Other Commission Orders, Notices, and Information Archive: 2017
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 | ||
| 34-82385 | Dec. 21, 2017 | MIAX PEARL, LLC (Order Declaring Effective a Minor Rule Violation Plan) File No.: 4-715 Comments Due: December 19, 2017 See also: Notice, Rel. No. 34-82145 |
| 34-82384 | Dec. 21, 2017 | Miami International Securities Exchange, LLC (Order
Declaring Effective a Minor Rule Violation Plan) File No.: 4-714 Comments Due: December 19, 2017 See also: Notice, Rel. No. 34-82145 |
| 34-82342 | Dec. 18, 2017 | Notice of Intention to Cancel Registrations of Certain Transfer Agents |
| 34-82338 | Dec. 15, 2017 | Notice of Meeting: Fixed Income Market Structure Advisory Committee File No.: 265-30 Comments received are available. |
| 33-10446 | Dec. 11, 2017 | Notice of Compliance Date for Form 10-D Hyperlink Requirements Other Release No.: 34-82280 File No.: S7-19-16 Compliance Date: The compliance date with respect to any Form 10-D that will require hyperlinks to any exhibits filed with Form ABS-EE is June 1, 2018. Federal Register version (82 FR 58731) |
| 34-82214 | Dec. 5, 2017 | Order Determining Whistleblower Award Claim File No.: 2018-3 |
| 34-82181 | Nov. 30, 2017 | Order Determining Whistleblower Award Claims File No.: 2018-2 |
| 34-82146 | Nov. 22, 2017 | MIAX PEARL, LLC (Notice of Filing of Proposed Minor Rule Violation Plan) File No.: 4-715 Comments Due: December 19, 2017 See also: Order: Rel. No. 34-82385 |
| 34-82145 | Nov. 22, 2017 | Miami International Securities Exchange, LLC (Notice of Filing of Proposed Minor Rule Violation Plan) File No.: 4-714 Comments Due: December 19, 2017 See also: Order: Rel. No. 34-82384 |
| 34-82067 | Nov. 13, 2017 | The Options Clearing Corporation (In the Matter of the Petitions of Virtu Financial Inc. and Virtu Americas, LLC and Susquehanna International Group, et al.; Order Granting Motion to Substitute Parties and Motion for Extension of Time) File No.: SR-OCC-2015-02 See also: Capital Plan File: SR-OCC-2015-02 Comments received are available. |
| 33-10435 | Nov. 9, 2017 | Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - December 7, 2017) Other Release No.: 34-82042 File No.: 265-28 Comments Due: December 7, 2017 Comments received are available. |
| 34-81958 | Oct. 26, 2017 | Notice of Federal Advisory Committee Establishment File No.: 265-30 |
| 34-81857 | Oct. 12, 2017 | Order Determining Whistleblower Award Claim File No.: 2018-1 |
| 33-10424 | Oct. 10, 2017 | Regulatory Flexibility Agenda Other Release No.: 34-81839, IA-4789, IC-32857 File No.: S7-07-17 Comments Due: 30 days after publication in the Federal Register Comments received are available. |
| Third Quarter | ||
| 34-81760 | Sep. 28, 2017 | Order concerning Hurricane Harvey, Hurricane Irma, and Hurricane Maria (Order Under Section 15B, 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; 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-32842 |
| 34-81687 | Sep. 22, 2017 | Public Availability of the Securities and Exchange Commission's FY 2015 Service Contract Inventory |
| 34-81629 | Sep. 14, 2017 | The Options Clearing Corporation (Corrected Order Scheduling Filing of Statements on Review) File No.: SR-OCC-2015-02 See also: Capital Plan File: SR-OCC-2015-02 Comments received are available.
|
| 34-81628 | Sep. 14, 2017 | The Options Clearing Corporation (Corrected Order Denying Motion for Stay) File No.: SR-OCC-2015-02 See also: Capital Plan File: SR-OCC-2015-02 |
| 33-10412 | Sep. 12, 2017 | Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - October 12, 2017) Other Release No.: 34-80767 File No.: 265-28 Comments received are available. |
| 33-10407 | Aug. 24, 2017 | Order Making Fiscal Year 2018 Annual Adjustments to Registration Fee Rates Other Release No.: 34-81476 |
| 33-10399 | Aug. 14, 2017 | SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting) File No.: 265-27 Other Release No.: 34-81389 Comments received are available. |
| 34-81358 | Aug. 9, 2017 | Notice of Federal Advisory Committee Renewal
File No.: 265-29 |
| 34-81302 | Aug. 3, 2017 | DTCC Data Repository (U.S.), LLC (Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository)
File No.: SBSDR-2016-02 Comments Due: August 30, 2017 See also: Notice: Rel. No. 34-78216 Comments received are available. |
| 34-81227 | July 27, 2017 | Order Determining Whistleblower Award File No.: 2017-13 |
| 34-81223 | Jul. 27, 2017 | ICE Trade Vault (Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository)
File No.: SBSDR-2017-01 Comments Due: August 22, 2017 See also: Notice: Rel. No. 34-77699 Comments received are available. |
| 34-81200 | July 25, 2017 | Order Determining Whistleblower Award File No.: 2017-12 |
| Second Quarter | ||
