Other Commission Orders, Notices, and Information
Archive of other SEC Orders, Notices and Information available include:
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Additional Archives
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
(Search any column)
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| 33-10916 | Dec. 23, 2020 | Prudential Financial, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer) |
| 33-10915 | Dec. 23, 2020 | Tierion, 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: Order Instituting Proceedings Rel. No. 33-10914 |
| 34-90768 | Dec. 22, 2020 | New York Stock Exchange LLC (Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Chapter One of the Listed Company Manual to Modify the Provisions Relating to Direct Listings)
File No.: SR-NYSE-2019-67 See Also: |
| 34-90767 | Dec. 22, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-19 |
| 34-90766 | Dec. 22, 2020 | Notice of Substituted Compliance Application Submitted by the French Autorité des Marchés Financiers and the Autorité de Contrôle Prudential et de Résolution in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic; Proposed Order (Notice of application for substituted compliance determination; proposed order.)
File No.: S7-22-20 See also: Order, Release No. 34-92484 Comments Due: 25 days after publication in the Federal Register Comments received are available. |
| 34-90765 | Dec. 22, 2020 | Order Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Federal Republic of Germany
File No.: S7-16-20 See Also: Notice Rel. No. 34-90378 |
| 34-90764 | Dec. 21, 2020 | OneChicago, LLC (Notice of Filing and Request for Comment on OneChicago, LLC’s Notice of Withdrawal of Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products) File No.: 10-133 Comments Due: January 19, 2021 |
| PA-56 | Dec. 21, 2020 | Systems of Records (Rescindment of System of Records Notice; Conformed to Federal Register version) File No.: S7-21-20 Effective Date: February 8, 2021 |
| PA-55 | Dec. 21, 2020 | Systems of Records (Notice of revised system of records; Conformed to Federal Register version) File No.: S7-20-20 Comments Due: 30 days after publication in the Federal Register Effective Date: January 27, 2021 |
| 34-90721 | Dec. 18, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-18 |
| 34-90720 | Dec. 18, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-17 |
| 34-90718 | Dec. 18, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-16 |
| 33-10905 | Dec. 16, 2020 | Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2021
Other Release No.: 34-90693 See also: 33-10905A |
| 34-90680 | Dec. 16, 2020 | Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, the United Kingdom, Norway, and Canada as Alternative Reporting Regimes that Satisfy the Transparency Objectives of Section 13(q) under the Securities Exchange Act of 1934 |
| 34-90656 | Dec. 14, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-15 |
| IA-5646 | Dec. 14, 2020 | Family Office Partners, Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 33-10898 | Dec. 9, 2020 | Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer) |
| 33-10895 | Dec. 7, 2020 | BancWest Investment (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) |
| 34-90582 | Dec. 7, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-14 |
| 34-90580 | Dec. 7, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-13 |
| 34-90578 | Dec. 7, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-12 |
| 33-10894 | Dec. 3, 2020 | Public Service Company of North Carolina, Incorporated (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii)(A) and (B) Disqualification Provisions) |
| 33-10893 | Dec. 3, 2020 | Dominion Energy, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer) |
| IA-5638 | Dec. 3, 2020 | Ann T. Coffey Wealth Management LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 34-90537 | Dec. 1, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-11 |
| 34-90506 | Nov. 24, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-10 |
| 34-90468 | Nov. 20, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-9 |
| IA-5633 | Nov. 20, 2020 | Trevor Stewart Burton & Jacobsen Inc (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 34-90460 | Nov. 19, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-8 |
| 34-90431 | Nov. 13, 2020 | Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2019-01 |
| 34-90430 | Nov. 13, 2020 | Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2018-02 |
| 34-90429 | Nov. 13, 2020 | Order Setting Aside the Order by Delegated Authority Approving SR-IEX-2018-06 |
| 34-90428 | Nov. 13, 2020 | Order Setting Aside the Order by Delegated Authority Disapproving SR-CboeBZX-2018-044 |
| 34-90427 | Nov. 13, 2020 | Order Setting Aside the Order by Delegated Authority Approving SR-CBOE-2018-060 |
| 34-90412 | Nov. 13, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-7 |
| IA-5632 | Nov. 13, 2020 | EF Hutton Investments LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 34-90378 | Nov. 9, 2020 | Notice of Substituted Compliance Application submitted by the Bundesanstalt für Finanzdienstleistungsaufsicht in connection with Certain Requirements Applicable to Security-Based Swap Entities subject to regulation in the Federal Republic of Germany; Proposed Order (Notice of application for substituted compliance determination; Proposed order)
File No.: S7-16-20 Comments Due: December 8, 2020 Comments received are available. |
| 34-90376 | Nov. 9, 2020 | Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33 Comments received are available. |
| IA-5622 | Nov. 5, 2020 | Ann T. Coffey Wealth Management LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 34-90351 | Nov. 5, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-6 |
| 34-90350 | Nov. 5, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-5 |
| 34-90346 | Nov. 4, 2020 | Public Availability of the Securities and Exchange Commission’s FY 2016 and FY 2017 Service Contract Inventory |
| 33-10885 | Nov. 4, 2020 | Investor Advisory Committee Meeting (Thursday, December 3, 2020, 10:00 a. m.)
