Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-79543 10-227 In the Matter of the Application of MIAX PEARL, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
Federal Register version (81 FR 92901)
34-79517 2017-3 Order Determining Whistleblower Award Claim
33-10263 Stifel, Nicolaus & Co., Inc. (Order Under Rule 506(D)(2)(Ii) and Rule 262(B)(2) of the Securities Act of 1933 Granting a Waiver of the Rule 506(D)(1)(Ii) and Rule 262(A)(2) Disqualification Provisions)
34-79464 2017-2 Order Determining Whistleblower Award Claim
IA-4576 In the Matter of Ajenifuja Investments, LLC, 5226 Klingle Street NW., Washington, DC 20016; Investment Advisers Act of 1940; Notice of Intention to Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (81 FR 87606)
34-79382 HR Ratings de México, S.A. de C.V. (Order Granting Registration of HR Ratings de México, S.A. de C.V. for Two Additional Classes of Credit Ratings)
33-10258, 34-79350 265-27 Advisory Committee on Small and Emerging Companies
Comments Due: December 5, 2016
View Received Comments
Submit a Comment on 265-27
Federal Register version (81 FR 84628)
33-10258, 34-79350 265-27 Advisory Committee on Small and Emerging Companies
Comments Due: December 5, 2016
View Received Comments
Submit a Comment on 265-27
Federal Register version (81 FR 84628)
34-79340 Randy G. Ruhl (Order Approving Application For Relief From A Statutory Disqualification)
33-10257, 34-79336 265-28 Investor Advisory Committee Meeting
Comments Due: December 8, 2016
View Received Comments
Submit a Comment on 265-28
Federal Register version (81 FR 83888)
33-10257, 34-79336 265-28 Investor Advisory Committee Meeting
Comments Due: December 8, 2016
View Received Comments
Submit a Comment on 265-28
Federal Register version (81 FR 83888)
34-79294 2017-1 Order Determining Whistleblower Award Claim
33-10255, 34-79303 Order Approving Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2016
33-10255, 34-79303 Order Approving Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2016
34-79257 265-29 Equity Market Structure Advisory Committee
Comments Due: November 23, 2016
View Received Comments
Submit a Comment on 265-29
Federal Register version (81 FR 79546)
33-10224 SG Americas Securities, LLC (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)
34-78941 600-36 LCH SA; Notice of Filing of Application for Registration as a Clearing Agency and Request for Exemptive Relief
Comments Due: 30 days after publication in the Federal Register
See Also - Form CA-1 Application
Submit a Comment on 600-36
Federal Register version (81 FR 68074)
IA-4531 S7-17-16 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to MSRB Rule G-37
Federal Register version (81 FR 66526)
IA-4532 S7-16-16 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to FINRA Rule 2030
Federal Register version (81 FR 66526)
34-78881 2016-17 Order Determining Whistleblower Award Claim
33-10208, 34-78844 265-27 SEC Advisory Committee on Small and Emerging Companies
Comments Due: October 3, 2016
Submit a Comment on 265-27
Federal Register version (81 FR 64519)
33-10208, 34-78844 265-27 SEC Advisory Committee on Small and Emerging Companies
Comments Due: October 3, 2016
Submit a Comment on 265-27
Federal Register version (81 FR 64519)
33-10209, 34-78845, 39-2511, IA-4530, IC-32263 S7-21-16 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-21-16
Federal Register version (81 FR 64364)
33-10209, 34-78845, 39-2511, IA-4530, IC-32263 S7-21-16 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-21-16
Federal Register version (81 FR 64364)
33-10209, 34-78845, 39-2511, IA-4530, IC-32263 S7-21-16 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-21-16
Federal Register version (81 FR 64364)
33-10209, 34-78845, 39-2511, IA-4530, IC-32263 S7-21-16 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-21-16
Federal Register version (81 FR 64364)
33-10209, 34-78845, 39-2511, IA-4530, IC-32263 S7-21-16 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-21-16
Federal Register version (81 FR 64364)
34-78793 10-227 MIAX PEARL, 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: October 31, 2016
See Also - Form 1 Application and Exhibits
Submit a Comment on 10-227
Federal Register version (81 FR 63238)
33-10203, 34-78769, IA-4521, IC-32251 S7-20-16 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-20-16
Federal Register version (81 FR 94898)
33-10203, 34-78769, IA-4521, IC-32251 S7-20-16 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-20-16
Federal Register version (81 FR 94898)
33-10203, 34-78769, IA-4521, IC-32251 S7-20-16 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-20-16
Federal Register version (81 FR 94898)
33-10203, 34-78769, IA-4521, IC-32251 S7-20-16 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-20-16
Federal Register version (81 FR 94898)
33-10200, 34-78726 Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates
Federal Register version (81 FR 61283)
33-10200, 34-78726 Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates
Federal Register version (81 FR 61283)
34-78719 2016-16 Order Determining Whistleblower Award Claim
