34-76883
Jan. 13, 2016
265-29
Equity Market Structure Advisory Committee View Received Comments Federal Register version (81 FR 2931)
IA-4308
Jan. 8, 2016
Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-76848
Jan. 7, 2016
Order Making Fiscal Year 2016 Annual Adjustments to Transaction Fee Rates Federal Register version (81 FR 1458)
33-10000, 34-76762
Dec. 23, 2015
265-28
Investor Advisory Committee Meeting View Received Comments Federal Register version (80 FR 81576)
33-10000, 34-76762
Dec. 23, 2015
265-28
Investor Advisory Committee Meeting View Received Comments Federal Register version (80 FR 81576)
33-9993
Dec. 18, 2015
JPMorgan Chase Bank, N.A. (Waiver Order)
34-76678
Dec. 17, 2015
600-35
Order Granting Chicago Mercantile Exchange Inc.'s Request To Withdraw From Registration as a Clearing Agency Federal Register version (80 FR 79983)
IA-4285
Dec. 2, 2015
Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-76514
Nov. 24, 2015
600-33
Bloomberg STP LLC; SS&C Technologies, Inc.; Order of the Commission Approving Applications for an Exemption From Registration as a Clearing Agency File Nos.: Federal Register version (80 FR 75387)
IA-4261
Nov. 10, 2015
Order Granting Application For Modification of Consentto Associate
34-76338
Nov. 4, 2015
2016-1
Order Determining Whistleblower Award Claim
SIPA-173
Oct. 28, 2015
SIPC-2015-01
Securities Investor Protection Corporation Comments Due: Federal Register version (80 FR 68286)
33-9965, 34-76240, 39-2507, IC-31879, IA-4238
Oct. 22, 2015
S7-21-15
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (80 FR 65973)
33-9965, 34-76240, 39-2507, IC-31879, IA-4238
Oct. 22, 2015
S7-21-15
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (80 FR 65973)
33-9965, 34-76240, 39-2507, IC-31879, IA-4238
Oct. 22, 2015
S7-21-15
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (80 FR 65973)
33-9965, 34-76240, 39-2507, IC-31879, IA-4238
Oct. 22, 2015
S7-21-15
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (80 FR 65973)
33-9965, 34-76240, 39-2507, IC-31879, IA-4238
Oct. 22, 2015
S7-21-15
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (80 FR 65973)
34-76081
Oct. 6, 2015
265-29
Equity Market Structure Advisory Committee Federal Register version (80 FR 61246)
33-9956
Sept. 30, 2015
3-16853
Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Waiver Order)
34-76025
Sept. 29, 2015
2015-8
Order Determining Whistleblower Award Claim
34-76000
Sept. 28, 2015
2015-7
Order Determining Whistleblower Award Claim
33-9929, 34-75985, IC-31849
Sept. 25, 2015
S7-20-15
Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant Comments Due: View Received Comments Spotlight page on Disclosure Effectiveness , Request for Comment on The Effectiveness of Financial Disclosures About Entities Other Than the Registrant , Press Release Federal Register version (80 FR 59083)
33-9929, 34-75985, IC-31849
Sept. 25, 2015
S7-20-15
Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant Comments Due: View Received Comments Spotlight page on Disclosure Effectiveness , Request for Comment on The Effectiveness of Financial Disclosures About Entities Other Than the Registrant , Press Release Federal Register version (80 FR 59083)
33-9929, 34-75985, IC-31849
Sept. 25, 2015
S7-20-15
Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant Comments Due: View Received Comments Spotlight page on Disclosure Effectiveness , Request for Comment on The Effectiveness of Financial Disclosures About Entities Other Than the Registrant , Press Release Federal Register version (80 FR 59083)
33-9927, 34-75973
Sept. 24, 2015
265-27
Advisory Committee on Small and Emerging Companies Federal Register version (80 FR 58528)
33-9927, 34-75973
Sept. 24, 2015
265-27
Advisory Committee on Small and Emerging Companies Federal Register version (80 FR 58528)
33-9926, 34-75968, IA-4207, IC-31848
Sept. 23, 2015
S7-17-15
Regulatory Flexibility Agenda Comments Due: Federal Register version (80 FR 78111)
33-9926, 34-75968, IA-4207, IC-31848
Sept. 23, 2015
S7-17-15
Regulatory Flexibility Agenda Comments Due: Federal Register version (80 FR 78111)
33-9926, 34-75968, IA-4207, IC-31848
Sept. 23, 2015
S7-17-15
Regulatory Flexibility Agenda Comments Due: Federal Register version (80 FR 78111)
33-9926, 34-75968, IA-4207, IC-31848
Sept. 23, 2015
S7-17-15
Regulatory Flexibility Agenda Comments Due: Federal Register version (80 FR 78111)
33-9924, 34-75961
Sept. 22, 2015
265-28
Investor Advisory Committee Meeting View Received Comments Federal Register version (80 FR 58322)
33-9924, 34-75961
