Other Commission Orders, Notices, and Information Archive: 2016

Archive of other SEC Orders, Notices and Information available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No.	Date	Details
Fourth Quarter
34-79707	Dec. 29, 2016	LCH SA (Order Granting Application for Registration as a Clearing Agency and Request for Exemptive Relief) *File No.:* 600-36 *See also:* Application Notice, Release No. 34-78941; Form CA-1 Application; LCH SA Request for Exemptive Relief
33-10275	Dec. 21, 2016	The Goldman Sachs Group, Inc., and Goldman, Sachs & Co. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iii) Disqualification Provision)
34-79604	Dec. 19, 2016	Order Determining Whistleblower Award Claim *File No.:* 2017-4
34-79577	Dec. 16, 2016	Euroclear Bank SA/NV (Order of the Commission Approving an Application to Modify an Existing Exemption from Clearing Agency Registration) *File No.:* 601-01
33-10273	Dec. 16, 2016	Deutsche Bank Aktiengesellschaft (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer) *File No.:* 3-17730 *See also:* Enforcement Order, Release No. 33-10272
33-10271	Dec. 16, 2016	Deutsche Bank Aktiengesellschaft (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
33-10266	Dec. 14, 2016	Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2017 Other Release No.: 34-79544
34-79543	Dec. 13, 2016	MIAX PEARL, LLC (In the Matter of the Application of MIAX PEARL, LLC for Registration as a National Securities Exchange) File No.: 10-227
34-79517	Dec. 9, 2016	Order Determining Whistleblower Award Claim *File No.:* 2017-3
33-10263	Dec. 6, 2016	Stifel, Nicolaus & Co., Inc. (Order Under Rule 506(D)(2)(Ii) and Rule 262(B)(2) of the Securities Act of 1933 Granting a Waiver of the Rule 506(D)(1)(Ii) and Rule 262(A)(2) Disqualification Provisions)
34-79464	Dec. 5, 2016	Order Determining Whistleblower Award Claim *File No.:* 2017-2
IA-4576	Nov. 29, 2016	Ajenifuja Investments, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940)
34-79382	Nov. 23, 2016	HR Ratings de México, S.A. de C.V. (Order Granting Registration of HR Ratings de México, S.A. de C.V. for Two Additional Classes of Credit Ratings)
33-10258	Nov. 18, 2016	SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting) *File No.:* 265-27 Other Release No.: 34-79350 *Comments Due:* December 5, 2016 Comments received are available. Submit comments on 265-27
34-79340	Nov. 17, 2016	Randy G. Ruhl (Order Approving Application For Relief From A Statutory Disqualification)
33-10257	Nov. 17, 2016	Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - Dec. 8, 2016) *Other Release No.: 34-79336 File No.: 265-28 Comments Due:* Dec. 8, 2016 Comments received are available. Submit comments on 265-28
33-10255	Nov. 14, 2016	Order Approving Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2016 *Other Release No*.: 34-79303
34-79294	Nov. 14, 2016	Order Determining Whistleblower Award Claim *File No*.: 2017-1
34-79257	Nov. 8, 2016	Equity Market Structure Advisory Committee (Notice of Meeting) File No.: 265-29 *Comments Due:* November 23, 2016 Comments received are available. Submit comments on 265-29
Third Quarter
33-10224	Sep. 28, 2016	SG Americas Securities, LLC (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iii) Disqualification Provision)
34-78941	Sep. 27, 2016	LCH SA (Notice of Filing of Application for Registration as a Clearing Agency and Request for Exemptive Relief) *File No.: 600-36 See Also:* Form CA-1 Application; Order, Release No. 34-79707 *Comments Due:* 30 days after publication in the Federal Register Submit comments on 600-36
IA-4532	Sep. 20, 2016	Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order with respect to FINRA Rule 2030 (Corrected to conform to Federal Register version) *File No*.: S7-16-16
IA-4531	Sep. 20, 2016	Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order with respect to MSRB Rule G-37 (Corrected to conform to Federal Register version) *File No*.: S7-17-16
34-78881	Sep. 20, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-17
33-10209	Sep. 15, 2016	List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act *Other Release No.: 34-78845, 39-2511, IA-4530, IC-32263 File No.: S7-21-16 Comments Due:* 30 days after publication in the Federal Register Comments received are available. Submit comments on S7-21-16
33-10208	Sep. 15, 2016	SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting - October 5, 2016) *Other Release No.: 34-78844 File No.: 265-27 Comments Due:* October 3, 2016 Submit comments on 265-27
34-78793	Sep. 8, 2016	MIAX PEARL, 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. 10-227 *Comments Due:* October 31, 2016 See Also: Form 1 Application and Exhibits Submit comments on 10-227
33-10203	Sep. 2, 2016	Regulatory Flexibility Agenda *Other Release No.: 34-78769, IA-4521, IC-32251 File No.: S7-20-16 Comments Due:* 30 days after publication in the Federal Register Submit comments on S7-20-16
33-10200	Aug. 30, 2016	Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates *Other Release No*.: 34-78726
SIPA-178	Aug. 30, 2016	Order Approving a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members File No. SIPC-2016-02 Comments received are available.
