Other Commission Orders, Notices, and Information: 2019
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 | ||
| 33-10739 | Dec. 31, 2019 | Investor Advisory Committee Telephonic Meeting (Friday, January 24, 2020) Other Release No.: 34-87874 File No.: 265-28 Comments Due: January 24, 2020 |
| 34-87835 | Dec. 20, 2019 | Asset Management Advisory Committee (Notice of Meeting)
File No.: 265-33 |
| 34-87828 | Dec. 20, 2019 | Order Determining Whistleblower Award Claims
File No.: 2020-4 |
| 33-10735 | Dec. 18, 2019 | Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2020
Other Release No.: 34-87785 |
| 34-87781 | Dec. 18, 2019 | Order Designating Certain Jurisdictions as “Listed Jurisdictions” for Purposes of Applying the Security-Based Swap Dealer De Minimis Exception of Rule 3a71-3(d) Under the Exchange Act to Certain Cross-Border Security-Based Swap Transactions |
| 33-10737 | Dec. 18, 2019 | Blockchain of Things, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
See also: Administrative Proceedings, 33-10736 |
| 34-87714 | Dec. 10, 2019 | Credit Risk Retention – Notice of Commencement of Review File No.: s7-14-11 Comments Due: 45 days after publication in the Federal Register Comments received are available. |
| 34-87663 | Dec. 5, 2019 | Order Determining Whistleblower Award Claims
File No.: 2020-3 |
| 34-87662 | Dec. 5, 2019 | Order Determining Whistleblower Award Claims
File No.: 2020-2 |
| 33-10729 | Nov. 26, 2019 | SEC Small Business Capital Formation Advisory Committee (Notice of Meeting)
Other Release No. 34-87628 File No.: 265-32 |
| 34-87544 | Nov. 15, 2019 | Order Determining Whistleblower Award Claims
File No.: 2020-1 |
| 34-87503 | Nov. 12, 2019 | NYSE Arca, Inc. (Order Scheduling Filing of Statements on Review for an Order of Disapproval of Proposed Rule Change to List and Trade the Shares of Bitwise Bitcoin ETF Trust)
File No.: SR-NYSEArca-2019-01 See also: Letter from NYSE Arca withdrawing the proposed rule change |
| 34-87482 | Nov. 7, 2019 | Fixed Income Market Structure Advisory Committee (Notice of Federal Advisory Committee Renewal)
File No.: 265-30 Federal Register version (84 FR 61670) |
| 33-10727 | Nov. 7, 2019 | Morgan Stanley and Morgan Stanley Finance LLC
See also: Administrative Proceedings, 33-10726 |
| 33-10724 | Nov. 4, 2019 | SEC Small Business Capital Formation Advisory Committee (Notice of Meeting)
File No.: 265-32 |
| 34-87436 | Oct. 31, 2019 | MEMX 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.: 10-237 Comments Due: December 23, 2019 Comments received are available. See Also: Form 1 Application and Exhibits |
| 34-87415 | Oct. 29, 2019 | Long-Term Stock Exchange, Inc.; Order Declaring Effective a Minor Rule Violation Plan
File No.: 4-753 See also: Notice Rel. No. 34-87021 |
| 33-10721 | Oct. 24, 2019 | Investor Advisory Committee Meeting (Thursday, November 7, 2019) Other Release No.: 34-87398 File No.: 265-28 Comments Due: November 7, 2019 |
| 34-87288 | Oct. 11, 2019 | Order Determining Whistleblower Award Claim
File No.: 2019-12 |
| 34-87260 | Oct. 9, 2019 | Fixed Income Market Structure Advisory Committee (Notice of Meeting)
File No.: 265-30 |
| 34-87256 | Oct. 8, 2019 | Asset Management Advisory Committee (Notice of Federal Advisory Committee Establishment)
File No.: 265-33 |
| Third Quarter | ||
| 33-10716 | Sep. 30, 2019 | Nebulous, 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)(v)(B) and Rule 262(a)(5)(ii) Disqualification Provisions) |
| 33-10713 | Sep. 30, 2019 | Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 And Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, RULE 503(a)(4)(ii) of Regulation Crowdfunding, and Granting a Waiver From Being an Ineligible Issuer) |
| 33-10712 | Sep. 30, 2019 | Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Rule 503(a)(4)(ii) of Regulation Crowdfunding) |
