Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-74115 SR-BYX-2012-019 BATS Y-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program
Federal Register version (80 FR 4324)
33-9707, 34-74106 265-28 Investor Advisory Committee Meeting
Federal Register version (80 FR 4000)
33-9707, 34-74106 265-28 Investor Advisory Committee Meeting
Federal Register version (80 FR 4000)
34-74092 265-29 Notice of Federal Advisory Committee Establishment; Equity Market Structure Advisory Committee
View Received Comments
Federal Register version (80 FR 3673)
33-9698, 34-74061 3-16338 UBS AG: Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer
33-9698, 34-74061 3-16338 UBS AG: Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer
34-74057 Order Making Fiscal Year 2015 Annual Adjustments to Transaction Fee Rates
Federal Register version (80 FR 2978)
34-73953 NASDAQ OMX PHLX LLC (Order Granting Petition for Review and Scheduling Filing of Statements)
Comments Due: January 20, 2015
View Received Comments
33-9694, 34-73891, 39-2500, IC-31389, IA-3986 S7-13-14 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
Federal Register version (79 FR 77975)
33-9694, 34-73891, 39-2500, IC-31389, IA-3986 S7-13-14 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
Federal Register version (79 FR 77975)
33-9694, 34-73891, 39-2500, IC-31389, IA-3986 S7-13-14 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
Federal Register version (79 FR 77975)
34-73911 10-214 Automated Matching Systems Exchange, LLC; Notice of Filing of Amendment No. 1 to an Application for Limited Volume Exemption From Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934
Comments Due: January 20, 2015
View Received Comments
See Also - Form 1 Application and Exhibits, Amendment No. 1 to Form 1
Federal Register version (79 FR 78507)
33-9683, 34-73709 265-27 SEC Advisory Committee on Small and Emerging Companies
Comments Due: December 15, 2014
View Received Comments
Federal Register version (79 FR 71810)
33-9683, 34-73709 265-27 SEC Advisory Committee on Small and Emerging Companies
Comments Due: December 15, 2014
View Received Comments
Federal Register version (79 FR 71810)
33-9682 Bank of America, N.A. and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
PA-52 S7-11-14 Privacy Act of 1974: Systems of Records
Comments Due: 30 days after publication in the Federal Register
Federal Register version (79 FR 69894)
34-73419 10-214 Automated Matching Systems Exchange, LLC; Order Instituting Proceedings To Determine Whether To Grant or Deny an Application for an Exemption From Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934
Comments Due: November 19, 2014
See Also - Form 1 Application and Exhibits
Federal Register version (79 FR 64421)
33-9663, 34-73341, IA-3945, IC-31283 S7-10-14 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
Federal Register version (79 FR 76860)
33-9663, 34-73341, IA-3945, IC-31283 S7-10-14 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
Federal Register version (79 FR 76860)
33-9663, 34-73341, IA-3945, IC-31283 S7-10-14 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
Federal Register version (79 FR 76860)
33-9663, 34-73341, IA-3945, IC-31283 S7-10-14 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
Federal Register version (79 FR 76860)
33-9657 Citigroup Global Markets, Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
33-9658 Citigroup Inc. (Order Under Rule 405 of the Securities Act Of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-9650 3-16154 Barclays PLC (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
33-9652, 34-73185 3-16154 Barclays Capital Inc. (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 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Barclays Capital Inc.)
33-9652, 34-73185 3-16154 Barclays Capital Inc. (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 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Barclays Capital Inc.)