Other Release No.: 34-90338 File No.: 265-28 Comments received are available. |
| 34-90317 | Nov. 3, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-4 |
| 34-90284 | Oct. 29, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-3 |
| 34-90276 | Oct. 28, 2020 | Proposed Order Granting Conditional Exemptions under the Securities Exchange Act of 1934 in Connection with the Portfolio Margining of Swaps and Security-based Swaps that are Credit Default Swaps
File No.: S7-13-12 |
| 34-90275 | Oct. 27, 2020 | Fixed Income Market Structure Advisory Committee (Notice of Federal Advisory Committee Renewal)
File No.: 265-30 |
| 33-10877 | Oct. 23, 2020 | SEC Small Business Capital Formation Advisory Committee (Notice of Meeting)
Other Rel. No.: 34-90260 File No.: 265-32 Comments received are available. |
| 34-90247 | Oct. 22, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-2 |
| 34-90246 | Oct. 22, 2020 | Request for Comments on Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
File No.: S7-15-20 Comments Due: 30 days after publication in the Federal Register |
| 34-90223 | Oct. 19, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Allocations Pursuant to the National Market System Plan Governing the Consolidated Audit Trail |
| 34-90211 | Oct. 16, 2020 | Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33 Comments received are available. |
| 34-90189 | Oct. 15, 2020 | Order Determining Whistleblower Award Claim
File No.: 2021-1 |
| IA-5612 | Oct. 15, 2020 | EF Hutton Investments LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 33-10873 | Oct. 8, 2020 | Regulatory Flexibility Agenda
Other Release Nos.: 34-90131, IA-5610, IC-34047 File No.: S7-14-20 Comments Due: 30 days after publication in the Federal Register Comments received are available. |
| 34-90112 | Oct. 7, 2020 | Notice of Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders
File No: S7-13-20 Comments Due: November 12, 2020 Comments received are available for this proposal. See also: Press Release 2020-248 |
| Third Quarter | ||
| IA-5602 | Sep. 30, 2020 | Sagent Wealth Management (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 34-90059 | Sep. 30, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-39 |
| 34-90057 | Sep. 30, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-38 |
| 34-90054 | Sep. 30, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-37 |
| 34-90049 | Sep. 30, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-36 |
| 33-10866 | Sep. 30, 2020 | Salt Blockchain 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: Release No. 33-10865 |
| 33-10864 | Sep. 30, 2020 | Aegon N.V. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
See Also: Release No. IA-5599 |
| 34-90021 | Sep. 28, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-35 |
| 34-89996 | Sep. 25, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-34 |
| 34-89995 | Sep. 25, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-33 |
| 34-90001 | Sep. 25, 2020 | New York Stock Exchange LLC Regarding an Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Chapter One of the Listed Company Manual to Modify the Provisions Relating to Direct Listings (Order Granting Petition for Review, Scheduling Filing of Statements, and Denying New York Stock Exchange LLC’s Motion to Lift the Stay)
File No.: SR-NYSE-2019-67 See: See Also: |
| 34-89929 | Sep. 21, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-32 |
| 33-10846 | Sep. 18, 2020 | Northern Trust Corporation (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver From Being Ineligible Issuer) |
| 34-89912 | Sep. 17, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-31 |
| 34-89868 | Sep. 15, 2020 | Fixed Income Market Structure Advisory Committee (Notice of meeting, October 5, 2020)
File No.: 265-30 Comments received are available. |
| 34-89850 | Sep. 14, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-30 |
| 34-89836 | Sep. 11, 2020 | MEMX LLC (Order Declaring Effective a Minor Rule Violation Plan)
File No.: 4-764 Additional Materials: Exhibit A Comments received are available. See also: Notice: Release No. 34-89485 |
| 34-89780 | Sep. 8, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-29 |
| IA-5568 | Sep. 2, 2020 | Europa Investment Bank Inc. (Order Cancelling Registration Pursuant to SECTION 203(h) of the Investment Advisers Act of 1940) |
| 34-89721 | Sep. 1, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-28 |
| 33-10830 | Aug. 31, 2020 | Investor Advisory Committee Meeting (Thursday, September 24, 2020, 10:00 a. m.)
