Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-104762 600-45 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
Comments Due: 30 days after date of publication in the Federal Register.
Submit a Comment on S7-2026-03
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
Comments Due: 15 days after date of publication in the Federal Register.
Submit a Comment on SIPC-2026-01
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: 30 days after publication in the Federal Register
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: 30 days after publication in the Federal Register
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: 30 days after publication in the Federal Register
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: 30 days after publication in the Federal Register
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: 30 Days After Date Of Publication In The Federal Register
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
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
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
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: September 22, 2025
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
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
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
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
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 Whistleblower 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
34-102434 2025-17 Order Determining Whistleblower Award Claims
34-102433 2025-18 Order Determining Whistleblower Award Claim
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