Other Commission Orders, Notices, and Information

Archive of other SEC Orders, Notices and Information available include:

Second Quarter |  First Quarter

Additional Archives

Release No. Date Details
Second Quarter
34-78161 Jun. 28, 2016 Barclays Capital Inc. (Order Granting Accelerated Effectiveness of Notice Regarding Change of Method for Computing Deductions for Market and Credit Risk)
34-78169 Jun. 27, 2016 Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, Canada and the U.S. Extractive Industries Transparency Initiative as Substantially Similar to the Requirements of Rule 13q-1 under the Securities Exchange Act of 1934 ("Exchange Act")
See also:  Final Rule Release No. 34-78167
33-10105 Jun. 27, 2016 SEC Advisory Committee on Small and Emerging Companies (Notice of meeting - July 19, 2016)
Other Release No.: 34-78158
File No.: 265-27
Comments Due:  July 15, 2016
Comments received are available.
33-10102 Jun. 22, 2016 Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - July 14, 2016)
Other Release No.: 34-78127
File No.: 265-28
Comments Due:  July 14, 2016
Comments received are available.
34-78101 Jun. 17, 2016 In the Matter of the Application of Investors' Exchange, LLC for Registration as a National Securities Exchange, Findings, Opinion, and Order of the Commission
File No.: 10-222
See also: Release No. 34-77406 and Notice of Filing of Application
Federal Register version (81 FR 41141)
SIPA-177 Jun. 15, 2016 Notice of Filing of Proposed Bylaw Amendments Relating to Assessment of SIPC Members
File No. SIPC-2016-02
Comments Due: July 11, 2016
Comments received are available.
Submit comments on SIPC-2016-02
IA-4421 Jun. 14, 2016 Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act of 1940
34-78040 Jun. 10, 2016 Equity Market Structure Advisory Committee Meeting (Notice of telephonic meeting)
File No.: 265-29
Comments Due:  July 5, 2016
34-78025 Jun. 9, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-13
34-77948 May 31, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-12
34-77873 May 20, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-11
33-10079 May 19, 2016 Investor Advisory Committee Meeting (Notice of Telephonic Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - June 7, 2016)
Other Release No.: 34-77857
File No.: 265-28
Comments Due:  June 7, 2016
Comments received are available.
IA-4388 May 18, 2016 Performance Based Investment Advisory Fees
File No.: S7-08-16
34-77843 May 17, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-10
34-77833 May 13, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-9
34-77751 Apr. 29, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-8
34-77746 Apr. 29, 2016 Steven Rattner (Order Vacating Commission Approval Order)
Note: This Order vacates the March 14, 2016 Order 34-77360
33-10074 Apr. 29, 2016 SEC Advisory Committee on Small and Emerging Companies (Notice of Meeting)
File No.:  265-27
Other Release No.: 34-77743
Comments Due:  May 16, 2016
Comments received are available.
34-77699 Apr. 22, 2016 ICE Trade Vault (Notice of Filing of Application for Registration as a Security-Based Swap Data Repository under Section 13(n) of the Securities Exchange Act of 1934)
File No.: SBSDR-2016-01
Comments Due:  May 31, 2016
Comments received are available. ICE Trade Vault's Form SDR application and non-confidential exhibits thereto are available in EDGAR. For ease of reference, the public may access copies of these materials at ICE Trade Vault Form SDR Application and Exhibits.
33-10073 Apr. 22, 2016 Order Regarding Review of FASB Accounting Support Fee for 2016 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-77629 Apr. 15, 2016 Public Availability of the Securities and Exchange Commission's FY 2014 Service Contract Inventory
(Notice)
34-77543 Apr. 6, 2016 Equity Market Structure Advisory Committee
(Notice of Meeting)
File No.: 265-29
Comments received are available.
34-77530 Apr. 5, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-7
34-77529 Apr. 5, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-6
First Quarter
SIPA-176 Mar. 30, 2016 Securities Investor Protection Corporation (Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount)
