Other Commission Orders, Notices, and Information 2022 Archives

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
33-11142 Dec. 23, 2022 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023
Other Release Nos.: 34-96577
See Also.: Press Release No. 2022-236
34-96541 Dec. 20, 2022 Financial Industry Regulatory Authority, Inc. (Order Scheduling Filing of Statements on Review)
Comments received for SR-FINRA-2019-008.
34-96527 Dec. 19, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-21
34-96474 Dec. 12, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-20
PA-58 Dec. 7, 2022 System of Records (Notice of a New System of Records)
File No.: S7-28-22
Effective Date:  January 6, 2023
Comments Due:  January 6, 2023
34-96439 Dec. 2, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-19
34-96399 Nov. 29, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-18
33-11136 Nov. 28, 2022 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos.: 34-96386; IC-34765
File No.: S7-27-22
Comments Due: January 3, 2023
Federal Register version (87 FR 74057)
34-96381 Nov. 28, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-17
34-96366 Nov. 21, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-16
34-96364 Nov. 18, 2022 24X National Exchange LLC (Notice of Designation of a 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)
File No.: 10-239
See Also: Notice of Withdrawal of Application Rel. No. 34-97043; Form 1 Application and Exhibits; Release No. 34-95007
34-96354 Nov. 18, 2022 Order Cancelling Registrations of Certain Transfer Agents
34-96337 Nov. 17, 2022 24X National Exchange LLC (Notice of Filing of Amendment No. 2 to an Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.: 10-239
Comments Due:  December 13, 2022 Comments received are available.
See Also: Notice of Withdrawal of Application Rel. No. 34-97043; Form 1 Application and Exhibits; Release No. 34-95007
34-96324 Nov. 16, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-15
34-96232 Nov. 4, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-14
34-96231 Nov. 4, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-13
34-96230 Nov. 4, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-12
34-96229 Nov. 4, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-11
34-96228 Nov. 4, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-10
34-96227 Nov. 4, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-09
34-96218 Nov. 3, 2022 24X National Exchange LLC (Notice of Filing of Amendment No. 1 to an Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.: 10-239
Comments Due:  November 30, 2022 Comments received are available.
See Also: Notice of Withdrawal of Application Rel. No. 34-97043; Form 1 Application and Exhibits; Release No. 34-95007
34-96214 Nov. 3, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-08
34-96178 Oct. 31, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-07
33-11127 Oct. 26, 2022 Electropremium (Order Denying Application to Withdraw Registration Statement Under the Securities Act of 1933)
File No.: 333-266967
34-96129 Oct. 24, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-06
34-96128 Oct. 24, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-05
34-96119 Oct. 21, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-04
34-96076 Oct. 14, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-03
34-96075 Oct. 14, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-02
33-11118 Oct. 12, 2022 Regulatory Flexibility Agenda
Other Release Nos.: 34-96009; IA-6165; IC-34725
File No.: S7-24-22
Comments received are available.
Comments Due: March 24, 2023 Federal Register version (88 FR 11376)
34-96012 Oct. 11, 2022 Order Determining Whistleblower Award Claim
File No.: 2023-01
Third Quarter
34-95931 Sep. 27, 2022 Order Cancelling Registration of Certain Municipal Advisor Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
33-11109 Sep. 27, 2022 Certain Broker-Dealer Practices (Waiver Order)
34-95855 Sep. 20, 2022 Notice of Intention to Cancel Registrations of Certain Transfer Agents
34-95840 Sep. 20, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-87
34-95834 Sep. 20, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-86
34-95802 Sep. 16, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-85
34-95753 Sep. 13, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-84
34-95748 Sep. 13, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-83
34-95714 Sep. 9, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-82
34-95713 Sep. 9, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-81
34-95712 Sep. 9, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-80
34-95711 Sep. 9, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-79
34-95672 Sep. 6, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-78
34-95651 Sep. 1, 2022 24X National Exchange LLC (Order Instituting 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)
File No.: 10-239
Comments Due:  21 days from publication in the Federal Register
Comments received are available.