Other Release No.: 34-89713 File No.: 265-28 Comments Due: Thursday, May 21, 2020 Comments received are available. |
| 34-89712 | Aug. 31, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-27 |
| 34-89693 | Aug. 27, 2020 | Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33 Comments received are available. |
| 33-10826 | Aug. 26, 2020 | Order Making Fiscal Year 2021 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-89671 |
| 33-10823 | Aug. 26, 2020 | Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status Pursuant to Rule 501(a)(10) under the Securities Act of 1933 |
| 34-89659 | Aug. 25, 2020 | Order Granting Exemptions from Certain Rules Related to the Sale and Delivery of Physical Securities under Regulation SHO Related to COVID-19 File No.: TP 20-02 |
| IA-5565 | Aug. 25, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order Under Section 206A of the Investment Advisers Act of 1940 Granting an Exemption from Section 205 of the Act and Rule 205-1 Thereunder)
File No.: 803-00250 |
| 34-89551 | Aug. 13, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-26 |
| 34-89485 | Aug. 5, 2020 | MEMX LLC (Notice of Filing of Proposed Minor Rule Violation Plan)
File No.: 4-764 Comments due: August 24, 2020 Additional Materials: Exhibit A Comments received are available. See also: Order: Release No. 34-89836 Federal Register version (85 FR 46766) |
| 33-10808 | Jul. 28, 2020 | American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer) |
| 33-10807 | Jul. 28, 2020 | American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer) |
| IA-5549 | Jul. 27, 2020 | Europa Investment Bank Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 34-89355 | Jul. 21, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-24 |
| 33-10804 | Jul. 21, 2020 | SEC Small Business Capital Formation Advisory Committee (Notice of Meeting)
Other Rel. No.: 34-89353 File No.: 265-32 Comments received are available. |
| 34-89354 | Jul. 21, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-25 |
| 34-89311 | Jul. 14, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-23 |
| IA-5534 | Jul. 8, 2020 | McDaniel Investments, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 33-10798 | Jul. 2, 2020 | Franklin Resources, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer) |
| IC-33916 | Jul. 1, 2020 | Allianz Life Insurance Co. of North America, et al. (Order Granting Hearing and Scheduling Filing of Statements) |
| Second Quarter | ||
| 34-89184 | Jun. 29, 2020 | Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater than $20 Million but Less than $50 Million |
| 34-89170 | Jun. 26, 2020 | Order under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder |
| 34-89124 | Jun. 23, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-22 |
| 34-89100 | Jun. 19, 2020 | Credit Risk Retention – Notice of Commencement of Review; Extension of Review Period File No.: S7-14-11 See Also: Notice of Commencement of Review, Rel. No. 34-87714; Division of Economic and Risk Analysis White Paper: Qualified Residential Mortgage: Background Data Analysis on Credit Risk Retention; Proposed Rule Release Nos. 34-70277, 34-64603 and 34-64148 Federal Register version (85 FR 39099) |
| IC-33897 | Jun. 19, 2020 | Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Sections 15(c) and 32(a) of the Investment Company Act and Rules 12b-1(b)(2) and 15a-4(b)(2)(ii) Thereunder |
| 34-89102 | Jun. 19, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-21 |
| 34-89087 | Jun. 18, 2020 | Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33 Comments received are available. |
| IA-5525 | Jun. 17, 2020 | Cheswold Lane Asset Management, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 34-89074 | Jun. 16, 2020 | Order Granting a Temporary Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors |
| 34-89051 | Jun. 11, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail |
| SIPA-182 | Jun. 9, 2020 | Securities Investor Protection Corporation (Order Approving Proposed Bylaw Change Relating to SIPC Member Assessments)
File No.: SIPC-2019-02 See Also: Correction: SIPA-179A |
