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Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-100556 4-631 Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Twenty-Third Amendment to the National Market System Plan to Address Extraordinary Market Volatility
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
See Also - Form 1 Application and Exhibits
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
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
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
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: 30 Days After Date Of Publication In The Federal Register
33-11287, 34-100157, IA-6605, IC-35194 S7-2024-03 Regulatory Flexibility Agenda
Comments Due: 30 Days After Date Of Publication In The Federal Register
33-11287, 34-100157, IA-6605, IC-35194 S7-2024-03 Regulatory Flexibility Agenda
Comments Due: 30 Days After Date Of Publication In The Federal Register
33-11287, 34-100157, IA-6605, IC-35194 S7-2024-03 Regulatory Flexibility Agenda
Comments Due: 30 Days After Date Of Publication In The Federal Register
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
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
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
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
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
33-11249 Certain Broker-Dealer Practices
34-98590 Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
34-98488 Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc.
See Also - FINRA Incoming Fingerprint Plan Cover Letter
34-98340 2023-83 Order Determining Whistleblower Award Claim
34-98331 4-809 Notice of Filing and Request for Comment on ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
Comments Due: October 5, 2023
34-98236 2023-82 Order Determining Whistleblower Award Claim
34-98235 2023-81 Order Determining Whistleblower Award Claim
33-11225; 34-98226; IA-6388; IC-34993, S7-14-23 Fall 2023 Regulatory Flexibility Agenda
Comments Due: March 11, 2024
View Received Comments
Federal Register version
33-11225; 34-98226; IA-6388; IC-34993, S7-14-23 Fall 2023 Regulatory Flexibility Agenda
Comments Due: March 11, 2024
View Received Comments
Federal Register version
33-11224; 34-98223 Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates
34-98219 2023-79 Order Determining Whistleblower Award Claim
34-98220 2023-80 Order Determining Whistleblower Award Claim
34-98208 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-98198 2023-77 Order Determining Whistleblower Award Claim
34-98199 2023-78 Order Determining Whistleblower Award Claim
34-98196 2023-76 Order Determining Whistleblower Award Claims
34-98117 Order Extending the Effective Date of the Form BDW of Monmouth Capital Management LLC
33-11221 Certain Broker-Dealer Practices
34-98054 2023-75 Order Determining Whistleblower Award Claim
34-97879 2023-74 Order Determining Whistleblower Award Claim
IA-6339 Order Cancelling Registrations of Certain Investment Advisers Pursuant To Section 203(H) of the Investment Advisers Act of 1940
34-97838 2023-73 Order Determining Whistleblower Award Claim
34-97831 2023-72 Order Determining Whistleblower Award Claim
34-97826 2023-71 Order Determining Whistleblower Award Claim
34-97805 2023-70 Order Determining Whistleblower Award Claim
34-97804 2023-69 Order Determining Whistleblower Award Claim
34-97803 2023-68 Order Determining Whistleblower Award Claim