Other Commission Orders, Notices, and Information

Commission orders, notices, and other information in miscellaneous categories such as whistleblower award claims, fee rates, and specific requests for public comment.

Release Number Issue Date File Number Details
34-101299 2025-3 Order Determining Whistleblower Award Claim
34-101280 2025-2 Order Determining Whistleblower Award Claim
34-101283 4-844 Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: 21 days after date of publication in the Federal Register.
Submit a Comment on 4-844
34-101222 2025-1 Order Determining Whistleblower Award Claim
34-101211 2024-39 Order Determining Whistleblower Award Claim
34-101207 Order Cancelling Registration of Municipal Advisor, Development & Public Finance, LLC, Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
33-11308 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(a)(4)(II), 506(d)(i)(IV)(b), And 602(c)(3) of the Securities
34-100884 10-242 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
View Received Comments
34-100839 10-242 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
Comments Due: 21 days from publication in the Federal Register.
View Received Comments
See Also - Form 1 Application and Exhibits
34-100818 2024-38 Order Determining Whistleblower Award Claim
34-100815 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
34-100812 2024-36 Order Determining Whistleblower Claim Award
34-100809 2024-37 Order Determining Whistleblower Award Claim
33-11299, 34-100784 Order Making Fiscal Year 2025 Annual Adjustments to Registration Fee Rates
34-100771 2024-34 Order Determining Whistleblower Award Claim
34-100770 2024-35 Order Determining Whistleblower Award Claim
33-11298 Off-Channel Communications at Registered Entities
34-100725 Order Extending the Effective Date of the Form BDW of Monmouth Capital Management LLC
34-100648 2024-33 Order Determining Whistleblower Award Claim
34-100638 SBSDR-2023-01 KOR Reporting, Inc.; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
Comments Due: August 28, 2024
See Also - SDR Applications and Exhibits
34-100614 2024-32 Order Determining Whistleblower Award Claim
34-100605 2024-31 Order Determining Whistleblower Award Claim
34-100547 10-244 Green Impact Exchange, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
View Received Comments
See Also - Form 1 Application and Exhibits
34-100543 2024-30 Order Determining Whistleblower Award Claim
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