33-11383
Aug. 8, 2025
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
Aug. 5, 2025
2025-43
Order Determining Whistleblower Award Claim
34-103624
Aug. 1, 2025
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 .
See Also -
Form CA-1 Application and Exhibits
34-103604
July 31, 2025
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
Comments Due: August 26, 2025
View Received Comments
See Also -
Form 1 Application and Exhibits
34-103560
July 28, 2025
Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934, from Certain Aspects of Rule 10c-1a
34-103528
July 23, 2025
Order Extending Temporary Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS thereunder, from Certain Requirements of Appendix D, Section 3 of the National Market System...
34-103514
July 21, 2025
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
July 16, 2025
4-861
Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: August 11, 2025
34-103472
July 16, 2025
2025-42
Order Determining Whistleblower Award Claim
34-103471
July 16, 2025
2025-41
Order Determining Whistleblower Award Claim
34-103470
July 16, 2025
2025-40
Order Determining Whistleblower Award Claim
34-103430
July 9, 2025
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
July 9, 2025
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...
Comments Due: August 26, 2025
View Received Comments
34-103281
June 17, 2025
2025-39
Order Determining Whistleblower Award Claim
34-103254
June 13, 2025
2025-38
Order Determining Whistleblower Award Claim
34-103229
June 11, 2025
2025-37
Order Determining Whistleblower Award Claim
34-103225
June 11, 2025
2025-36
Order Determining Whistleblower Award Claim
34-103208
June 9, 2025
2025-35
Order Determining Whistleblower Award Claim
34-103202
June 6, 2025
2025-34
Order Determining Whistleblower Award Claim
34-103197
June 5, 2025
2025-33
Order Determining Whistleblower Award Claim
34-103177
June 4, 2025
2025-32
Order to Determine Whistleblower Award Claim
34-103172
June 3, 2025
2025-31
Order Determining Whistleblower Award Claim
34-103171
June 3, 2025
2025-30
Order Determining Whistleblower Award Claim
34-103170
June 2, 2025
2025-29
Order Determining Whistleblower Award Claim
34-103162
June 2, 2025
2025-28
Order Determining Whistleblower Award Claim
34-103157
May 30, 2025
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
May 5, 2025
2025-27
Order Determining Whistleblower Award Claim
34-102901
April 22, 2025
2025-26
Order Determining Whistleblower Award Claim
34-102896
April 21, 2025
2025-25
Order Determining Whistleblower Claim Award
34-102889
April 18, 2025
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
April 17, 2025
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
April 17, 2025
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
April 14, 2025
Aegon Ltd..: Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer
34-102853
April 11, 2025
10-244
Green Impact Exchange, LLC; Findings, Opinion, and Order of the Commission
View Received Comments
34-102806
April 10, 2025
2025-24
Order Determining Whistleblower Award Claim
34-102779
April 8, 2025
Order Making Fiscal Year 2025 Annual Adjustments to Transaction Fee Rates
34-102773
April 4, 2025
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
Comments Due: August 26, 2025
View Received Comments
See Also -
Form 1 Application and Exhibits
34-102770
April 4, 2025
2025-23
Order Determining Whistleblower Award Claim
34-102762
April 3, 2025
2025-22
Order Determining Whistleblower Award Claim
34-102746
March 31, 2025
2025-21
Order Determining Whistleblower Award Claim
34-102717
March 24, 2025
2025-20
Order Determining Whistlblower Award Claim
34-102650
March 13, 2025
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
34-102541
March 7, 2025
Notice of Designation of Entity to Maintain and Operate the Lost and Stolen Securities Program
34-102535
March 6, 2025
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
March 3, 2025
2025-19
Order Determining Whistleblower Award Claim
34-102484
Feb. 25, 2025
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
Feb. 18, 2025
2025-17
Order Determining Whistleblower Award Claims
34-102433
Feb. 18, 2025
2025-18
Order Determining Whistleblower Award Claim
34-102410
Feb. 12, 2025
Order Granting Petition for Review and Scheduling Filing of Statements (File No. SR-NASDAQ-2024-016)
34-102339
Feb. 4, 2025
2025-16
Order Determining Whistleblower Award Claim
34-102305
Jan. 29, 2025
Order Granting Registration of Security-Based Swap Execution Facilities
34-102302
Jan. 29, 2025
4-845
Self-Regulatory Organizations; MIAX Emerald, LLC; Order Declaring Effective a Minor Rule Violation Plan
View Received Comments
33-11360, 34-102235
Jan. 17, 2025
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
Jan. 17, 2025
