2015
Comments received are available.
34-75762 Aug. 26, 2015 Notice of Filing and Request for Comment on Chicago Mercantile Exchange Inc.'s Request to Withdraw from Registration as a Clearing Agency
File No.: 600-35
Comments Due:  September 22, 2015
33-9898 Aug. 26, 2015 Order Making Fiscal Year 2016 Annual Adjustments to Registration Fee Rates
Other Release No.:  34-75764
34-75752 Aug. 24, 2015 Order Determining Whistleblower Award Claim
File No.: 2015-6
33-9896 Aug. 19, 2015 Citigroup Inc. (Waiver Order)
See also: Order, 34-75729
33-9895 Aug. 19, 2015 Citigroup Global Markets, Inc. (Waiver Order)
See also: Order, 34-75729
34-75714 Aug. 17, 2015 Designation of the Financial Industry Regulatory Authority to Administer Professional Qualification Tests for Associated Persons of Registered Municipal Advisors
33-9894 Aug. 17, 2015 Citigroup Inc. (Waiver Order)
See also: Order, 33-9893
33-9884 Aug. 10, 2015 Guggenheim Partners Investment Management, LLC (Waiver Order)
See also: Order, IA-4163

34-75477 Jul. 17, 2015 Order Determining Whistleblower Award Claim
File No.: 2015-5
Second Quarter
33-9855 Jun. 29, 2015 KKR & Co. L.P. (Waiver Order)
See also: Order, IA-4131
33-9854 Jun. 25, 2015 Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 75303
File No.:  265-27
Comments Due:  July 13, 2015
Comments received are available.
IA-4129 Jun. 25, 2015 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date (Corrected to Conform to Federal Register Version)
Compliance Date: July 31, 2015
See also: Staff Responses to Questions About the Pay to Play Rule
Federal Register (80 FR 37538): HTML | PDF | text | XML
34-75277 Jun. 24, 2015 Public Availability of the Securities and Exchange Commission’s FY 2014 Service Contract Inventory
33-9851 Jun. 22, 2015 Investor Advisory Committee Meeting: Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
Other Release Nos.: 34-75253
File No.:  265-28
Comments Due: 
Comments received are available.
33-9808 Jun. 16, 2015 In the Matter of Monica J. Lindeen, Montana State Auditor, Ex Officio Commissioner of Securities and Insurance’s Motion for Stay of the Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) (Order Denying Stay)

34-75165 Jun. 12, 2015 Request for Comment on Exchange-Traded Products
File No.:  S7-11-15
Comments Due:  August 17, 2015
Comments received are available. Federal Register (80 FR 34729): HTML | PDF | Text | XML
34-75157 Jun. 11, 2015 Automated Matching Systems Exchange, LLC (Order Denying an Application for a Limited Volume Exemption from Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934)

