Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-105960 600-47 Notice of Filing of an Application, as Amended, for Temporary Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: 45 days after date of publication in the Federal Register.
See Also - Form CA-1 Application and Exhibits 
Submit a Comment on 600-47
34-105857 2026-39 Order Determining Whistleblower Award Claim
34-105855 2026-38 Order Determining Whistleblower Award Claim
34-105851 2026-37 Order Determining Whistleblower Award Claim
34-105841 2026-36 Order Determining Whistleblower Award Claim
34-105840 2026-35 Order Determining Whistleblower Award Claim
34-105839 2026-34 Order Determining Whistleblower Award Claim
33-11428, 34-105832, IA-6977, IC-36237 No Adjustment to Civil Monetary Penalty Amounts
33-11428, 34-105832, IA-6977, IC-36237 No Adjustment to Civil Monetary Penalty Amounts
33-11428, 34-105832, IA-6977, IC-36237 No Adjustment to Civil Monetary Penalty Amounts
33-11428, 34-105832, IA-6977, IC-36237 No Adjustment to Civil Monetary Penalty Amounts
34-105828 2026-33 Order Determining Whistleblower Award Claim
34-105812 Order Granting Application of Texas Stock Exchange LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
34-105810 2026-31 Order Determining Whistleblower Award Claim
33-11426, 34-105808, IC-36228 S7-2026-24 Request for Comment on Novel ETFs
Comments Due: August 31, 2026
View Received Comments
Submit a Comment on S7-2026-24
Federal Register version
33-11426, 34-105808, IC-36228 S7-2026-24 Request for Comment on Novel ETFs
Comments Due: August 31, 2026
View Received Comments
Submit a Comment on S7-2026-24
Federal Register version
33-11426, 34-105808, IC-36228 S7-2026-24 Request for Comment on Novel ETFs
Comments Due: August 31, 2026
View Received Comments
Submit a Comment on S7-2026-24
Federal Register version
34-105811 2026-32 Order Determining Whistleblower Award Claim
34-105793 2026-30 Order Determining Whistleblower Award Claim
34-105792 2026-29 Order Determining Whistleblower Award Claim
34-105783 2026-28 Order Determining Whistleblower Award Claim
34-105782 2026-27 Order Determining Whistle Blower Award Claim
34-105781 S7-2026-23 Joint Request for Comment on Further Implementation of Portfolio Margining and Cross-Margining of Securities and Derivatives
Comments Due: August 31, 2026
View Received Comments
Submit a Comment on S7-2026-23
34-105775 2026-26 Order Determining Whistleblower Award Claim
34-105774 4-897 Order Declaring Effective a Minor Rule Violation Plan
34-105772 2026-25 Order Determining Whistle Blower Award Claim
34-105750 2026-24 Order Determining Whistleblower Award Claim
34-105749 2026-23 Order Determining Whistleblower Award Claim
34-105748 2026-22 Order Determining Whistleblower Award Claim
34-105745 2026-21 Order Determining Whistleblower Award Claim
34-105744 2026-20 Order Determining Whistleblower Award Claim
34-105742 2026-19 Order Determining Whistleblower Award Claim
33-11424, 34-105735 S7-2026-21 Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance
Comments Due: August 24, 2026
View Received Comments
Submit a Comment on S7-2026-21
Federal Register version
33-11424, 34-105735 S7-2026-21 Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance
Comments Due: August 24, 2026
View Received Comments
Submit a Comment on S7-2026-21
Federal Register version
34-105734 S7-2026-22 Joint Request for Comment on Swap and Security-Based Swap Data Reporting
Comments Due: August 24, 2026
View Received Comments
Submit a Comment on S7-2026-22
Federal Register version
34-105736 Order Granting Conditional Exemptive Relief, Pursuant to Sections 17A and 36(a) of the Securities Exchange Act of 1934, from the Definition of an “Eligible Secondary Market Transaction” in Rule 17ad-22(a)
34-105709 2026-18 Order Determining Whistleblower Award Claim
34-105622 Declaration of Effectiveness of the Fingerprint Plan of Cboe Exchange, Inc.; Cboe 2 Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGX Exchange, Inc.; Cboe EDGA Exchange, Inc.; and Cboe BYX Exchange, Inc.
See Also - Incoming Fingerprint Plan Cover Letter
34-105562 600-39 Paxos Securities Settlement Company, LLC; Order Granting an Application for Temporary Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934
View Received Comments
Submit a Comment on 600-39
34-105426 2026-17 Order Determining Whistleblower Award Claim
34-105340 Order Granting Application of 24X National Exchange LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
34-105336 10-251 Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by Chicago Mercantile Exchange Inc.