SIPA-178 SIPC-2016-02 Securities Investor Protection Corporation: Order Approving a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members
View Received Comments
Federal Register version (81 FR 61263)
34-78710 601-01 Euroclear Bank SA/NV; Notice of Filing of Application To Modify an Existing Exemption From Clearing Agency Registration
Comments Due: October 6, 2016
View Received Comments
See Also - Form CA-1 Application
Submit a Comment on 601-01
Federal Register version (81 FR 61271)
33-10198 S7-18-16 Request for Comment on Subpart 400 of Regulation S-K Disclosure Requirements Relating to Management, Certain Security Holders and Corporate Governance Matters
Comments Due: October 31, 2016
View Received Comments
See Also - Press Release
Submit a Comment on S7-18-16
Federal Register version (81 FR 59927)
IA-4511 S7-16-16 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order With Respect to FINRA Rule 2030
Federal Register version (81 FR 60653)
IA-4512 S7-17-16 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order With Respect to MSRB Rule G-37
Federal Register version (81 FR 60651)
34-78671 Morningstar Credit Ratings, LLC (Order Granting Registration of Morningstar Credit Ratings, LLC for Two Additional Classes of Credit Ratings)
34-78474 4-701 Investors Exchange LLC; Order Declaring Effective a Minor Rule Violation Plan
Federal Register version (81 FR 52717)
34-78355 2016-14 Order Determining Whistleblower Award Claim
34-78356 2016-15 Order Determining Whistleblower Award Claim
34-78308 265-29 Equity Market Structure Advisory Committee
Submit a Comment on 265-29
Federal Register version (81 FR 46744)
34-78300 4-701 Investors Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: August 2, 2016
See Also - Exhibit A
Federal Register version (81 FR 46730)
34-78216 SBSDR-2016-02 Security-Based Swap Data Repositories; DTCC Data Repository (U.S.) LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
Comments Due: August 8, 2016
View Received Comments
See Also - LLC Form SDR Application and Exhibits
Submit a Comment on SBSDR-2016-02
Federal Register version (81 FR 44379)
34-78161 Barclays Capital Inc. (Order Granting Accelerated Effectiveness of Notice Regarding Change of Method for Computing Deductions for Market and Credit Risk)
33-10105, 34-78158 265-27 SEC Advisory Committee on Small and Emerging Companies
Comments Due: July 15, 2016
View Received Comments
Submit a Comment on 265-27
Federal Register version (81 FR 42777)
33-10105, 34-78158 265-27 SEC Advisory Committee on Small and Emerging Companies
Comments Due: July 15, 2016
View Received Comments
Submit a Comment on 265-27
Federal Register version (81 FR 42777)
34-78169 Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, Canada and the U.S. Extractive Industries Transparency Initiative as Substantially Similar to the Requirements of Rule 13q-1 Under the Securities Exchange Act of 1934
See Also - 34-78167.pdf
Federal Register version (81 FR 49163)
33-10102, 34-78127 265-28 Investor Advisory Committee Meeting
Comments Due: July 14, 2016
View Received Comments
See Also - correction
Submit a Comment on 265-28
Federal Register version (81 FR 41628)
33-10102, 34-78127 265-28 Investor Advisory Committee Meeting
Comments Due: July 14, 2016
View Received Comments
See Also - correction
Submit a Comment on 265-28
Federal Register version (81 FR 41628)
34-78101 10-222 In the Matter of the Application of: Investors' Exchange, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
Federal Register version (81 FR 41141)
SIPA-177 SIPC-2016-02 Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Amendments Relating to Assessment of SIPC Members
Comments Due: July 11, 2016
View Received Comments
Federal Register version (81 FR 41358)
IA-4421 Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 Under the Investment Advisers Act of 1940
Federal Register version (81 FR 39985)
34-78040 265-29 Equity Market Structure Advisory Committee Meeting
Comments Due: July 5, 2016
Submit a Comment on 265-29
Federal Register version (81 FR 39306)
34-78025 2016-13 Order Determining Whistleblower Award Claim
34-77948 2016-12 Order Determining Whistleblower Award Claim
34-77873 2016-11 Order Determining Whistleblower Award Claim
33-10079, 34-77857 265-28 Investor Advisory Committee Meeting
Comments Due: June 7, 2016
View Received Comments
Submit a Comment on 265-28
Federal Register version (81 FR 33571)
33-10079, 34-77857 265-28 Investor Advisory Committee Meeting
Comments Due: June 7, 2016
View Received Comments
Submit a Comment on 265-28
Federal Register version (81 FR 33571)
IA-4388 S7-08-16 Performance-Based Investment Advisory Fees
Federal Register version (81 FR 32686)
34-77843 2016-10 Order Determining Whistleblower Award Claim
34-77833 2016-9 Order Determining Whistleblower Award Claim
34-77746 Steven Rattner Order Vacating Commission Approval Order

Note: This Order vacates the March 14, 2016 Order 34-77360
33-10074, 34-77743 265-27 SEC Advisory Committee on Small and Emerging Companies
Comments Due: May 16, 2016
View Received Comments
Submit a Comment on 265-27
Federal Register version (81 FR 26851)
33-10074, 34-77743 265-27 SEC Advisory Committee on Small and Emerging Companies