| 33-10711 | Sep. 27, 2019 | BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Other Release No.: IA-5379 |
| 33-10708 | Sep. 27, 2019 | Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Other Release No.: IA-5378 |
| 34-87039 | Sep. 20, 2019 | Order Determining Whistleblower Award Claim
File No.: 2019-11 |
| IA-5360 | Sep. 20, 2019 | Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940 |
| 34-87021 | Sep. 19, 2019 | Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan
File No.: 4-753 See also: Order Rel. No. 34-87415; Exhibit A |
| 33-10690 | Sep. 17, 2019 | Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
File No.: 3-19464 Other Release Nos.: 34-86986, IA-5353 |
| 33-10685 | Sep. 16, 2019 | Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Other Release No.: IA-5347 |
| 34-86902 | Sep. 9, 2019 | Order Determining Whistleblower Award Claim
File No.: 2019-10 |
| 34-86803 | Aug. 29, 2019 | Order Determining Whistleblower Award Claim
File No.: 2019-9 |
| 33-10676 | Aug. 28, 2019 | Investor Advisory Committee Meeting (Thursday, September 19, 2019 ) Other Release No.: 34-86785 File No.: 265-28 Comments Due: September 19, 2019 |
| 33-10675 | Aug. 23, 2019 | Order Making Fiscal Year 2020 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-86750 |
| 33- 10674 | Aug. 23, 2019 | Regulatory Flexibility Agenda Other Release Nos.: 34-86748, IA-5328, IC-33607 File No.: S7-12-19 Comments Due: 30 days after publication in the Federal Register |
| 33-10670 | Aug. 12, 2019 | Investor Advisory Committee Meeting (Thursday, September 5, 2019) Other Release No.: 34-86628 File No.: 265-28 |
| IA-5317 | Aug. 12, 2019 | Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940 |
| IA-5315 | Aug. 5, 2019 |
Order Granting Registration Pursuant to Section 203(c) of the Investment Advisers
Act of 1940
File No.: 801-117067 |
| 33-10666 | Aug. 2, 2019 | Small Business Capital Formation Advisory Committee Meeting (Notice of Meeting - Tuesday, August 13, 2019) File No.: 265-32 Other Release No.: 34-86552 Comments Due: August 12, 2019 |
| 34-86431 | Jul. 23, 2019 | Order Determining Whistleblower Award Claim
File No.: 2019-8 |
| 33-10660 | Jul. 3, 2019 | List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos..: 34-86302, 39-2527, IA-5284, IC-33543 File No.: S7-10-19 Comments Due: 30 days after publication in the Federal Register Comments received are available. |
| 33-10658 | Jul. 3, 2019 | Investor Advisory Committee Meeting (Thursday, July 25, 2019) Other Release No.: 34-86289 File No.: 265-28 |
| 34-86253 | Jul. 1, 2019 | Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Monday, July 29, 2019 ) File No.: 265-30 Comments Due: July 24, 2019 |
| Second Quarter | ||
| 33-10646 | Jun. 13, 2019 | Certain Existing Funds affiliated with Och-Ziff Capital Management Group LLC and OZ Management LP; Corrected Order Under Rule 506(d)(2)(ii) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iv)(B) And (v) Of Regulation D Disqualification Provisions |
| 33-10644 | Jun. 4, 2019 | Deer Park Road Management Company, LP; Order Under Rule 506(d)(2)(ii) of the Securities Act Of 1933 Granting A Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision |
| 34-86010 | Jun. 3, 2019 | Order Determining Whistleblower Award Claim
File No.: 2019-7 |
| 34-85936 | May 24, 2019 | Order Determining Whistleblower Award Claim
File No.: 2019-6 |
| 34-85906 | May 21, 2019 | Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks
File No.:S7-05-18 |
| 34-85895 | May 20, 2019 | Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Tuesday, June 11, 2019 ) File No.: 265-30 Comments Due: June 6, 2019 |
| 34-85843 | May 10, 2019 | Merril Lynch, Pierce, Fenner & Smith Incorporated; Order Granting Accelerated Effectiveness of Notice Regarding Change of Method For Computing Deductions For Market and Credit Risk |
| 34-85828 | May 10, 2019 | Long Term Stock Exchange, Inc.