Sept. 22, 2015
265-28
Investor Advisory Committee Meeting View Received Comments Federal Register version (80 FR 58322)
34-75886
Sept. 10, 2015
The Options Clearing Corporation (Order Discontinuing the Automatic Stay) s Ruling on the Pending Motion to Reinstitute the Automatic Stayand Supporting Brief , Email from SIG , Letter Regarding OCC Press Release Announcing Distribution , Motion for an Order , s Capital Plan , s Brief in Opposition to Motion for Oral Argument , Declaration of Craig S. Donohue , s Brief in Opposition to Motion for Referral to Hearing Officer and Discovery , Peak6 Capital Management Statement in Opposition to the Order , KCG Statement in Opposition to the Order , SIG et at. Motion for Oral Argument and Supporting Brief , SIG et al. Motion for an Order Referring this Matter to Hearing Officer and Directing Discovery in Advance of Hearing and Supporting Brief , s Capital Plan , BATS Statement in Opposition to Action talten by DelegatedAuthority , OCC Statement in Support of Approval Order , Motion to Reinstitute Automatic Stay and Supporting Brief , Brief in Opposition to Motion to Reinstitute Automatic Stay , Memorandum in Further Support of Motion to Reinstitute Automatic Stay
34-75884
Sept. 10, 2015
10-221
ISE Mercury, 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: View Received Comments Form 1 Application and Exhibits Federal Register version (80 FR 55691)
34-75885
Sept. 10, 2015
BATS Global Markets, Inc., BOX Options Exchange LLC, KCG Holdings, Inc., Miami International Securities Exchange, LLC, Susquehanna International Group, LLP (Order Granting Petitions for Review and Scheduling Filing of Statements) Statements Due: October 7, 2015
34-75867
Sept. 9, 2015
ISE Mercury, LLC; Order Granting Application for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a-1 and 6a-2 Under the Exchange Act Federal Register version (80 FR 55395)
34-75829
Sept. 3, 2015
265-29
Equity Market Structure Advisory Committee Comments Due: View Received Comments Federal Register version (80 FR 54365)
33-9899, 34-75812
Sept. 2, 2015
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (80 FR 53904)
33-9899, 34-75812
Sept. 2, 2015
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (80 FR 53904)
33-9898, 34-75764
Aug. 26, 2015
Order Making Fiscal Year 2016 Annual Adjustments to Registration Fee Rates Federal Register version (80 FR 52824)
33-9898, 34-75764
Aug. 26, 2015
Order Making Fiscal Year 2016 Annual Adjustments to Registration Fee Rates Federal Register version (80 FR 52824)
34-75762
Aug. 26, 2015
600-35
Notice of Filing and Request for Comment on Chicago Mercantile Exchange Inc.'s Request To Withdraw From Registration as a Clearing Agency Comments Due: Federal Register version (80 FR 52815)
34-75752
Aug. 24, 2015
2015-6
Order Determining Whistleblower Award Claim
33-9896
Aug. 19, 2015
Citigroup Inc. (Waiver Order)
33-9895
Aug. 19, 2015
Citigroup Global Markets, Inc. (Waiver Order)
34-75714
Aug. 17, 2015
Designation of the Financial Industry Regulatory Authority To Administer Professional Qualification Tests for Associated Persons of Registered Municipal Advisors Federal Register version (80 FR 50883)
33-9894
Aug. 17, 2015
Citigroup Inc. (Waiver Order)
33-9884
Aug. 10, 2015
Guggenheim Partners Investment Management, LLC (Waiver Order)
34-75477
July 17, 2015
2015-5
Order Determining Whistleblower Award Claim
33-9855
June 29, 2015
KKR & Co. L.P. (Waiver Order)
IA-4129
June 25, 2015
S7-18-09
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date Staff Responses to Questions About the Pay to Play Rule Federal Register version (80 FR 37538)
33-9854
June 25, 2015
265-27
Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (80 FR 37685)
34-75277
June 24, 2015
Public Availability of the Securities and Exchange Commission's FY 2014 Service Contract Inventory Federal Register version (80 FR 41119)
33-9851, 34-75253
June 22, 2015
265-28
Investor Advisory Committee Meeting View Received Comments Federal Register version (80 FR 36873)
33-9851, 34-75253
June 22, 2015
265-28
Investor Advisory Committee Meeting View Received Comments Federal Register version (80 FR 36873)
33-9808
June 16, 2015
In the Matter of Monica J. Lindeen , Montana State Auditor, Ex Officio Commissioner of Securities and Insurance's Motion for Stay of the Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) (Order Denying Stay)
34-75165
June 12, 2015
S7-11-15
Request for Comment on Exchange-Traded Products Comments Due: View Received Comments Federal Register version (80 FR 34729)