| SIPA-181 | Jun. 9, 2020 | Securities Investor Protection Corporation (Order Approving Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation)
File No.: SIPC-2019-01 See Also: Correction: SIPA-180A |
| 34-89003 | Jun. 4, 2020 | Brewer Financial Services, LLC (Order Cancelling Registration Under Section 15(b) of the Securities Exchange Act of 1934)
File No.: 8-66603 |
| 34-89002 | Jun. 4, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-20 |
| 34-88973 | May 29, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-19 |
| 34-88960 | May 27, 2020 | Order under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder |
| IA-5506 | May 20, 2020 | McDaniel Investments, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940) |
| IA-5504 | May 18, 2020 | Strategic Options, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940) |
| 34-88884 | May 15, 2020 | Order Granting a Conditional Exemption from Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral See also: Incoming Letter |
| 34-88866 | May 14, 2020 | Order Designating Financial Industry Regulatory Authority, Inc., to Receive Form X-17A-5 (FOCUS Report) from Certain Security-Based Swap Dealers and Major Security-Based Swap Participants |
| 33-10784 | May 12, 2020 | Morgan Stanley; and Morgan Stanley Finance LLC (Order Under Rule 405 of the Securities Act of 1933, Granting Waivers From Being Ineligible Issuers) |
| 34-88842 | May 8, 2020 | Fixed Income Market Structure Advisory Committee (Notice of meeting)
File No.: 265-30 Comments received are available. |
| 34-88807 | May 5, 2020 | Asset Management Advisory Committee (Notice of meeting)
File No.: 265-33 Comments received are available. |
| 34-88806 | May 4, 2020 | MEMX LLC (Findings, Opinion, and Order of the Commission in the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange)
File No.: 10-237 See Also: Form 1 Application and Exhibits; Notice Rel. No. 34-87436 |
| 34-88803 | May 4, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-18 |
| IA-5493 | May 1, 2020 | Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 |
| 33-10780 | May 1, 2020 | Investor Advisory Committee Meeting (Thursday, May 21, 2020, 10:00 a. m.) Other Release No.: 34-88790 File No.: 265-28 Comments Due: Thursday, May 21, 2020 |
| 34-88759 | Apr. 28, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-17 |
| 33-10776 | Apr. 24, 2020 | SEC Small Business Capital Formation Advisory Committee (Notice of meeting)
Other Rel. No.: 34-88742 File No.: 265-32 Comments received are available. |
| 34-88703 | Apr. 20, 2020 | Order Granting Limited Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Related to Certain Introducing Brokers, From the Requirements of the National Market System Plan Governing the Consolidated Audit Trail |
| 34-88702 | Apr. 20, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, from Sections 6.4, 6.7(a)(v) and 6.7(a)(vi) of the National Market System Plan Governing the Consolidated Audit Trail |
| 34-88689 | Apr. 20, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-15 |
| 34-88687 | Apr. 20, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-16 |
| 33-10774 | Apr. 17, 2020 | 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) |
| 34-88667 | Apr. 16, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-14 |
| 34-88658 | Apr. 16, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-13 |
| 34-88608 | Apr. 8, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act to Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Granularity of Timestamps Specified in Section 6.8(b) and Appendix D, Section 3 of the National Market System Plan Governing the Consolidated Audit Trail |
| IC-33837 | Apr. 8, 2020 | Order Under Sections 6(c), 17(d), 38(a), and 57(i) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder |
| 34-88547 | Apr. 3, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-12 |
| First Quarter | ||
| 33-10769 | Mar. 31, 2020 | Regulatory Flexibility Agenda
Other Release Nos.: 34-88531, IA-5470, IC-33833 File No.: S7-06-20 Comments Due: 30 days after publication in the Federal Register Comments received are available. |
| 34-88507 | Mar. 30, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-11 |