File No.: SIPC-2016-01
See also: Notice: Rel. No. SIPA-174
33-10058 Mar. 23, 2016 Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee)
Other Release No.: 34-77432
File No.: 265-28
Comments Due: April 14, 2016
Comments received are available.
33-10056 Mar. 18, 2016 Regulatory Flexibility Agenda
Other Release No.: 34-77408, IA-4354, IC-32031
File No.: S7-04-16
Comments Due: July 11, 2016
34-77406 Mar. 18, 2016 Investors’ Exchange LLC (Notice of Filing of Amendment Nos. 2, 3, and 4 to, and Order Instituting Proceedings to Determine Whether to Grant or Deny, and Notice of Designation of 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, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto)
See also: Notice of Filing of Application
File No.: 10-222
Comments Due:  April 14, 2016
Comments received are available.
34-77382 Mar. 16, 2016 Order Denying Petition for Review
34-77368 Mar. 14, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-5
33-10054 Mar. 14, 2016 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2016
Other Release No.: 34-77367
34-77360 Mar. 14, 2016 Steven Rattner (Order Approving Application for Relief from a Statutory Disqualification)
Note: This Order has been vacated by the April 29, 2016 Order 34-77746
SIPA-175 Mar. 14, 2016 Securities Investor Protection Corporation (Corrected to conform to the Federal Register version)
Effective Date: 14 days after publication in the Federal Register
File No.: SIPC-2015-01
See also:  Notice: Rel. No. SIPA-173, Order: Rel. No. SIPA-176
34-77322 Mar. 8, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-4
33-10043 Feb. 19, 2016 Tigon (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
File No.: 333-201823
SIPA-174 Feb. 22, 2016 Securities Investor Protection Corporation
File No.: SIPC-2016-01
Comments Due:  March 11, 2016
See Also: Order: Rel. No. SIPA-176
34-77112 Feb. 11, 2016 Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan and Denying Motions
See also: Order, Release Nos. 34-74452, 34-74136
File No.:  SR-OCC-2015-02
See also:
34-77112 Feb. 11, 2016 Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan and Denying Motions
See also: Order, Release Nos. 34-74452, 34-74136
File No.:  SR-OCC-2015-02
See also:
33-10034 Feb. 5, 2016 Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-77064
File No.:  265-27
Comments Due: February 23, 2016
34-77037 Feb. 2, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-3
33-10030 Feb. 2, 2016 Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Order Under Rules 262(b)(2), 405, 505(b)(2)(iii)(C), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 Granting Waivers of the Disqualification Provisions of Rules 262(a)(4)(ii), 505(b)(2)(iii), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Granting Waivers from Being Ineligible Issuers )
File Nos.: 3-17084; 3-17085; 3-17086; 3-17087; 3-17088; 3-17089; 3-17090; 3-17091; 3-17092; 3-17093; 3-17094; 3-17095; 3-17096 and 3-17097
See also: Orders, Release Nos. 33-10016, 33-10017, 33-10018, 33-10019, 33-10020, 33-10021, 33-10022, 33-10023, 33-10024, 33-10025, 33-10026, 33-10027, 33-10028, 33-10029
33-10012 Jan. 31, 2016 Barclays PLC and Barclays Bank PLC (Order Under Rule 405 of The Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
File No.: 3-17077
See also: Order, Release No. 33-10010
33-10011 Jan. 31, 2016 Barclays Capital Inc. (Order Under Rule 506(d) of The Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
File No.: 3-17077
See also: Order, Release No. 33-10010
34-76998 Jan. 29, 2016 ISE Mercury, LLC (In the Matter of the Application of ISE Mercury, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission)
File No.: 10-221
See also: Notice: Release No. 34-75884; Form 1 Application and Exhibits; Amendment No. 2
34-76921 Jan. 15, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-2
34-76883 Jan. 13, 2016 Equity Market Structure Advisory Committee (Notice of Meeting)
File No.: 265-29
Comments received are available.
IA-4308 Jan. 8, 2016 Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-76848 Jan. 7, 2016 Order Making Fiscal Year 2016 Annual Adjustments to Transaction Fee Rates

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