33-10466
March 8, 2018
Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting A Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
34-82807
March 6, 2018
2018-5
Order Determining Whistleblower Award Claim
33-10464
March 6, 2018
Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
34-82794
March 1, 2018
SR-BatsBZX-2017-34
Order Granting Petitions for Review and Scheduling Filing of Statements Federal Register version (83 FR 9561)
34-82787
Feb. 27, 2018
Order Granting an Extension of Time to File Audited Financial Statements of DBRS Ratings Limited in Accordance With Exchange Act Rule 17g-3(a)(1)
33-10456A, 34-82656A
Feb. 22, 2018
265-28
Investor Advisory Committee Meeting Federal Register version (83 FR 8727)
33-10456A, 34-82656A
Feb. 22, 2018
265-28
Investor Advisory Committee Meeting Federal Register version (83 FR 8727)
PA-53
Feb. 9, 2018
S7-01-18
Privacy Act of 1974; System of Records Comments Due: Federal Register version (83 FR 6892)
PA-54
Feb. 9, 2018
S7-02-18
Privacy Act of 1974; System of Records Federal Register version (83 FR 6905)
33-10456, 34-82656
Feb. 7, 2018
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (83 FR 6279)
33-10456, 34-82656
Feb. 7, 2018
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (83 FR 6279)
33-10455
Feb. 5, 2018
Wedbush Securities 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)(4)(ii) and Rule 506(d)(1)(iv)(B) Disqualification Provisions)
IA-4849
Jan. 26, 2018
Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisors Act of 1940
34-82562
Jan. 22, 2018
2018-4
Order Determining Whistleblower Award Claim
33-10453, 34-82483
Jan. 10, 2018
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2018 Federal Register version (83 FR 2470)
33-10453, 34-82483
Jan. 10, 2018
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2018 Federal Register version (83 FR 2470)
33-10451, 34-82455, IA-4842, IC-32963
Jan. 8, 2018
Adjustments to Civil Monetary Penalty Amounts Federal Register version (83 FR 1396)
33-10451, 34-82455, IA-4842, IC-32963
Jan. 8, 2018
Adjustments to Civil Monetary Penalty Amounts Federal Register version (83 FR 1396)
33-10451, 34-82455, IA-4842, IC-32963
Jan. 8, 2018
Adjustments to Civil Monetary Penalty Amounts Federal Register version (83 FR 1396)
33-10451, 34-82455, IA-4842, IC-32963
Jan. 8, 2018
Adjustments to Civil Monetary Penalty Amounts Federal Register version (83 FR 1396)
34-82385
Dec. 21, 2017
4-715
MIAX PEARL, LLC; Order Declaring Effective a Minor Rule Violation Plan Comments Due: Federal Register version (82 FR 61613)
34-82384
Dec. 21, 2017
4-714
Miami International Securities Exchange, LLC; Order Declaring Effective a Minor Rule Violation Plan Comments Due: Federal Register version (82 FR 61649)
34-82342
Dec. 18, 2017
Notice of Intention To Cancel Registrations of Certain Transfer Agents Federal Register version (82 FR 60778)
34-82338
Dec. 15, 2017
265-30
Fixed Income Market Structure Advisory Committee View Received Comments Federal Register version (82 FR 60639)
33-10446, 34-82280
Dec. 11, 2017
S7-19-16
Compliance Date for Form 10-D Hyperlink Requirements View Received Comments Federal Register version (82 FR 58731)
33-10446, 34-82280
Dec. 11, 2017
S7-19-16
Compliance Date for Form 10-D Hyperlink Requirements View Received Comments Federal Register version (82 FR 58731)
34-82214
Dec. 5, 2017
2018-3
Order Determining Whistleblower Award Claim
34-82181
Nov. 30, 2017
2018-2
Order Determining Whistleblower Award Claims
34-82146
Nov. 22, 2017
4-715
MIAX PEARL, LLC; Notice of Filing of Proposed Minor Rule Violation Plan Comments Due: Federal Register version (82 FR 56280)
34-82145
Nov. 22, 2017
4-714
Miami International Securities Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan Comments Due: Federal Register version (82 FR 56291)
34-82067
Nov. 13, 2017
SR-OCC-2015-02
In the Matter of the Petitions of: Virtu Financial Inc. and Virtu Americas, LLC and Susquehanna International Group, et al.; Order Granting Motion To Substitute Parties and Motion for Extension of Time; Securities Exchange Act of 1934 View Received Comments Federal Register version (82 FR 54439)
33-10435, 34-82042
Nov. 9, 2017
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (82 FR 52949)
33-10435, 34-82042
Nov. 9, 2017
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (82 FR 52949)
34-81958
Oct. 26, 2017
265-30
Fixed Income Market Structure Advisory Committee Federal Register version (82 FR 50460)
34-81857
Oct. 12, 2017
2018-1
Order Determining Whistleblower Award Claim
33-10424, 34-81839, IA-4789, IC-32857
Oct. 10, 2017
S7-07-17
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (83 FR 2022)
33-10424, 34-81839, IA-4789, IC-32857
Oct. 10, 2017
S7-07-17
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (83 FR 2022)
33-10424, 34-81839, IA-4789, IC-32857
Oct. 10, 2017
S7-07-17
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (83 FR 2022)
33-10424, 34-81839, IA-4789, IC-32857