33-9651 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)
33-9649 3-16153 Wells Fargo Advisors, LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
34-73174 2014-10 Order Determining Whistleblower Award Claim
33-9647, 34-73131 265-28 Investor Advisory Committee Meeting
Comments Due: October 9, 2014
View Received Comments
Federal Register version (79 FR 56835)
33-9647, 34-73131 265-28 Investor Advisory Committee Meeting
Comments Due: October 9, 2014
View Received Comments
Federal Register version (79 FR 56835)
34-72985 Stay Order
34-72983 Order Pursuant to Sections 13(f)(4) and 13(f)(5) of the Securities and Exchange Act of 1934 Denying Requests for Confidential Treatment of Information Required to be Filed Pursuant
34-72984 Order Pursuant to Section 13(f)(3) 13(f)(5) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Act
33-9635, 34-72948 Order Making Fiscal Year 2015 Annual Adjustments to Registration Fee Rates
Federal Register version (79 FR 52771)
33-9635, 34-72948 Order Making Fiscal Year 2015 Annual Adjustments to Registration Fee Rates
Federal Register version (79 FR 52771)
34-72947 2014-9 Order Determining Whistleblower Award Claim
34-72921, AAER-3577 Paul R. Venesky, CPA (Order Granting Application For Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the Commission)
34-72921, AAER-3577 Paul R. Venesky, CPA (Order Granting Application For Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the Commission)
33-9626, 34-72780 Citigroup Inc. (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 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Citigroup Inc. and Its Affiliates)
33-9626, 34-72780 Citigroup Inc. (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 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Citigroup Inc. and Its Affiliates)
IC-31199 812-13970 Citigroup Global Markets Inc., et al.; Notice of Application and Temporary Order
Federal Register version (79 FR 47160)
33-9627 Citigroup Global Markets Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
34-72727 2014-8 Order Determining Whistleblower Award Claim
33-9619 Dominick & Dominick LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
33-9618, 34-72670 Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
33-9618, 34-72670 Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
34-72659 2014-7 Order Determining Whistleblower Award Claim
34-72658 S7-08-14 Notice of Proposed Exemptive Order Granting Permanent Exemptions Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10 for Certain Money Market Funds
Comments Due: August 19, 2014
View Received Comments
Federal Register version (79 FR 44076)
34-72652 2014-6 Order Determining Whistleblower Award Claim
34-72460 Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a Tick Size Pilot Plan
Federal Register version (79 FR 36840)
33-9603, 34-72448 265-28 Investor Advisory Committee Meeting
Comments Due: July 10, 2014
View Received Comments
Federal Register version (79 FR 36349)
33-9603, 34-72448 265-28 Investor Advisory Committee Meeting
Comments Due: July 10, 2014
View Received Comments
Federal Register version (79 FR 36349)
IC-31088 Copley Fund, Inc. (Order under Section 6(c) of the Investment Company Act of 1940 Denying a Request for a Hearing and Denying an Exemption from Rule 22c-1 under the Act and Rule 4-01(a)(1) of Regulation S-X)
34-72373 Public Availability of the Securities and Exchange Commission's FY 2013 Service Contract Inventory
Federal Register version (79 FR 34557)
34-72301 2014-5 Order Determining Whistleblower Award Claim
PA-51 S7-06-14 Privacy Act of 1974: Systems of Records.