34-78719	Aug. 30, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-16
34-78710	Aug. 29, 2016	Euroclear Bank SA/NV (Notice of Filing of Application to Modify an Existing Exemption from Clearing Agency Registration) File No. 601-01 *Comments due:* October 6, 2016 See Also: Form CA-1 Application Comments received are available. Submit comments on 601-01
IA-4512	Aug. 25, 2016	Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order with respect to MSRB Rule G-37 (Notice of intent to issue order) (Corrected to conform to the Federal Register version)
IA-4511	Aug. 25, 2016	Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order with respect to FINRA Rule 2030 (Notice of intent to issue order) (Corrected to conform to the Federal Register version)
33-10198	Aug. 25, 2016	Request for Comment on Subpart 400 of Regulation S-K Disclosure Requirements Relating to Management, Certain Security Holders and Corporate Governance Matters *File No.: S7-18-16 Comments due:* October 31, 2016 Comments received are available. Submit comments on S7-18-16 Federal Register version (81 FR 59927)
34-78671	Aug. 24, 2016	Morningstar Credit Ratings, LLC (Order Granting Registration of Morningstar Credit Ratings, LLC for Two Additional Classes of Credit Ratings)
34-78474	Aug. 3, 2016	Investors Exchange LLC (Order Declaring Effective a Minor Rule Violation Plan) *File No*.: 4-701
34-78356	Jul. 19, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-15
34-78355	Jul. 19, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-14
34-78308	Jul. 13, 2016	Equity Market Structure Advisory Committee (Notice of Meeting) File No.: 265-29 Submit comments on 265-29
34-78300	Jul. 12, 2016	Investors Exchange LLC (Notice of Filing of Proposed Minor Rule Violation Plan) File No.: 4-701 See also: Exhibit A *Comments due:* August 2, 2016
Second Quarter
34-78216	Jun. 30, 2016	DTCC Data Repository (U.S.) LLC (Notice of Filing of Application for Registration as a Security-Based Swap Data Repository) *File No.: SBSDR-2016-02 Comments Due:* August 8, 2016 Comments received are available. Submit comments on SBSDR-2016-02 DTCC Data Repository (U.S.) LLC's Form SDR application and non-confidential exhibits thereto are available in EDGAR. For ease of reference, the public may access copies of these materials at DTCC Data Repository (U.S.) LLC Form SDR Application and Exhibits.