33-9802 Jun. 3, 2015 Archer Daniels Midland Company (Waiver Order)
33-9787 May 20, 2015 UBS AG (Waiver Order)
33-9786 May 20, 2015 Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc. (Waiver Order)
33-9785 May 20, 2015 JPMorgan Chase & Co. (Waiver Order)
Other Release No.: 34-75009
33-9784 May 20, 2015 UBS AG (Waiver Order)
Other Release No.: 34-75008
33-9783 May 20, 2015 Barclays PLC (Waiver Order)
Other Release No.: 34-75007
33-9782 May 20, 2015 UBS AG (Waiver Order)
33-9781 May 20, 2015 The Royal Bank of Scotland Group plc (Waiver Order)
33-9780 May 20, 2015 JPMorgan Chase & Co. (Waiver Order)
33-9779 May 20, 2015 Citigroup Inc. (Waiver Order)
33-9778 May 20, 2015 Barclays PLC (Waiver Order)
33-9774 May 18, 2015 Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-74984
File No.:  265-27
Comments Due:  June 1, 2015
33-9764 May 1, 2015 Deutsche Bank AG (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
34-74826 Apr. 28, 2015 Order Determining Whistleblower Award Claim
File No.: 2015-4
34-74815 Apr. 27, 2015 Order Determining Whistleblower Award Claim
File No.: 2015-3
33-9760 Apr. 24, 2015 Order Regarding Review Of FASB Accounting Support Fee For 2015 Under Section 109 Of The Sarbanes-Oxley Act Of 2002
Other Release No.:  34-74810
34-74794 Apr. 23, 2015 SS&C Technologies, Inc. (Notice of Filing of Application for Exemption from Registration as a Clearing Agency)
File No.:  600-34
See also:  Form CA-1 Application
Comments Due: May 28, 2015
Comments received are available.
34-74793 Apr. 23, 2015 Equity Market Structure Advisory Committee: (Notice of Meeting)
File No.:  265-29
Comments Due: May 11, 2015
Comments received are available.
34-74781 Apr. 22, 2015 Order Determining Whistleblower Award Claim
File No.: 2015-2
First Quarter
33-9740 Mar. 25, 2015 Regulatory Flexibility Agenda
Other Release Nos.: 34-74575, IA-4052, IC-31510
File No.:  S7-04-15
Comments Due: July 20, 2015 Federal Register (80 FR 35173): PDF | text
33-9739 Mar. 18, 2015 Investor Advisory Committee Meeting: Notice of Meeting
Other Release Nos.: 34-74523
File No.:  265-28
34-74404 Mar. 2, 2015 Order Determining Whistleblower Award Claim
File No.: 2015-1
34-74394 Feb. 27, 2015 Bloomberg STP LLC (Notice of Filing of Application for Exemption from Registration as a Clearing Agency)
File No.:  600-33
See also:  Form CA-1 Application
Comments Due:  April 6, 2015
Comments received are available.
33-9713A Feb. 20, 2015 Advisory Committee on Small and Emerging Companies (Amended Notice of Meeting)
Other Release Nos.: 34-74158A
File No.:  265-27
34-74277 Feb. 13, 2015 Proxy Voting Roundtable
File No.:  4-681
Comments received are available.
33-9724 Feb. 11, 2015 Advisory Committee on Small and Emerging Companies (Notice of Meeting) Other Release No.: 34-74260
File No.:  265-27
Comments Due:  March 2, 2015
Comments received are available.-->
34-74239 Feb. 10, 2015 Contract Standard for Contractor Workforce Inclusion and Request for Public Comment
File No.:  S7-02-15
Comments Due: April 14, 2015
Comments received are available.
33-9721 Feb. 4, 2015 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2015
Other Release Nos.: 34-74203
33-9713 Jan. 28, 2015 Advisory Committee on Small and Emerging Companies (Notice of Meeting) Other Release Nos.: 34-74158
File No.:  265-27
Comments received are available. See also:  Amended Notice of Meeting
33-9712 Jan. 27, 2015 Oppenheimer & Co. Inc. (Corrected Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
File No.:  3-16361
See also:  Order Instituting Proceedings: Rel. No. 33-9711
34-74116 Jan. 22, 2015 Automated Matching Systems Exchange, LLC (Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Grant or Deny a 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:  Notice: Rel. No. 34-73911
Comments received are available.
34-74115 Jan. 22, 2015 BATS Y-Exchange, Inc. (Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program)
File No.:  SR-BYX-2012-019
33-9707 Jan. 21, 2015 Investor Advisory Committee Meeting: Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
Other Release Nos.: 34-74106
File No.:  265-28
34-74092 Jan. 20, 2015 Equity Market Structure Advisory Committee: Notice of Federal Advisory Committee Establishment
File No.:  265-29
Comments received are available.
34-74057 Jan. 15, 2015 Order Making Fiscal Year 2015 Annual Adjustments to Transaction Fee Rates
33-9698 Jan. 15, 2015 UBS AG: Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer
Other Release Nos.: 34-74061
File No.: 3-16338

 

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Modified: 08/17/2018