| 34-81064 | June 30, 2017 | In the Matter of Certain Disgorgement and Fair Funds in Administrative Proceedings: Notice of Name Change of Appointed Tax Administrator File Nos.: 3-11292, 3-11359, 3-11393, 3-11450, 3-11498, 3-11514, 3-11515, 3-11538, 3-11578, 3-11645, 3-11676, 3-11793, 3-11814, 3-11818, 3-11914, 3-11915, 3-11916, 3-11935, 3-11940, 3-11987, 3-12114, 3-12115, 3-12116, 3-12238, 3-12372, 3-12400, 3-12540, 3-12554, 3-12678, 3-12737, 3-12805, 3-12868, 3-13199, 3-13675, 3-13847, 3-14191, 3-14192, 3-14594, 3-14641, 3-14854, 3-14863, 3-14899, 3-14909, 3-14950, 3-14982, 3-15014, 3-15098, 3-15134, 3-15135, 3-15211, 3-15429, 3-15471, 3-15507, 3-15526, 3-15641, 3-15982, 3-16014, 3-16017, 3-16163, 3-16175, 3-16203, 3-16389, 3-16398, 3-16575, 3-16755, 3-16757, 3-16786, 3-16829, 3-16846, 3-16852, 3-16955, 3-17075, and 3-17186 |
| 34-81057 | June 30, 2017 | Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds |
| 34-80871 | June 7, 2017 | Order Determining Whistleblower Award File No.: 2017-11 |
| 34-80870 | Jun. 7, 2017 | Commission Statement Concerning a Request for an Interpretation as to Whether a Particular Agreement is a Swap, Security-Based Swap, or Mixed Swap (Conformed to Federal Register version) See also: Exhibits |
| 34-80816 | May 31, 2017 | Order Making Fiscal Year 2017 Annual Adjustments to Transaction Fee Rates |
| 33-10366 | May 25, 2017 | Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - June 22, 2017) Other Release No.: 34-80767 File No.: 265-28 Comments Due: June 22, 2017 Comments received are available. |
| 34-80596 | May 4, 2017 | Order Determining Whistleblower Award Claims File No.: 2017-10 |
| 34-80571 | May 2, 2017 | Order Determining Whistleblower Award Claim File No.: 2017-9 |
| IA-4691 | Apr. 26, 2017 | Michael L. Silver (Order Granting Consent to Associate) File No.: 3-13417 |
| 34-80511 | Apr. 24, 2017 | Bats BZX Exchange, Inc. (Order Granting Petition for Review and Scheduling Filing of Statements) File No.: SR-BatsBZX-2016-30 Statements received are available. See also: Notice: Rel. No. 34-80206, Notice: Rel. No. 34-79725, Notice: Rel. No. 34-79183, Notice: Rel. No. 34-79084, Notice: Rel. No. 34-78653, Notice: Rel. No. 34-78262 |
| 34-80521 | Apr. 25, 2017 | Order Determining Whistleblower Award Claim File No.: 2017-8 |
| 33-10350 | Apr. 24, 2017 | SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting) File No.: 265-27 Other Release No.: 34-80512 Comments Due: May 8, 2017 |
| 33-10349 | Apr. 18, 2017 | Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies); Extension of Comment Period Other Release Nos.: 34-80479 File No.: S7-02-17 Comments received are available for this proposal. Federal Register version (82 FR 18877) See Also: Final Rule Rel. No. 33-10835 and Proposed Rule Rel. No. 33-10688 |
| 34-80477 | Apr. 18, 2017 | ISE Mercury, LLC (Order Declaring Effective a Minor Rule Violation Plan) File No: 4-707 See also: Notice, Release No. 34-80259 |
| First Quarter | ||
| 33-10333 | Mar. 31, 2017 | Regulatory Flexibility Agenda File No.: S7-04-17 Comments Due: September 25, 2017 Comments received are available. |
| 34-80259 | Mar. 16, 2017 | ISE Mercury, LLC (Notice of Filing of Proposed Minor Rule Violation Plan)
File No.: 4-707 Comments due: April 11, 2017 See also: Order, Release No. 34-80477 |
| 34-80245 | Mar. 14, 2017 | Equity Market Structure Advisory Committee (Notice of Meeting) File No.: 265-29 Comments Due: March 29, 2017 Comments received are available. |
| 33-10321 | Mar. 1, 2017 | Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies) Other Release No.: 34-80131 File No.: S7-02-17 Comments received are available for this proposal. Federal Register version (82 FR 12757) See Also: Final Rule Rel. No. 33-10835 and Proposed Rule Rel. No. 33-10688 |
| 33-10320 | Mar. 1, 2017 | IFRS Taxonomy for Foreign Private Issuers That Prepare Their Financial Statements in Accordance with International Financial Reporting Standards as Issued by the International Accounting Standards Board Other Release No: 34-80128 See also: DERA Taxonomies |
| 34-80115 | Feb. 28, 2017 | Order Determining Whistleblower Award Claim File No.: 2017-7 |
| 33-10312 | Feb. 24, 2017 | Securities and Exchange Commission Evidence Summit (Notice of conference) Other Release No.: 34-80096 |
| 33-10306 | Feb. 13, 2017 | Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - March 9, 2017) Other Release No.: 34-80024 File No.: 265-28 Comments Due: March 9, 2017 Comments received are available. |
| 34-79992 | Feb. 9, 2017 | Notice of Federal Advisory Committee Renewal
File No.: 265-29 |
| 33-10297 | Jan. 31, 2017 | Order Regarding Review of FASB Accounting Support Fee For 2017 Under Section 109 of the Sarbanes-Oxley Act Of 2002
Other Release No.: 34-79912 |
| 33-10292 | Jan. 25, 2017 | Notice of Meeting: SEC Advisory Committee on Small and Emerging Companies
File No.: 265-27 Other Release No.: 34-79872 Comments Due: February 13, 2017 Comments received are available. |
| 33-10289 | Jan. 24, 2017 | Citigroup, Inc. and Citigroup Global Markets Holdings, Inc. |
| 34-79853 | Jan. 23, 2017 | Order Determining Whistleblower Award Claim File No.: 2017-6 |
| 34-79747 | Jan. 6, 2017 | Order Determining Whistleblower Award Claim File No.: 2017-5 |