34-78161	Jun. 28, 2016	Barclays Capital Inc. (Order Granting Accelerated Effectiveness of Notice Regarding Change of Method for Computing Deductions for Market and Credit Risk)
34-78169	Jun. 27, 2016	Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, Canada and the U.S. Extractive Industries Transparency Initiative as Substantially Similar to the Requirements of Rule 13q-1 under the Securities Exchange Act of 1934 ("Exchange Act") (Corrected to conform to the Federal Register version) *See also:* Final Rule Release No. 34-78167 Federal Register version (81 FR 49163)
33-10105	Jun. 27, 2016	SEC Advisory Committee on Small and Emerging Companies (Notice of meeting - July 19, 2016) *Other Release No.: 34-78158 File No.: 265-27 Comments Due:* July 15, 2016 Comments received are available. Submit comments on 265-27
33-10102	Jun. 22, 2016	Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - July 14, 2016) *Other Release No.: 34-78127 File No.: 265-28 Comments Due:* July 14, 2016 Comments received are available. *See also:* Meeting Notice; correction Submit comments on 265-28
34-78101	Jun. 17, 2016	In the Matter of the Application of Investors' Exchange, LLC for Registration as a National Securities Exchange, Findings, Opinion, and Order of the Commission *File No.: 10-222 See also:* Release No. 34-77406 and Notice of Filing of Application Federal Register version (81 FR 41141)
SIPA-177	Jun. 15, 2016	Notice of Filing of Proposed Bylaw Amendments Relating to Assessment of SIPC Members File No. SIPC-2016-02 *Comments Due:* July 11, 2016 Comments received are available.
IA-4421	Jun. 14, 2016	Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act of 1940
34-78040	Jun. 10, 2016	Equity Market Structure Advisory Committee Meeting (Notice of telephonic meeting) *File No.: 265-29 Comments Due:* July 5, 2016 Submit comments on 265-29
34-78025	Jun. 9, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-13
34-77948	May 31, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-12
34-77873	May 20, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-11
33-10079	May 19, 2016	Investor Advisory Committee Meeting (Notice of Telephonic Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - June 7, 2016) *Other Release No.: 34-77857 File No.: 265-28 Comments Due:* June 7, 2016 Comments received are available. Submit comments on 265-28
IA-4388	May 18, 2016	Performance Based Investment Advisory Fees *File No*.: S7-08-16
34-77843	May 17, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-10
34-77833	May 13, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-9
34-77751	Apr. 29, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-8
34-77746	Apr. 29, 2016	Steven Rattner (Order Vacating Commission Approval Order) *Note*: This Order vacates the March 14, 2016 Order 34-77360
33-10074	Apr. 29, 2016	SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting) *File No.:* 265-27 Other Release No.: 34-77743 *Comments Due:* May 16, 2016 Comments received are available. Submit comments on 265-27
34-77699	Apr. 22, 2016	ICE Trade Vault (Notice of Filing of Application for Registration as a Security-Based Swap Data Repository under Section 13(n) of the Securities Exchange Act of 1934) *File No.: SBSDR-2016-01 Comments Due:* May 31, 2016 See also: Notice: Rel. No. 34-81223 Comments received are available. Submit comments on SBSDR-2016-01 ICE Trade Vault's Form SDR application and non-confidential exhibits thereto are available in EDGAR. For ease of reference, the public may access copies of these materials at ICE Trade Vault Form SDR Application and Exhibits.
