Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-101397 10-244 Green Impact Exchange, LLC; 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: 21 Days After Date of Publication in the Federal Register
View Received Comments
Submit a Comment on 10-244
33-11319, 34-101375, IC-35361 S7-2024-06 Regulatory Agenda; Semiannual Regulatory Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-2024-06
33-11319, 34-101375, IC-35361 S7-2024-06 Regulatory Agenda; Semiannual Regulatory Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-2024-06
33-11319, 34-101375, IC-35361 S7-2024-06 Regulatory Agenda; Semiannual Regulatory Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-2024-06
34-101351 2025-4 Order Determining Whistleblower Award Claim
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
Comments Due: September 24, 2024
View Received Comments
Submit a Comment on 10-242
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
Submit a Comment on 10-242
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
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
Submit a Comment on SBSDR-2023-01
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
Comments Due: September 6, 2024
View Received Comments
See Also - Form 1 Application and Exhibits
Submit a Comment on 10-244
34-100543 2024-30 Order Determining Whistleblower Award Claim
34-100539 10-240 In the Matter of the Application of MIAX Sapphire, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
View Received Comments
See Also - Release No. 34-98746, Form 1 Application and Exhibits
34-100509 Availability of SEC Online Comment Form Option
34-100498 2024-29 Order Determining Whistleblower Award Claim
34-100393 2024-28 Order Determining Whistleblower Award Claim
34-100392 2024-27 Order Determining Whistleblower Award Claim
34-100385 2024-26 Order Determining Whistleblower Award Claim
34-100358 2024-25 Order Determining Whistleblower Award Claim
PA-62 S7-2024-04 Privacy Act of 1974: Systems of Records
Comments Due: 30 Days After Date Of Publication In The Federal Register
Submit a Comment on S7-2024-04
34-100312 2024-24 Order Determining Whistleblower Award Claim
34-100309 2024-23 Order Determining Whistleblower Award Claim
34-100264 Notice: Public Availability of the Securities and Exchange Commission’s Fiscal Year (FY) 2021 Service Contract Inventory
34-100262 2024-21 Order Determining Whistleblower Award Claim
34-100259 2024-20 Order Determining Whistleblower Award Claim
34-100254 10-242 24X National Exchange LLC ; 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: June 27, 2024
View Received Comments
Submit a Comment on 10-242
34-100252 2024-19 Order Determining Whistleblower Award Claim
33-11287, 34-100157, IA-6605, IC-35194 S7-2024-03 Regulatory Flexibility Agenda
Comments Due: September 16, 2024
View Received Comments
See Also - Federal Register Version
Submit a Comment on S7-2024-03
33-11287, 34-100157, IA-6605, IC-35194 S7-2024-03 Regulatory Flexibility Agenda
Comments Due: September 16, 2024
View Received Comments
See Also - Federal Register Version
Submit a Comment on S7-2024-03
33-11287, 34-100157, IA-6605, IC-35194 S7-2024-03 Regulatory Flexibility Agenda
Comments Due: September 16, 2024
View Received Comments
See Also - Federal Register Version
Submit a Comment on S7-2024-03
33-11287, 34-100157, IA-6605, IC-35194 S7-2024-03 Regulatory Flexibility Agenda
Comments Due: September 16, 2024
View Received Comments
See Also - Federal Register Version
Submit a Comment on S7-2024-03
34-100068 2024-18 Order Determining Whistleblower Award Claim
34-100025 2024-17 Order Determining Whistleblower Award Claim
34-99973 Order Making Fiscal Year 2024 Annual Adjustments to Transaction Fee Rates
34-99939 2024-16 Order Determining Whistleblower Award Claim
34-99929 2024-15 Order Determining Whistleblower Award Claim
34-99920 2024-14 Order Determining Whistleblower Award Claim
34-99916 2024-13 Order Determining Whistleblower Award Claim
34-99915 Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013
34-99914 2024-12 Order Determining Whistleblower Award Claim
33-11280, 34-99908 S7-10-22 In the Matter of the Enhancement and Standardization of Climate-Related Disclosures for Investors (Order Issuing Stay)
View Received Comments
Federal Register version
33-11280, 34-99908 S7-10-22 In the Matter of the Enhancement and Standardization of Climate-Related Disclosures for Investors (Order Issuing Stay)
View Received Comments
Federal Register version
34-99892 Order Cancelling Registration of Certain Municipal Securities Dealers Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-99890 2024-11 Order Determining Whistleblower Award Claim
34-99671 Notice of Intention to Cancel Registration of Certain Municipal Securities Dealers Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-99670 2024-10 Order Determining Whistleblower Award Claim
34-99669 2024- 9 Order Determining Whistleblower Award Claim
34-99657 J.P. Morgan Securities LLC (“JPMS LLC”) and JPMorgan Chase Bank, N.A.
