Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-104174 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: 21 days after date of publication in the Federal Register.
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
34-104135 2025-54 Order Determining Whistleblower Award Claims
34-104134 2025-53 Order Determining Whistleblower Award Claims
34-103999 Notice of Intention to Cancel Registration of a Certain Municipal Advisor Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
34-103876 2025-52 Order Determining Whistleblower Award Claim
34-103856 2025-51 Order Determining Whistle Blower Award Claim
34-103837 4-861 Order Declaring Effective a Minor Rule Violation Plan
34-103834 2025-50 Order Determining Whistleblower Award Claim
34-103833 2025-49 Order Determining Whistleblower Award Claim
34-103817 2025-48 Order Determining Whistleblower Award Claim
34-103814 2025-47 Order Determining Whistleblower Award Claim
34-103810 2025-46 Order Determining Whistleblower Claim Award
34-103808 2025-45 Order Determining Whistleblower Award Claim
34-103794 2025-44 Order Determining Whistleblower Claim Award
33-11384, 34-103768 Order Making Fiscal Year 2026 Annual Adjustments to Registration Fee Rates
33-11384, 34-103768 Order Making Fiscal Year 2026 Annual Adjustments to Registration Fee Rates
34-103767 010-00248 Dream Exchange Holdings, Inc.; 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...
Comments Due: August 4, 2025
Submit a Comment on 010-00248
34-103727 600-45 ICE Clear Credit LLC; Notice of Filing of an Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: October 6, 2025
View Received Comments
See Also - Form CA-1 Application and Exhibits
Submit a Comment on 600-45
33-11383 Ripple Labs, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933, Granting a Waiver of the Rule 506(d)(1)(ii)(A) Disqualification Provision)
34-103630 2025-43 Order Determining Whistleblower Award Claim
34-103624 600-39 Paxos Securities Settlement Company, LLC; Notice of Filing of an Application for 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.
View Received Comments
See Also - Form CA-1 Application and Exhibits
Submit a Comment on 600-39
34-103604 10-249 Texas Stock 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
View Received Comments
See Also - Form 1 Application and Exhibits
34-103514 600-44 CME Securities Clearing,Inc.; 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 Exchange Act of 1934
View Received Comments
Submit a Comment on 600-44
34-103477 4-861 Notice of Filing of Proposed Minor Rule Violation Plan
34-103472 2025-42 Order Determining Whistleblower Award Claim
34-103471 2025-41 Order Determining Whistleblower Award Claim
34-103470 2025-40 Order Determining Whistleblower Award Claim
34-103430 010-00248 Dream Exchange Holdings, Inc.; 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: August 4, 2025
See Also - Form 1 Application and Exhibits
Submit a Comment on 010-00248
34-103422 10-249 In the Matter of the Application of Texas Stock Exchange LLC for Registration as a National Securities Exchange; Order Instituting Proceedings to Determine Whether to Grant or Deny an Application for Registration as a National Securities Exchange under...
View Received Comments
33-11379, 34-103337, IA-6891, IC-35635 S7-2025-02 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
See Also - Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions
Submit a Comment on S7-2025-02
33-11379, 34-103337, IA-6891, IC-35635 S7-2025-02 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
See Also - Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions
Submit a Comment on S7-2025-02
33-11379, 34-103337, IA-6891, IC-35635 S7-2025-02 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
See Also - Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions
Submit a Comment on S7-2025-02
33-11379, 34-103337, IA-6891, IC-35635 S7-2025-02 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
See Also - Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions
Submit a Comment on S7-2025-02
34-103281 2025-39 Order Determining Whistleblower Award Claim
34-103254 2025-38 Order Determining Whistleblower Award Claim
34-103229 2025-37 Order Determining Whistleblower Award Claim
34-103225 2025-36 Order Determining Whistleblower Award Claim
34-103208 2025-35 Order Determining Whistleblower Award Claim
34-103202 2025-34 Order Determining Whistleblower Award Claim
34-103197 2025-33 Order Determining Whistleblower Award Claim
34-103177 2025-32 Order to Determine Whistleblower Award Claim
34-103172 2025-31 Order Determining Whistleblower Award Claim
34-103171 2025-30 Order Determining Whistleblower Award Claim
34-103170 2025-29 Order Determining Whistleblower Award Claim
34-103162 2025-28 Order Determining Whistleblower Award Claim
34-103157 010-00248 Dream Exchange Holdings, Inc.; 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
Comments Due: August 4, 2025