| 34-88491 | Mar. 26, 2020 | Order Under Section 15B of the Securities Exchange Act of 1934 Granting an Exemption for Municipal Advisors from Specified Provisions of the Securities Exchange Act and Rule 15Ba1-5(a)(1) Thereunder |
| IA-5469 | Mar. 25, 2020 | Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder |
| IC-33824 | Mar. 25, 2020 | 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; Commission Statement Regarding Prospectus Delivery |
| 34-88478 | Mar. 25, 2020 | Order Granting Application by The Financial Information Forum and Security Traders Association for a Temporary Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act in Response to the Effects of COVID-19 |
| 34-88465 | Mar. 25, 2020 | Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions from the Reporting and Proxy Delivery Requirements for Public Companies |
| 34-88464 | Mar. 24, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-10 |
| 34-88462 | Mar. 24, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-9 |
| IC-33821 | Mar. 23, 2020 | Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) AND 38(a) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder
See Also: Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response |
| 34-88449 | Mar. 23, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-8 |
| 34-88448 | Mar. 20, 2020 | Order Under 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 |
| 34-88393 | Mar. 17, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 and Rule 608(e) of the Securities Exchange Act of 1934, from Section 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the National Market System Plan Governing the Consolidated Audit Trail |
| 34-88318 | Mar. 4, 2020 | Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder |
| IC-33817 | Mar. 13, 2020 | 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; Commission Statement Regarding Prospectus Delivery |
| IA-5463 | Mar. 13, 2020 | Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder |
| 34-88318 | Mar. 4, 2020 | Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder |
| IC–33809 | Mar. 2, 2020 | Request for Comments on Fund Names (Conformed to Federal Register version)
File No.: S7-04-20 Effective Date: May 5, 2020 Comments received are available. |
| 34-88299 | Feb. 28, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-7 |
| 33-10758 | Feb. 21, 2020 | Wells Fargo & Company (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(A) Disqualification Provision)
See Also: Enforcement Order |
| 34-88214 | Feb. 14, 2020 | Financial Industry Regulatory Authority, Inc. (Order Granting Petition for Review and Scheduling Filing of Statements)
File No.: SR-FINRA-2019-008 |
| 33-10753 | Feb. 6, 2020 | Order Regarding Review of FASB Accounting Support Fee for 2020 under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-88137 |
| 33-10752 | Feb. 3, 2020 | Investor Advisory Committee Meeting (Thursday, February 27, 2020) Other Release No.: 34-88113 File No.: 265-28 Comments Due: February 27, 2020 |
| SIPA-180A | Jan. 24, 2020 | Securities Investor Protection Corporation (Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation; Correction)
File No.: SIPC-2019-01 Comments Due: February 20, 2020 Comments received are available. |
| SIPA-179A | Jan. 24, 2020 | Securities Investor Protection Corporation (Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments; Correction) File No.: SIPC-2019-02 Comments Due: February 20, 2020 |
| 34-88015 | Jan. 22, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-6 |
| 34-88014 | Jan. 22, 2020 | Order Determining Whistleblower Award Claim
File No.: 2020-5 |
| 33-10747 | Jan. 22, 2020 | SEC Small Business Capital Formation Advisory Committee (Notice of Meeting)
Other Release No.: 34-88012 File No.: 265-32 Comments received are available. |
| 34-87956 | Jan. 13, 2020 | Fixed Income Market Structure Advisory Committee (Notice of Meeting)
File No.: 265-30 Comments received are available. |
| 34-87918 | Jan. 9, 2020 | Order Making Fiscal Year 2020 Annual Adjustments to Transaction Fee Rates |
| 33-10740 | Jan. 8, 2020 | Notice of Annual Inflation Adjustment of Civil Monetary Penalties
Other Release Nos.: 34-87905; IA-5428; IC-33740 |