Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-106610 600-47 Cboe Clear U.S., LLC; 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: 21 days from publication in the Federal Register
View Received Comments
See Also - Form CA-1 Application and Exhibits
Submit a Comment on 600-47
34-106567 10-256 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 ICE Futures U.S., Inc.
See Also - Form 1-N Application and Exhibits
34-106545 2026-55 Order Determining Whistleblower Award Claim
33-11449 4-935 Potential Designations of the Investment Banking Representative License (Series 79) and the Research Analyst License (Series 86 and Series 87) as Qualifying Natural Persons for Accredited Investor Status
Comments Due: December 4, 2026
View Received Comments
Submit a Comment on 4-935
Federal Register version
33-11448 4-934 Potential Designation of Certified Financial Planner Certification as Qualifying Natural Persons for Accredited Investor Status
Comments Due: December 4, 2026
View Received Comments
Submit a Comment on 4-934
Federal Register version
33-11447 4-933 Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status
Comments Due: December 4, 2026
View Received Comments
Submit a Comment on 4-933
Federal Register version
33-11446 4-932 Potential Designation of U.S. Certified Public Accountant License as Qualifying Natural Persons for Accredited Investor Status
Comments Due: December 4, 2026
View Received Comments
Submit a Comment on 4-932
Federal Register version
33-11445 4-931 Potential Designation of Passage of an Accredited Investor Exam to Be Developed by FINRA as Qualifying Natural Persons for Accredited Investor Status
Comments Due: December 4, 2026
View Received Comments
Submit a Comment on 4-931
Federal Register version
34-106536 2026-54 Order Determining Whistleblower Award Claim
34-106535 2026-53 Order Determining Whistleblower Award Claim
34-106532 2026-52 Order Determining Whistleblower Award Claim
34-106531 2026-49 Order Determining Whistleblower Award Claim
34-106530 2026-50 Order Determining Whistleblower Award Claim
34-106528 2026-51 Order Determining Whistleblower Award Claim
34-106525 2026-48 Order Determining Whistleblower Award Claim
34-106517 2026-47 Order Determining Whistleblower Award Claim
34-106513 2026-46 Order Determining Whistleblower Award Claim
34-106512 2026-45 Order Determining Whistleblower Award Claim
34-106511 2026-44 Order Determining Whistleblower Award Claim
34-106510 2026-42 Order Determining Whistleblower Award Claim
34-106509 2026-41 Order Determining Whistleblower Award Claim
34-106508 2026-43 Order Determining Whistleblower Award Claim
33-11442 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
34-106493 4-930 Notice of an Application of Cboe Clear U.S., LLC for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 Regarding the Treatment of Customer Margin Under Item 13 and Note F of Exhibit A to Rule 15c3-3
Comments Due: October 20, 2026
View Received Comments
Submit a Comment on 4-930
Federal Register version
34-106484 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
34-106457 2026-40 Order Determining Whistleblower Award Claim
34-106396 10-255 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 North American Derivatives Exchange, Inc.
See Also - Form 1-N Application and Exhibits
34-106338 SR-NASDAQ-2026-004 Order Granting Petitions for Review and Scheduling Filing of Statements (FIle No. SR-NASDAQ-2026-004)
Comments Due: October 6, 2026
View Received Comments
Submit a Comment on SR-NASDAQ-2026-004
34-106297 10-254 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 Bitnomial Exchange, LLC
See Also - Form 1-N Application and Exhibits
34-106296 10-253 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 KalshiEX LLC
See Also - Form 1-N Application and Exhibits
34-106295 10-252 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 Coinbase Derivatives, LLC
See Also - Form 1-N Application and Exhibits
34-106267 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
34-106203 600-46 DTCC ITP LLC; Notice of Filing of Application for Exemption from Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: October 15, 2026
View Received Comments
See Also - Form CA-1 Application and Exhibits
Submit a Comment on 600-46
34-106202 600-43 TriOptima AB; Notice of Filing of Application for Exemption from Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: October 15, 2026
View Received Comments
See Also - Form CA-1 Application and Exhibits
Submit a Comment on 600-43
34-106201 600-41 OSTTRA Limited; OSTTRA Services, LLC; Notice of Filing of Applications for Exemption from Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
File Nos.: 600-41, 600-42 Comments Due: October 15, 2026
View Received Comments
See Also - OSTTRA Limited - Form CA-1 Application and Exhibits, OSTTRA Services LLC — Form CA-1 Application and Exhibits 
Submit a Comment on 600-41
34-106200 600-40 LSEG Post Trade Services Limited; Notice of Filing of Application for Exemption from Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: October 15, 2026
View Received Comments
See Also - Form CA-1 Application and Exhibits 
Submit a Comment on 600-40
33-11436, 34-106170 Order Making Fiscal Year 2027 Annual Adjustments to Registration Fee Rates
33-11436, 34-106170 Order Making Fiscal Year 2027 Annual Adjustments to Registration Fee Rates
34-106005 SR-Phlx-2025-50 Order Granting Petition for Review and Scheduling Filing of Statements (File No. SR-Phlx-2025-50)
View Received Comments
Submit a Comment on SR-Phlx-2025-50
Federal Register version
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: 21 days from publication in the Federal Register
View Received Comments
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
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