33-10073	Apr. 22, 2016	Order Regarding Review of FASB Accounting Support Fee for 2016 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-77629	Apr. 15, 2016	Public Availability of the Securities and Exchange Commission's FY 2014 Service Contract Inventory (Notice)
34-77543	Apr. 6, 2016	Equity Market Structure Advisory Committee (Notice of Meeting) *File No.: 265-29 Comments received are available.*
34-77530	Apr. 5, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-7
34-77529	Apr. 5, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-6
First Quarter
SIPA-176	Mar. 30, 2016	Securities Investor Protection Corporation (Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount) *File No.: SIPC-2016-01 See also:* Notice: Rel. No. SIPA-174
33-10058	Mar. 23, 2016	Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee) *Other Release No.: 34-77432 File No.: 265-28 Comments Due:* April 14, 2016 Comments received are available. Submit comments on 265-28
33-10056	Mar. 18, 2016	Regulatory Flexibility Agenda *Other Release No.: 34-77408, IA-4354, IC-32031 File No.: S7-04-16 Comments Due:* July 11, 2016 Submit comments on S7-04-16
34-77406	Mar. 18, 2016	Investors’ Exchange LLC (Notice of Filing of Amendment Nos. 2, 3, and 4 to, and Order Instituting Proceedings to Determine Whether to Grant or Deny, and Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Grant or Deny, an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto) *See also:* Notice of Filing of Application *File No.: 10-222 Comments Due:* April 14, 2016 Comments received are available. Submit comments on 10-222
34-77382	Mar. 16, 2016	Order Denying Petition for Review
34-77368	Mar. 14, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-5
33-10054	Mar. 14, 2016	Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2016 *Other Release No*.: 34-77367
34-77360	Mar. 14, 2016	Steven Rattner (Order Approving Application for Relief from a Statutory Disqualification) *Note*: This Order has been vacated by the April 29, 2016 Order 34-77746
SIPA-175	Mar. 14, 2016	Securities Investor Protection Corporation (Corrected to conform to the Federal Register version) *Effective Date:* 14 days after publication in the Federal Register *File No.: SIPC-2015-01 See also:* Notice: Rel. No. SIPA-173, Order: Rel. No. SIPA-176
34-77322	Mar. 8, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-4
33-10043	Feb. 19, 2016	Tigon (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) *File No*.: 333-201823
SIPA-174	Feb. 22, 2016	Securities Investor Protection Corporation *File No.: SIPC-2016-01 Comments Due:* March 11, 2016 *See Also:* Order: Rel. No. SIPA-176
34-77112	Feb. 11, 2016	Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan and Denying Motions See also: Order, Release Nos. 34-74452, 34-74136 *File No.:* SR-OCC-2015-02 *See also:* Corporate Disclosure Statement of BATS Global Markets, Inc. Corporate Disclosure Statement of Susquehanna International Group, LLP Petition for Review
34-77112	Feb. 11, 2016	Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan and Denying Motions See also: Order, Release Nos. 34-74452, 34-74136 *File No.:* SR-OCC-2015-02 *See also:* Corporate Disclosure Statement of BATS Global Markets, Inc. Corporate Disclosure Statement of Susquehanna International Group, LLP Petition for Review
33-10034	Feb. 5, 2016	Advisory Committee on Small and Emerging Companies (Notice of Meeting) *Other Release No.:* 34-77064 *File No.:* 265-27 *Comments Due:* February 23, 2016 Submit comments on 265-27
34-77037	Feb. 2, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-3
33-10030	Feb. 2, 2016	Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Order Under Rules 262(b)(2), 405, 505(b)(2)(iii)(C), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 Granting Waivers of the Disqualification Provisions of Rules 262(a)(4)(ii), 505(b)(2)(iii), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Granting Waivers from Being Ineligible Issuers ) *File Nos*.: 3-17084; 3-17085; 3-17086; 3-17087; 3-17088; 3-17089; 3-17090; 3-17091; 3-17092; 3-17093; 3-17094; 3-17095; 3-17096 and 3-17097 See also: Orders, Release Nos. 33-10016, 33-10017, 33-10018, 33-10019, 33-10020, 33-10021, 33-10022, 33-10023, 33-10024, 33-10025, 33-10026, 33-10027, 33-10028, 33-10029
33-10012	Jan. 31, 2016	Barclays PLC and Barclays Bank PLC (Order Under Rule 405 of The Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer) *File No*.: 3-17077 See also: Order, Release No. 33-10010
33-10011	Jan. 31, 2016	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) *File No*.: 3-17077 See also: Order, Release No. 33-10010
34-76998	Jan. 29, 2016	ISE Mercury, LLC (In the Matter of the Application of ISE Mercury, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission) File No.: 10-221 See also: Notice: Release No. 34-75884; Form 1 Application and Exhibits; Amendment No. 2
34-76921	Jan. 15, 2016	Order Determining Whistleblower Award Claim *File No*.: 2016-2
34-76883	Jan. 13, 2016	Equity Market Structure Advisory Committee (Notice of Meeting) File No.: 265-29 Comments received are available.
IA-4308	Jan. 8, 2016	Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-76848	Jan. 7, 2016	Order Making Fiscal Year 2016 Annual Adjustments to Transaction Fee Rates

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