(Findings, Opinion, and Order of the Commission)
File No.: 10-234 See Also: Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934 |
| 34-85793 | May 7, 2019 | Order Determining Whistleblower Award Claim
File No.: 2019-5 |
| 33-10634 | Apr. 25, 2019 | Small Business Capital Formation Advisory Committee Meeting (Notice of Meeting - Monday, May 6, 2019) File No.: 265-32 Other Release No.: 34-85721 Comments Due: May 6, 2019 |
| 34-85682 | Apr. 17, 2019 | Order Scheduling Filing of Statements on Review In the Matter of Cboe BZX Exchange, Inc. For an Order of Disapproval of Proposed Rule Change to Amend BZX Rule 14.11(c), Index Fund Shares (File No. SR-CboeBZX-2018-044) |
| 34-85538 | Apr. 8, 2019 | Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) Of the Securities Exchange Act of 1934 |
| First Quarter | ||
| 34-85447 | Mar. 28, 2019 | Order Issuing Stay (In the Matter of Rule 610T of Regulation NMS) File No.: 3-19124 See also: Final Rule (File No. S7-05-18): Release No. 34-84875 |
| 34-85412 | Mar. 26, 2019 | Order Determining Whistleblower Award Claim File No.: 2019-4 |
| 33-10621 | Mar. 25, 2019 | Order Regarding Review of FASB Accounting Support Fee for 2019 under Section 109 of the Sarbanes-Oxley Act of 2002 Other Release No.: 34-85402 |
| 33-10620 | Mar. 22, 2019 | Regulatory Flexibility Agenda Other Release Nos.: 34-85401, IA-5207, IC-33428 File No.: S7-04-19 Comments Due: 30 days after publication in the Federal Register Comments received are available. |
| 34-85383 | Mar. 21, 2019 | Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Monday, April 15) File No.: 265-30 Comments Due: April 10, 2019 |
| 33-10616 | Mar. 20, 2019 | Wells Fargo Services, LLC (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) |
| 34-85287 | Mar. 11, 2019 | Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates |
| 33-10613 | Mar. 11, 2019 | Deutsche Bank Securities, Inc., RBC Capital Markets, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC (Order Under Rules 262(B)(2), 405, 506(D)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers) File Nos.: 3-19100, 3-19101, 3-19102 |
| 33-10612 | Mar. 11, 2019 | Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers) File Nos.: 3-19026, 3-19027, 3-19028, 3-19029, 3-19030, 3-19031, 3-19032, 3-19033, 3-19034, 3-19035, 3-19036, 3-19037, 3-19038, 3-19039, 3-19040, 3-19041, 3-19042, 3-19043, 3-19044, 3-19045, 3-19046, 3-19047, 3-19048, 3-19049, 3-19050, 3-19051, 3-19052, 3-19053, 3-19054, 3-19055, 3-19056, 3-19057, 3-19058, 3-19059, 3-19060, 3-19061, 3-19062, 3-19063, 3-19064, 3-19065, 3-19066, 3-19067, 3-19068, 3-19069, 3-19070, 3-19071, 3-19072, 3-19073, 3-19074, 3-19075, 3-19076, 3-19077, 3-19078, 3-19079, 3-19080, 3-19081, 3-19082, 3-19083, 3-19084, 3-19085, 3-19086, 3-19087, 3-19088, 3-19089, 3-19090, 3-19091, 3-19092, 3-19093, 3-19094, 3-19095, 3-19096, 3-19097, 3-19098, 3-19099, 3-19100, 3-19101, 3-19102 |
| 33-10611 | Mar. 8, 2019 | Investor Advisory Committee Meeting (Thursday, March 28, 2019) Other Release No.: 34-85271 File No.: 265-28 |
| 34-85273 | Mar. 8, 2019 | Order Determining Whistleblower Award Claim File No.: 2019-3 |
| 34-85227 | Mar. 1, 2019 | Notice of Intent to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 |
| 34-85174 | Feb. 22, 2019 | Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds |
| 33-10604 | Feb. 13, 2019 | Adjustments to Civil Monetary Penalty Amounts Release Nos.: 33-10604; 34-85118 ; IA-5111; IC-33373 |
| 34-84985 | Jan. 15, 2019 | Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting Cancellation - Monday, January 28) File No.: 265-30 |