Oct. 10, 2017
S7-07-17
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (83 FR 2022)
34-81760, IC-32842
Sept. 28, 2017
Order concerning Hurricane Harvey, Hurricane Irma, and Hurricane Maria (Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder)
34-81760, IC-32842
Sept. 28, 2017
Order concerning Hurricane Harvey, Hurricane Irma, and Hurricane Maria (Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder)
34-81687
Sept. 22, 2017
Public Availability of the Securities and Exchange Commission's FY 2015 Service Contract Inventory Federal Register version (82 FR 45639)
34-81628
Sept. 14, 2017
SR-OCC-2015-02
The Options Clearing Corporation (Corrected Order Denying Motion for Stay)
34-81629
Sept. 14, 2017
SR-OCC-2015-02
The Options Clearing Corporation (Corrected Order Scheduling Filing of Statements on Review) View Received Comments Note: The Options Clearing Corporation (Corrected Order Scheduling Filing of Statements on Review) File No.: SR-OCC-2015-02 See also: Capital Plan File: SR-OCC-2015-02 Comments received are available . SIG Motion for Extension of Time Comments of Joseph Kamnik, Senior Vice President and General Counsel, The Options Clearing Corporation Note: The Commission has received this submission from the Options Clearing Corporation in connection with the Corrected Order Scheduling Filing of Statements on Review. The submission contains a reference to an Appendix, which is the subject of a Request for Confidential Treatment by OCC. That Request for Confidential Treatment is currently under consideration.
33-10412, 34-80767
Sept. 12, 2017
265-28
Investor Advisory Committee Meeting View Received Comments Federal Register version (82 FR 43439)
33-10412, 34-80767
Sept. 12, 2017
265-28
Investor Advisory Committee Meeting View Received Comments Federal Register version (82 FR 43439)
33-10407, 34-81476
Aug. 24, 2017
Order Making Fiscal Year 2018 Annual Adjustments to Registration Fee Rates Federal Register version (82 FR 41080)
33-10407, 34-81476
Aug. 24, 2017
Order Making Fiscal Year 2018 Annual Adjustments to Registration Fee Rates Federal Register version (82 FR 41080)
33-10399, 34-81389
Aug. 14, 2017
265-27
SEC Advisory Committee on Small and Emerging Companies View Received Comments Federal Register version (82 FR 39145)
33-10399, 34-81389
Aug. 14, 2017
265-27
SEC Advisory Committee on Small and Emerging Companies View Received Comments Federal Register version (82 FR 39145)
34-81358
Aug. 9, 2017
265-29
Equity Market Structure Advisory Committee Federal Register version (82 FR 38733)
34-81302
Aug. 3, 2017
SBSDR-2016-02
Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository Comments Due: View Received Comments LLC Form SDR Amended Application and Exhibits Federal Register version (82 FR 37276)
34-81227
July 27, 2017
2017-13
Order Determining Whistleblower Award
34-81223
July 27, 2017
SBSDR-2016-01
Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository Comments Due: View Received Comments ICE Trade Vault's Form SDR application and non-confidential exhibits thereto are available in EDGAR. , For ease of reference, the public may access copies of these materials at ICE Trade Vault Form SDR Amended Application and Exhibits , Rel. No. 34-77699 Federal Register version (82 FR 35844)
34-81200
July 25, 2017
2017-12
Order Determining Whistleblower Award
34-81057
June 30, 2017
Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
34-81064
June 30, 2017
3-11292
In the Matter of Certain Disgorgement and Fair Funds in Administrative Proceedings: Notice of Name Change of Appointed Tax Administrator
34-80871
June 7, 2017
2017-11
Order Determining Whistleblower Award
34-80870
June 7, 2017
Commission Statement Concerning a Request for an Interpretation as to Whether a Particular Agreement Is a Swap, Security-Based Swap, or Mixed Swap Exhibits Federal Register version (82 FR 27091)
34-80816
May 31, 2017
Order Making Fiscal Year 2017 Annual Adjustments to Transaction Fee Rates Federal Register version (82 FR 25895)
33-10366, 34-80767
May 25, 2017
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (82 FR 25018)
33-10366, 34-80767
May 25, 2017
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (82 FR 25018)
34-80596
May 4, 2017
2017-10
Order Determining Whistleblower Award Claims
34-80571
May 2, 2017
2017-9
Order Determining Whistleblower Award Claim
IA-4691
April 26, 2017
3-13417
Michael L. Silver (Order Granting Consent to Associate)
34-80521
April 25, 2017
2017-8
Order Determining Whistleblower Award Claim
33-10350, 34-80512
April 24, 2017
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: Federal Register version (82 FR 19413)
33-10350, 34-80512
April 24, 2017
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: Federal Register version (82 FR 19413)
34-80511
April 24, 2017
SR-BatsBZX-2016-30