34-99614 10-242 24X National Exchange LLC; 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 18, 2024
View Received Comments
See Also - Form 1 Application and Exhibits
Submit a Comment on 10-242
Federal Register version ((89 FR 15621))
33-11273, 34-99583 Order Regarding Review of FASB Accounting Support Fee For 2024 Under Section 109 of The Sarbanes-Oxley Act of 2002
33-11273, 34-99583 Order Regarding Review of FASB Accounting Support Fee For 2024 Under Section 109 of The Sarbanes-Oxley Act of 2002
33-11270 Certain Broker-Dealer Practices
34-99313 2024-8 Order Determining Whistleblower Award Claim
34-99312 2024-7 Order Determining Whistleblower Award Claim
34-99331 Order Granting FINRA’s Application For Relief From Certain Statutory Disqualification
33-11263, 34-99276, IA-6521, IC-35085 Adjustments to Civil Monetary Penalty Amounts
33-11263, 34-99276, IA-6521, IC-35085 Adjustments to Civil Monetary Penalty Amounts
33-11263, 34-99276, IA-6521, IC-35085 Adjustments to Civil Monetary Penalty Amounts
33-11263, 34-99276, IA-6521, IC-35085 Adjustments to Civil Monetary Penalty Amounts
34-99230 2024-6 Order Determining Whistleblower Award Claim
34-99229 2024-5 Order Determining Whistleblower Award Claim
33-11258, 34-99150 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2024
See Also - Press Release
33-11258, 34-99150 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2024
See Also - Press Release
34-99079 2024-4 Order Determining Whistleblower Award Claim
34-99070 2024-3 Order Determining Whistleblower Award Claim
34-99060 PCAOB-2023-02 Order Granting Approval of Auditing Standard Governing the Auditor’s Use of Confirmation
34-99011 S7-21-21 In the Matter of Share Repurchase Disclosure Modernization (Order Issuing Stay)
34-98985 2024-2 Order Determining Whistleblower Award Claim
34-98902 4-809 Order Granting ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
See Also - ICEU CA Withdrawal Request Letter
PA-61 S7-19-23 Privacy Act of 1974: Systems of Records
Comments Due: November 30, 2023
Submit a Comment on S7-19-23
Federal Register version (88 FR 74550)
34-98746 10-240 MIAX Sapphire, LLC; Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
Comments Due: December 4, 2023
View Received Comments
See Also - Form 1 Application and Exhibits
34-98736 2024-1 Order Determining Whistleblower Award Claim
33-11252, 34-98699, IA-6454, IC-35030 S7-17-23 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
33-11252, 34-98699, IA-6454, IC-35030 S7-17-23 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
33-11252, 34-98699, IA-6454, IC-35030 S7-17-23 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
33-11252, 34-98699, IA-6454, IC-35030 S7-17-23 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
34-98689 PCAOB-2023-02 Notice of Filing of Proposed Rules on the Auditor’s Use of Confirmation, and Other Amendments to Related PCAOB Standards
Comments Due: November 7, 2023
View Received Comments
Submit a Comment on PCAOB-2023-02
34-98680 Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-98672 Public Availability of the Security and Exchange Commission's FY 2020 Service Contract Inventory
34-98668 Order Regarding Net Capital Computation for Jefferies Financial Services, Inc.
34-98642 Order Scheduling Filing of Statements of Review for SR-FINRA-2022-032
34-98655 2023-84 Order Determining Whistleblower Award Claim
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