Comments Due: May 16, 2016
View Received Comments
Submit a Comment on 265-27
Federal Register version (81 FR 26851)
34-77751 2016-8 Order Determining Whistleblower Award Claim
33-10073 Order Regarding Review of FASB Accounting Support Fee for 2016 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-77699 SBSDR-2016-01 Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
Comments Due: May 31, 2016
View Received Comments
See Also - the public may access copies of these materials at ICE Trade Vault Form SDR Application and Exhibits
Submit a Comment on SBSDR-2016-01
Federal Register version (81 FR 25475)
34-77629 Public Availability of the Securities and Exchange Commission's FY 2014 Service Contract Inventory
Federal Register version (81 FR 23528)
34-77543 265-29 Equity Market Structure Advisory Committee
View Received Comments
Federal Register version (81 FR 21428)
34-77529 2016-6 Order Determining Whistleblower Award Claim
34-77530 2016-7 Order Determining Whistleblower Award Claim
SIPA-176 SIPC-2016-01 Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation Not To Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount
Comments Due: March 11, 2016
Federal Register version (81 FR 19250)
33-10058, 34-77432 265-28 Investor Advisory Committee Meeting
Comments Due: April 14, 2016
View Received Comments
Submit a Comment on 265-28
Federal Register version (81 FR 17513)
33-10058, 34-77432 265-28 Investor Advisory Committee Meeting
Comments Due: April 14, 2016
View Received Comments
Submit a Comment on 265-28
Federal Register version (81 FR 17513)
33-10056, 34-77408, IA-4354, IC-32031 S7-04-16 Regulatory Flexibility Agenda
Comments Due: July 11, 2016
Submit a Comment on S7-04-16
Federal Register version (81 FR 37469)
33-10056, 34-77408, IA-4354, IC-32031 S7-04-16 Regulatory Flexibility Agenda
Comments Due: July 11, 2016
Submit a Comment on S7-04-16
Federal Register version (81 FR 37469)
33-10056, 34-77408, IA-4354, IC-32031 S7-04-16 Regulatory Flexibility Agenda
Comments Due: July 11, 2016
Submit a Comment on S7-04-16
Federal Register version (81 FR 37469)
33-10056, 34-77408, IA-4354, IC-32031 S7-04-16 Regulatory Flexibility Agenda
Comments Due: July 11, 2016
Submit a Comment on S7-04-16
Federal Register version (81 FR 37469)
34-77406 10-222 Investors' Exchange LLC; Notice of Filing of Amendment Nos. 2, 3, and 4 to, and Order Instituting Proceedings To Determine Whether To Grant or Deny, and Notice of Designation of 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 of 1934, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto
Comments Due: April 14, 2016
View Received Comments
Federal Register version (81 FR 15765)
34-77382 Order Denying Petition for Review
34-77360 Steven Rattner Order Approving Application for Relief from a Statutory Disqualification

Note: This Order has been vacated by the April 29, 2016 Order 34-77746
34-77368 2016-5 Order Determining Whistleblower Award Claim
33-10054, 34-77367 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2016
33-10054, 34-77367 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2016
34-77322 2016-4 Order Determining Whistleblower Award Claim
SIPA-174 SIPC-2016-01 Securities Investor Protection Corporation
Comments Due: March 11, 2016
Federal Register version (81 FR 9561)
33-10043 333-201823 Tigon (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
34-77112 SR-OCC-2015-02 Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning the Options Clearing Corporation's Capital Plan and Denying Motions
See Also - Release Nos. 34-74452, 34-74136, Inc., LLP, Petition for Review
Federal Register version (81 FR 8294)
33-10034, 34-77064 265-27 SEC Advisory Committee on Small and Emerging Companies; Meeting
Comments Due: February 23, 2016
Submit a Comment on 265-27
Federal Register version (81 FR 7179)
33-10034, 34-77064 265-27 SEC Advisory Committee on Small and Emerging Companies; Meeting
Comments Due: February 23, 2016
Submit a Comment on 265-27
Federal Register version (81 FR 7179)
34-77037 2016-3 Order Determining Whistleblower Award Claim
33-10030 3-17084 Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Order Under Rules 262(b)(2), 405, 505(b)(2)(iii)(C), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 Granting Waivers of the Disqualification Provisions of Rules 262(a)(4)(ii), 505(b)(2)(iii), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Granting Waivers from Being Ineligible Issuers )
File Nos.: 3-17084, 3-17085, 3-17086, 3-17087, 3-17088, 3-17089, 3-17090, 3-17091, 3-17092, 3-17093, 3-17094, 3-17095, 3-17096, 3-17097
33-10011 3-17077 Barclays Capital Inc. (Order Under Rule 506(d) of The Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
33-10012 3-17077 Barclays PLC and Barclays Bank PLC (Order Under Rule 405 of The Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
34-76998 10-221 In the Matter of the Application of ISE Mercury, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
See Also - Form 1 Application and Exhibits, Amendment No. 2
Federal Register version (81 FR 6066)
34-76921 2016-2 Order Determining Whistleblower Award Claim
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