33-9802
June 3, 2015
Archer Daniels Midland Company (Waiver Order)
33-9782
May 20, 2015
UBS AG (Waiver Order)
33-9784, 34-75008
May 20, 2015
UBS AG (Waiver Order)
33-9787
May 20, 2015
UBS AG (Waiver Order)
33-9784, 34-75008
May 20, 2015
UBS AG (Waiver Order)
33-9781
May 20, 2015
The Royal Bank of Scotland Group plc (Waiver Order)
33-9780
May 20, 2015
JPMorgan Chase & Co. (Waiver Order)
33-9785, 34-75009
May 20, 2015
JPMorgan Chase & Co. (Waiver Order)
33-9785, 34-75009
May 20, 2015
JPMorgan Chase & Co. (Waiver Order)
33-9779
May 20, 2015
Citigroup Inc. (Waiver Order)
33-9778
May 20, 2015
Barclays PLC (Waiver Order)
33-9783, 34-75007
May 20, 2015
Barclays PLC (Waiver Order)
33-9786
May 20, 2015
Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc. (Waiver Order)
33-9783, 34-75007
May 20, 2015
Barclays PLC (Waiver Order)
33-9774, 34-74984
May 18, 2015
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: Federal Register version (80 FR 29786)
33-9774, 34-74984
May 18, 2015
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: Federal Register version (80 FR 29786)
33-9764
May 1, 2015
Deutsche Bank AG (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
34-74826
April 28, 2015
2015-4
Order Determining Whistleblower Award Claim
34-74815
April 27, 2015
2015-3
Order Determining Whistleblower Award Claim
33-9760, 34-74810
April 24, 2015
Order Regarding Review Of FASB Accounting Support Fee For 2015 Under Section 109 Of The Sarbanes-Oxley Act Of 2002
33-9760, 34-74810
April 24, 2015
Order Regarding Review Of FASB Accounting Support Fee For 2015 Under Section 109 Of The Sarbanes-Oxley Act Of 2002
34-74794
April 23, 2015
600-34
SS&C Technologies, Inc.; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Comments Due: View Received Comments Form CA-1 Application Federal Register version (80 FR 23618)
34-74793
April 23, 2015
265-29
Equity Market Structure Advisory Committee Comments Due: View Received Comments Federal Register version (80 FR 23625)
34-74781
April 22, 2015
2015-2
Order Determining Whistleblower Award Claim
33-9740, 34-74575, IA-4052, IC-31510
March 25, 2015
S7-04-15
Regulatory Flexibility Agenda Comments Due: Federal Register version (80 FR 35174)
33-9740, 34-74575, IA-4052, IC-31510
March 25, 2015
S7-04-15
Regulatory Flexibility Agenda Comments Due: Federal Register version (80 FR 35174)
33-9740, 34-74575, IA-4052, IC-31510
March 25, 2015
S7-04-15
Regulatory Flexibility Agenda Comments Due: Federal Register version (80 FR 35174)
33-9740, 34-74575, IA-4052, IC-31510
March 25, 2015
S7-04-15
Regulatory Flexibility Agenda Comments Due: Federal Register version (80 FR 35174)
33-9739, 34-74523
March 18, 2015
265-28
Investor Advisory Committee Meeting Federal Register version (80 FR 15260)
33-9739, 34-74523
March 18, 2015
265-28
Investor Advisory Committee Meeting Federal Register version (80 FR 15260)
34-74404
March 2, 2015
2015-1
Order Determining Whistleblower Award Claim
34-74394
Feb. 27, 2015
600-33
Bloomberg STP LLC; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Comments Due: View Received Comments Form CA-1 Application Federal Register version (80 FR 12048)
33-9713A, 34-74158A
Feb. 20, 2015
265-27
Advisory Committee on Small and Emerging Companies; Notice of Meeting Federal Register version (80 FR 10523)
33-9713A, 34-74158A
Feb. 20, 2015
265-27
Advisory Committee on Small and Emerging Companies; Notice of Meeting Federal Register version (80 FR 10523)
34-74277
Feb. 13, 2015
4-681
Proxy Voting Roundtable View Received Comments Federal Register version (80 FR 9283)
33-9724, 34-74260
Feb. 11, 2015
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (80 FR 8374)
33-9724, 34-74260
Feb. 11, 2015
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (80 FR 8374)
34-74239
Feb. 10, 2015
S7-02-15
Contract Standard for Contractor Workforce Inclusion and Request for Public Comment Comments Due: View Received Comments Federal Register version (80 FR 8119)
33-9721, 34-74203
Feb. 4, 2015
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2015
33-9721, 34-74203
Feb. 4, 2015
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2015
33-9713, 34-74158
Jan. 28, 2015
265-27
Advisory Committee on Small and Emerging Companies View Received Comments Federal Register version (80 FR 5592)
33-9713, 34-74158
Jan. 28, 2015
265-27
Advisory Committee on Small and Emerging Companies View Received Comments Federal Register version (80 FR 5592)
33-9712
Jan. 27, 2015
3-16361
Oppenheimer & Co. Inc. (Corrected Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