See Also - Form 1-N Application and Exhibits
34-105335 4-897 Notice of Filing of Proposed Minor Rule Violation Plan
34-105315 S7-2026-14 Staff Report on the Definitions of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant"
Comments Due: July 6, 2026
View Received Comments
Submit a Comment on S7-2026-14
Federal Register version
IA-6961 Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940
34-105193 Notice pursuant to Rule 15c3-3a, Note H(b)(3) Regarding Application of the Customer Protection Rule Reserve Computations with Respect to U.S. Treasury Securities
34-105186 2026-16 Order Determining Whistleblower Award Claim
34-105185 2026-15 Order Determining Whistleblower Award Claim
34-105171 2026-14 Order Determining Whistleblower Award Claim
34-105170 2026-13 Order Determining Whistleblower Award Claim
34-105169 2026-12 Order Determining Whistleblower Award Claim
34-105168 2026-11 Order Determining Whistleblower Award Claim
34-105167 2026-10 Order Determining Whistleblower Award Claim
34-105166 2026-9 Order Determining Whistleblower Award Claim
34-105159 2026-8 Order Determining Whistleblower Award Claim
34-105154 2026-7 Order Determining Whistleblower Award Claim
34-105108 Order Regarding the Collateral Broker-Dealers May Pledge When Borrowing Customer Securities
IA-6955 Performance Based Investment Advisory Fees
Federal Register version
SIPA-186 SIPC-2026-01 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...
34-105050 2026-6 Order Determining Whistleblower Award Claim
34-104977 600-39 Notice of Filing of an Amendment to Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: April 6, 2026
View Received Comments
See Also - Form CA-1 Application and Exhibits
Submit a Comment on 600-39
33-11410, 34-104943 Order Regarding Review of FASB Accounting Support Fee for 2026 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-11410, 34-104943 Order Regarding Review of FASB Accounting Support Fee for 2026 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-104909 Order Making Fiscal Year 2026 Annual Adjustments to Transaction Fee Rates
See Also - Notice of Correction
34-104896 2026-5 Order Determining Whistleblower Award Claim
34-104895 2026-4 Order Determining Whistleblower Award Claim
34-104846 Order Granting Petition for Review and Scheduling Filing of Statements (File No. SR-OCC-2025-018)
34-104762 600-45 ICE Clear Credit LLC; Order Granting an Application for Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934
View Received Comments
34-104757 600-39 Paxos Securities Settlement Company, 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 Clearing Agency under Section 17A of the Securities...
View Received Comments
Submit a Comment on 600-39
34-104748 S7-2026-03 Notice of an Application of the Fixed Income Clearing Corporation and Chicago Mercantile Exchange Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 in Connection with the Cross-Margining of U.S. Treasury Securities and Re
33-11405, 34-104698 Archer-Daniels-Midland Company; Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of...
33-11405, 34-104698 Archer-Daniels-Midland Company; Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of...
33-11404 Archer-Daniels- Midland Company; Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer
34-104678 Order Regarding Initial Margin Computation for Nearwater Capital Markets, LTD
33-11401, 34-104653 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Fiscal Year 2026
33-11401, 34-104653 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Fiscal Year 2026
34-104616 2026-3 Order Determining Whistleblower Award Claim
34-104615 2026-2 Order Determining Whistleblower Award Claim
34-104614 2026-1 Order Determining Whistleblower Award Claim
SIPA-185 SIPC-2026-01 Securities Investor Protection Corporation; Notice of Inflation Adjustment Determination
Federal Register version
33-11399, 34-104555, IA-6936, IC-35865 S7-2026-02 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: February 11, 2026
View Received Comments
Submit a Comment on S7-2026-02
33-11399, 34-104555, IA-6936, IC-35865 S7-2026-02 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: February 11, 2026
View Received Comments
Submit a Comment on S7-2026-02
33-11399, 34-104555, IA-6936, IC-35865 S7-2026-02 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: February 11, 2026
View Received Comments
Submit a Comment on S7-2026-02
33-11399, 34-104555, IA-6936, IC-35865 S7-2026-02 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: February 11, 2026
View Received Comments
Submit a Comment on S7-2026-02
34-104540 Order Granting Registration of Clasificadora de Riesgo Pacific Credit Rating S.A.C. as a Nationally Recognized Statistical Rating Organization
PA-63 S7-2025-05 Privacy Act of 1974; System of Records
Comments Due: January 26, 2026
Submit a Comment on S7-2025-05
33-11396 Oppenheimer & Co. Inc.: Order Under Rule 262(b)(2) and Rule 506(d)(2)(ii) of the Securities act of 1933 Granting a Waiver of the Rule 262(a)(2)(iii) and Rule 506(d)(i)(ii)(c) Disqualification Provisions
34-104281 600-44 CME Securities Clearing, Inc.; Order Granting an Application for Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934
View Received Comments
34-104260 010-00248 In the Matter of the Application of Dream Exchange Holdings, Inc. for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
Comments Due: August 4, 2025
34-104220 Order Cancelling Registration of Municipal Advisor, Melio & Company, LLC, Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-104195 600-45 ICE Clear Credit LLC; Order Instituting Proceedings to Determine Whether to Grant or Deny an Application for Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934
View Received Comments
34-104174 600-39 Paxos Securities Settlement Company, LLC; Order Instituting Proceedings to Determine Whether to Grant or Deny an Application for Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934
Comments Due: December 8, 2025
View Received Comments
Submit a Comment on 600-39
34-104146 10-249 In the Matter of the Application of Texas Stock Exchange LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
View Received Comments
34-104141 2025-59 Order Determining Whistleblower Award Claim
34-104143 2025-60 Order Determining Whistleblower Award Claim
34-104145 2025-61 Order Determining Whistleblower Award Claim
34-104142 2025-57 Order Determining Whistleblower Award Claims
34-104139 2025-58 Order Determining Whistleblower Award Claims
34-104137 2025-56 Order Determining Whistleblower Award Claims
34-104136 2025-55 Order Determining Whistleblower Award Claims
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