Order Granting Petition for Review and Scheduling Filing of Statements; in the Matter of Bats BZX Exchange, Inc.; Regarding an Order Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, To List and Trade Shares Issued by the Winklevoss Bitcoin Trust Rel. No. 34-80206 , Rel. No. 34-79725 , Rel. No. 34-79183 , Rel. No. 34-79084 , Rel. No. 34-78653 , Rel. No. 34-78262 Federal Register version (82 FR 19770)
33-10349, s.: 34-80479
April 18, 2017
S7-02-17
Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies); Extension of Comment Period View Received Comments 33-10835.pdf , Proposed Rule Rel. No. 33-10688 Federal Register version (82 FR 18877)
33-10349, s.: 34-80479
April 18, 2017
S7-02-17
Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies); Extension of Comment Period View Received Comments 33-10835.pdf , Proposed Rule Rel. No. 33-10688 Federal Register version (82 FR 18877)
34-80477
April 18, 2017
4-707
ISE Mercury, LLC; Order Declaring Effective a Minor Rule Violation Plan Release No. 34-80259 Federal Register version (82 FR 18942)
33-10333
March 31, 2017
S7-04-17
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (82 FR 40452)
34-80259
March 16, 2017
4-707
ISE Mercury, LLC; Notice of Filing of Proposed Minor Rule Violation Plan Comments Due: Release No. 34-80477 Federal Register version (82 FR 14556)
34-80245
March 14, 2017
265-29
Equity Market Structure Advisory Committee Comments Due: View Received Comments Federal Register version (82 FR 14394)
33-10321, 34-80131
March 1, 2017
S7-02-17
Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies) View Received Comments 33-10835.pdf , Proposed Rule Rel. No. 33-10688 Federal Register version (82 FR 12757)
33-10321, 34-80131
March 1, 2017
S7-02-17
Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies) View Received Comments 33-10835.pdf , Proposed Rule Rel. No. 33-10688 Federal Register version (82 FR 12757)
33-10320, 34-80128
March 1, 2017
IFRS Taxonomy for Foreign Private Issuers That Prepare Their Financial Statements in Accordance With International Financial Reporting Standards as Issued by the International Accounting Standards Board DERA Taxonomies Federal Register version (82 FR 12641)
33-10320, 34-80128
March 1, 2017
IFRS Taxonomy for Foreign Private Issuers That Prepare Their Financial Statements in Accordance With International Financial Reporting Standards as Issued by the International Accounting Standards Board DERA Taxonomies Federal Register version (82 FR 12641)
34-80115
Feb. 28, 2017
2017-7
Order Determining Whistleblower Award Claim
33-10312, 34-80096
Feb. 24, 2017
Securities and Exchange Commission Evidence Summit Federal Register version (82 FR 12268)
33-10312, 34-80096
Feb. 24, 2017
Securities and Exchange Commission Evidence Summit Federal Register version (82 FR 12268)
33-10306, 34-80024
Feb. 13, 2017
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (82 FR 10924)
33-10306, 34-80024
Feb. 13, 2017
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (82 FR 10924)
34-79992
Feb. 9, 2017
265-29
Equity Market Structure Advisory Committee Federal Register version (82 FR 10611)
33-10297, 34-79912
Jan. 31, 2017
Order Regarding Review of FASB Accounting Support Fee for 2017 Under Section 109 of The Sarbanes-Oxley Act of 2002 Federal Register version (82 FR 9434)
33-10297, 34-79912
Jan. 31, 2017
Order Regarding Review of FASB Accounting Support Fee for 2017 Under Section 109 of The Sarbanes-Oxley Act of 2002 Federal Register version (82 FR 9434)
33-10292, 34-79872
Jan. 25, 2017
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (82 FR 8779)
33-10292, 34-79872
Jan. 25, 2017
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (82 FR 8779)
33-10289
Jan. 24, 2017
Citigroup, Inc. and Citigroup Global Markets Holdings, Inc.
34-79853
Jan. 23, 2017
2017-6
Order Determining Whistleblower Award Claim
34-79747
Jan. 6, 2017
2017-5
Order Determining Whistleblower Award Claim
34-79707
Dec. 29, 2016
600-36
LCH SA; Order Granting Application for Registration as a Clearing Agency and Request for Exemptive Relief Comments Due: Form CA-1 Application , LCH SA Request for Exemptive Relief Federal Register version (82 FR 1398)
33-10275
Dec. 21, 2016
The Goldman Sachs Group, Inc., and Goldman, Sachs & Co. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iii) Disqualification Provision)
34-79604
Dec. 19, 2016
2017-4
Order Determining Whistleblower Award Claim
34-79577
Dec. 16, 2016
601-01
Euroclear Bank SA/NV; Order of the Commission Approving an Application To Modify an Existing Exemption From Clearing Agency Registration Federal Register version (81 FR 93994)
33-10271
Dec. 16, 2016
Deutsche Bank Aktiengesellschaft (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
33-10273
Dec. 16, 2016
3-17730
Deutsche Bank Aktiengesellschaft (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-10266, 34-79544
Dec. 14, 2016
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2017
33-10266, 34-79544
Dec. 14, 2016
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2017