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
Jan. 17, 2025
2025-15
Order Determining Whistleblower Award Claim
34-102223
Jan. 16, 2025
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
Jan. 16, 2025
2025-14
Order Determining Whistleblower Award Claim
34-102200
Jan. 15, 2025
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
34-102159
Jan. 13, 2025
2025-13
Order Determining Whistleblower Award Claim
34-102158
Jan. 13, 2025
2025-12
Order Determining Whistleblower Award Claim
33-11350, 34-102134, IA-6808, IC-35442
Jan. 7, 2025
Adjustments to Civil Monetary Penalty Amounts
33-11350, 34-102134, IA-6808, IC-35442
Jan. 7, 2025
Adjustments to Civil Monetary Penalty Amounts
33-11350, 34-102134, IA-6808, IC-35442
Jan. 7, 2025
Adjustments to Civil Monetary Penalty Amounts
33-11350, 34-102134, IA-6808, IC-35442
Jan. 7, 2025
Adjustments to Civil Monetary Penalty Amounts
34-102114
Jan. 6, 2025
2025-11
Order Determining Whistleblower Award Claim
34-102023
Dec. 20, 2024
2025-10
Order Determining Whistleblower Award Claim
34-101986
Dec. 19, 2024
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
Dec. 19, 2024
2025-9
Order Determining Whistleblower Claim Award
33-11345, 34-101950
Dec. 18, 2024
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
Dec. 18, 2024
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2025
See Also -
Press Release
34-101932
Dec. 16, 2024
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
Dec. 16, 2024
2025-8
Order Determining Whistleblower Claim Award
34-101899
Dec. 12, 2024
S7-30-22
Order Granting Partial Stay
View Received Comments
34-101884
Dec. 11, 2024
10-247
MX2 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
Comments Due: January 31, 2025
View Received Comments
See Also -
Form 1 Application and Exhibits
34-101869
Dec. 10, 2024
4-844
Order Declaring Effective a Minor Rule Violation Plan
Comments Due: 21 days after date of publication in the Federal Register.
34-101866
Dec. 10, 2024
SR-NYSEAMER-2024-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee (ORF)
Comments Due: by February 20, 2025. Rebuttal comments should be submitted by March 6, 2025.
See Also -
Exhibit 5
34-101777
Nov. 27, 2024
10-242
In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange, Findings, Opinion, and Order of the Commission
View Received Comments
33-11330, 34-101769, 39-2558
Nov. 27, 2024
S7-2024-08
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 9, 2025
33-11330, 34-101769, 39-2558
Nov. 27, 2024
S7-2024-08
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 9, 2025
33-11330, 34-101769, 39-2558
Nov. 27, 2024
S7-2024-08
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 9, 2025
34-101759
Nov. 26, 2024
4-845
Notice of Filing of Proposed Minor Rule Violation Plan
View Received Comments
34-101729
Nov. 25, 2024
Notice pursuant to Rule 15c3-3a, Note H(b)(3)
Federal Register version
34-101721
Nov. 25, 2024
2025-7
Order Determining Whistleblower Award Claim
34-101692
Nov. 21, 2024
Order Granting FINRA’s Application for Relief From Certain Statutory Disqualification
34-101511
Nov. 4, 2024
SBSDR-2023-01
Security-Based Swap Data Repositories; KOR Reporting, Inc.; Order Approving Application for Registration as a Security-Based Swap Data Repository
See Also -
Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
34-101506
Nov. 4, 2024
2025-6
Order Determining Whistleblower Award Claim
34-101451
Oct. 28, 2024
2025-5
Order Determining Whistleblower Award Claim
34-101431
Oct. 24, 2024
10-242
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
34-101397
Oct. 21, 2024
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
View Received Comments
33-11319, 34-101375, IC-35361
Oct. 17, 2024
S7-2024-06
Regulatory Agenda; Semiannual Regulatory Agenda
Comments Due: 30 days after publication in the Federal Register
33-11319, 34-101375, IC-35361
Oct. 17, 2024
S7-2024-06
Regulatory Agenda; Semiannual Regulatory Agenda
Comments Due: 30 days after publication in the Federal Register
33-11319, 34-101375, IC-35361
Oct. 17, 2024
S7-2024-06
Regulatory Agenda; Semiannual Regulatory Agenda
Comments Due: 30 days after publication in the Federal Register
34-101351
Oct. 16, 2024
2025-4
Order Determining Whistleblower Award Claim
34-101299
Oct. 10, 2024
2025-3
Order Determining Whistleblower Award Claim
34-101280
Oct. 8, 2024
2025-2
Order Determining Whistleblower Award Claim
34-101283
Oct. 8, 2024
4-844
Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: 21 days after date of publication in the Federal Register.
34-101222
Oct. 1, 2024
2025-1
Order Determining Whistleblower Award Claim
34-101211
Sept. 27, 2024
2024-39
Order Determining Whistleblower Award Claim
34-101207
Sept. 27, 2024
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
Sept. 24, 2024
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