See Also: Notice of Withdrawal of Application Rel. No. 34-97043
33-11095 Aug. 25, 2022 Order Making Fiscal Year 2023 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-95597
34-95588 Aug. 24, 2022 Draft 2022–2026 Strategic Plan for Securities and Exchange Commission (Conformed to Federal Register version)
Comments Due: September 29, 2022
Comments received are available See Also: Draft Strategic Plan; Press Release Nos. 2022-148
Federal Register version (87 FR 53040)
34-95537 Aug. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-77
34-95496 Aug. 12, 2022 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-95490 Aug. 12, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-76
34-95489 Aug. 12, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-75
34-95486 Aug. 12, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-74
34-95485 Aug. 12, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-73
34-95484 Aug. 12, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-72
34-95483 Aug. 12, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-71
34-95470 Aug. 11, 2022 Order Determining that the Financial Industry Regulatory Authority Conditionally May Access Certain Security-Based Swap Data Obtained by Security-Based Swap Data Repositories
See Also: Confidentiality Agreement between SEC and FINRA Incoming Letter from FINRA to SEC
34-95443 Aug. 9, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-70
34-95408 Aug. 2, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-69
34-95384 Jul. 28, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-68
34-95309 Jul. 19, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-67
34-95304 Jul. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-66
34-95292 Jul. 15, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-65
34-95291 Jul. 15, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-64
34-95247 Jul. 12, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-63
34-95243 Jul. 11, 2022 Order Granting Registration of Demotech, Inc. as a Nationally Recognized Statistical Rating Organization
34-95235 Jul. 8, 2022 Order Denying Stay
See Also:
34-95222 Jul. 8, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-62
34-95221 Jul. 8, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-61
34-95198 Jul. 5, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-60
Second Quarter
33-11074 Jun. 17, 2022 American CryptoFed DAO LLC (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
File No.: 333-259603
33-11073 Jun. 17, 2022 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act (Conformed to Federal Register version)
Other Release Nos.: 34-95122; IC-34619
File No.: S7-19-22
See Also: Notice of Completion of 2012 Rule Reviews
Comments Due: Aug. 23, 2022
Federal Register version (87 FR 37772 )
IA-6050 Jun. 15, 2022 Request for Comment on Certain Information Providers Acting as Investment Advisers (Conformed to Federal Register version)
File No.: S7-18-22
Other Rel. Nos.: IC-34618
Comments Due: Aug. 16, 2022
Comments received are available
Federal Register version (87 FR 37254 )
34-95038 Jun. 3, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-59
34-95033 Jun. 3, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-58
34-95032 Jun. 3, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-57
34-95007 May 31, 2022 24X National Exchange 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.: 10-239
Comments received are available. See Also: otice of Withdrawal of Application Rel. No. 34-97043; Form 1 Application and Exhibits
34-94946 May 19, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-56
34-94896 May 11, 2022 Data Collection Initiation Date and Contingent Phase-In Termination Date for the De Minimis Notional Thresholds of Security-Based Swap Dealing
See Also: Release Nos. 34-66868, 34-87780, and 34-91798
34-94860 May 6, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-55
34-94797 Apr. 27, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-54
33-11054 Apr. 26, 2022 Regulatory Flexibility Agenda
Other Release Nos.: 34-94793, IA-6002, IC-34570
File No.: S7-15-22
Comments received are available.
Comments Due: September 7, 2022 Federal Register version (87 FR 48424)
34-94789 Apr. 25, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-53
34-94767 Apr. 21, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-52
34-94743 Apr. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-51
34-94738 Apr. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-50
34-94737 Apr. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-49
34-94736 Apr. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-48
34-94724 Apr. 14, 2022 Financial Industry Regulatory Authority, Inc. (Order Granting Petition for Review and Scheduling Filing of Statements)
Comments received for SR-FINRA-2021-010.
34-94651 Apr. 8, 2022 Order Cancelling Registration of Municipal Advisor Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-94647 Apr. 8, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-47
34-94644 Apr. 8, 2022 Order Making Fiscal Year 2022 Annual Adjustments to Transaction Fee Rates
34-94589 Apr. 4, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-46
First Quarter
34-94519 Mar. 25, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-45
34-94461 Mar. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-44
34-94460 Mar. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-43
34-94459 Mar. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-42
34-94458 Mar. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-41
34-94442 Mar. 17, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-40
33-11041 Mar. 16, 2022 DF Growth REIT II, LLC (Order Pursuant To Rule 262(b)(2) Of The Securities Act Of 1933 Denying A Waiver Of The Rule 262(a)(7) Disqualification Provision Of Regulation A)
34-94399 Mar. 11, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-39
34-94398 Mar. 11, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-38
34-94397 Mar. 11, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-37
34-94375 Mar. 8, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-36
34-94366 Mar. 7, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-35
34-94305 Feb. 24, 2022 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-94288 Feb. 22, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-34
34-94282 Feb. 18, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-33
34-94242 Feb. 14, 2022 New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. (Order Granting Petition for Review and Scheduling Filing of Statements)
33-11027 Feb. 8, 2022 Order Regarding Review of FASB Accounting Support Fee for 2022 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-94187
34-94022 Jan. 21, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-30
34-94021 Jan. 21, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-31
34-94020 Jan. 21, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-32
34-94019 Jan. 21, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-29
34-93948 Jan. 11, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-28
34-93947 Jan. 11, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-27
34-93946 Jan. 11, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-25
34-93945 Jan. 11, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-26
34-93936 Jan. 10, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-24
34-93935 Jan. 10, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-23
34-93934 Jan. 7, 2022 New York Stock Exchange LLC (Order Granting Petition for Review and Scheduling Filing of Statements)
Comments received are available.
33-11021 Jan. 6, 2022 Adjustments to Civil Monetary Penalty Amounts
Other Release Nos.: 34-93925; IA-5938; IC-34466
34-93913 Jan. 6, 2022 Order Determining Whistleblower Award Claim
File No.: 2022-22