Submit a Comment on 010-00248
34-102987 2025-27 Order Determining Whistleblower Award Claim
34-102901 2025-26 Order Determining Whistleblower Award Claim
34-102896 2025-25 Order Determining Whistleblower Claim Award
34-102889 600-44 CME Securities Clearing, Inc.; 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: May 15, 2025
View Received Comments
Submit a Comment on 600-44
34-102886 S7-34-10 Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) and Security-Based Swap Data Repository Rules; Extension
File Nos.: S7-34-10, S7-35-10 View Received Comments
Federal Register version
34-102886 S7-35-10 Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) and Security-Based Swap Data Repository Rules; Extension
File Nos.: S7-34-10, S7-35-10 View Received Comments
Federal Register version
33-11374 Aegon Ltd..: Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer
34-102853 10-244 Green Impact Exchange, LLC; Findings, Opinion, and Order of the Commission
View Received Comments
34-102806 2025-24 Order Determining Whistleblower Award Claim
34-102779 Order Making Fiscal Year 2025 Annual Adjustments to Transaction Fee Rates
34-102773 10-249 Texas Stock Exchange LLC; Notice of Filing of Application, as Amended, 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
34-102770 2025-23 Order Determining Whistleblower Award Claim
34-102762 2025-22 Order Determining Whistleblower Award Claim
34-102746 2025-21 Order Determining Whistleblower Award Claim
34-102717 2025-20 Order Determining Whistlblower Award Claim
34-102650 10-247 In the Matter of the Application of MX2 LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
Comments Due: January 31, 2025
View Received Comments
Submit a Comment on 10-247
34-102541 Notice of Designation of Entity to Maintain and Operate the Lost and Stolen Securities Program
34-102535 10-244 Green Impact 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
View Received Comments
See Also - Form 1 Application and Exhibits
34-102512 2025-19 Order Determining Whistleblower Award Claim
34-102484 010-00248 Dream Exchange Holdings, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
Comments Due: April 17, 2025
See Also - Form 1 Application and Exhibits
Submit a Comment on 010-00248
34-102434 2025-17 Order Determining Whistleblower Award Claims
34-102433 2025-18 Order Determining Whistleblower Award Claim
34-102410 Order Granting Petition for Review and Scheduling Filing of Statements (File No. SR-NASDAQ-2024-016)
34-102339 2025-16 Order Determining Whistleblower Award Claim
34-102305 Order Granting Registration of Security-Based Swap Execution Facilities
34-102302 4-845 Self-Regulatory Organizations; MIAX Emerald, LLC; Order Declaring Effective a Minor Rule Violation Plan
View Received Comments
33-11360, 34-102235 Order Regarding Review of Financial Accounting Standards Board (“FASB”) Accounting Support Fee for 2025 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-11360, 34-102235 Order Regarding Review of Financial Accounting Standards Board (“FASB”) Accounting Support Fee for 2025 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-102232 2025-15 Order Determining Whistleblower Award Claim
34-102223 10-244 Green Impact 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...
View Received Comments
34-102206 2025-14 Order Determining Whistleblower Award Claim
34-102200 600-44 CME Securities Clearing, Inc.; Notice of Filing of an Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: March 10, 2025
View Received Comments
See Also - Form CA-1 Application and Exhibits
Submit a Comment on 600-44
34-102159 2025-13 Order Determining Whistleblower Award Claim
34-102158 2025-12 Order Determining Whistleblower Award Claim
33-11350, 34-102134, IA-6808, IC-35442 Adjustments to Civil Monetary Penalty Amounts
33-11350, 34-102134, IA-6808, IC-35442 Adjustments to Civil Monetary Penalty Amounts
33-11350, 34-102134, IA-6808, IC-35442 Adjustments to Civil Monetary Penalty Amounts
33-11350, 34-102134, IA-6808, IC-35442 Adjustments to Civil Monetary Penalty Amounts
34-102114 2025-11 Order Determining Whistleblower Award Claim
34-102023 2025-10 Order Determining Whistleblower Award Claim
34-101986 Omnibus Order Extending the Engagement of Two Tax Administrators for Appointment on a Case-By-Case Basis in Administrative Proceedings that Establish Distribution Funds
34-102004 2025-9 Order Determining Whistleblower Claim Award
33-11345, 34-101950 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2025
See Also - Press Release
33-11345, 34-101950 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2025
See Also - Press Release
34-101932 Amended and Restated Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap Dealers and Major Security-Based Swap Participants that are not U.S. Persons and are Relying on Substituted Compli
34-101915 2025-8 Order Determining Whistleblower Claim Award
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