Comments Due: June 27, 2014
View Received Comments
Federal Register version (79 FR 30661)
IC-31051 Credit Suisse Asset Management, LLC, et al.; Notice of Application and Temporary Order
See Also - Order Granting Permanent Exemption
Federal Register version (79 FR 29826)
33-9589 Certain Current Funds, Third Party Issuers and Portfolio Companies affiliated with Credit Suisse AG (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(i) Disqualification Provision)
See Also - Incoming Letter
33-9586 Transfer Enterprises, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190772
34-72178 2014-4 Order Determining Whistleblower Award Claim
33-9585 List Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190759
33-9588 EDGARizing Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190755
33-9587 Borderless Holdings, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190773
34-72173 811-02815 Copley Fund, Inc.; Notice of Application
See Also - Application, and Exhibits
Federal Register version (79 FR 29226)
34-72079 In the Matter of Exchange Act Rule 13p-1 and Form SD (Order Issuing Stay)
33-9578, 34-72032 The Royal Bank Of Scotland Group, plc (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
See Also - related no-action letter and incoming letter, Incoming Letter
33-9578, 34-72032 The Royal Bank Of Scotland Group, plc (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
See Also - related no-action letter and incoming letter, Incoming Letter
34-71849 2014-3 Order Determining Whistleblower Award Claim
33-9569, 34-71852 Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of FASB Accounting Support Fee for 2014 Under Section 109 of the Sarbanes-Oxley Act of 2002
Federal Register version (79 FR 19675)
33-9569, 34-71852 Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of FASB Accounting Support Fee for 2014 Under Section 109 of the Sarbanes-Oxley Act of 2002
Federal Register version (79 FR 19675)
33-9567, 34-71829 265-28 Investor Advisory Committee Meeting
Comments Due: April 10, 2014
View Received Comments
Federal Register version (79 FR 18591)
33-9567, 34-71829 265-28 Investor Advisory Committee Meeting
Comments Due: April 10, 2014
View Received Comments
Federal Register version (79 FR 18591)
33-9563, 34-71771, IA-3803, IC-30989 S7-04-14 Regulatory Flexibility Agenda
Comments Due: July 14, 2014
View Received Comments
Federal Register version (79 FR 34208)
33-9563, 34-71771, IA-3803, IC-30989 S7-04-14 Regulatory Flexibility Agenda
Comments Due: July 14, 2014
View Received Comments
Federal Register version (79 FR 34208)
33-9563, 34-71771, IA-3803, IC-30989 S7-04-14 Regulatory Flexibility Agenda
Comments Due: July 14, 2014
View Received Comments
Federal Register version (79 FR 34208)
33-9563, 34-71771, IA-3803, IC-30989 S7-04-14 Regulatory Flexibility Agenda
Comments Due: July 14, 2014
View Received Comments
Federal Register version (79 FR 34208)
33-9562, 34-71742, IA-3799 4-673 Cybersecurity Roundtable
Comments Due: May 2, 2014
View Received Comments
Federal Register version (79 FR 16071)
33-9562, 34-71742, IA-3799 4-673 Cybersecurity Roundtable
Comments Due: May 2, 2014
View Received Comments
Federal Register version (79 FR 16071)
33-9562, 34-71742, IA-3799 4-673 Cybersecurity Roundtable
Comments Due: May 2, 2014
View Received Comments
Federal Register version (79 FR 16071)
33-9558 Jefferies LLC, (formerly known as Jefferies & Company, Inc.) (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9550 Credit Suisse Group AG (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
34-71550 Order Making Fiscal Year 2014 Annual Adjustments to Transaction Fee Rates
Federal Register version (79 FR 9504)
34-71533 Daniel Covello (Order Approving Application for Relief from a Statutory Disqualification)
33-9546, 34-71494 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2014
33-9546, 34-71494 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2014
34-71466 Draft 2014-2018 Strategic Plan for Securities and Exchange Commission
View Received Comments
Federal Register version (79 FR 7239)
33-9517 Mobile Vault, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-189796
33-9516, 34-71370, 39-2494, IC-30890 S7-02-14 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: 30 days after publication in the Federal Register
Federal Register version (79 FR 4638)
33-9516, 34-71370, 39-2494, IC-30890 S7-02-14 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: 30 days after publication in the Federal Register
Federal Register version (79 FR 4638)
33-9516, 34-71370, 39-2494, IC-30890 S7-02-14 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: 30 days after publication in the Federal Register
Federal Register version (79 FR 4638)
33-9516, 34-71370, 39-2494, IC-30890 S7-02-14 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: 30 days after publication in the Federal Register
Federal Register version (79 FR 4638)
33-9510, 34-70847 265-28 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
Comments Due: January 31, 2014
View Received Comments
Federal Register version (79 FR 3260)
33-9510, 34-70847 265-28 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
Comments Due: January 31, 2014
View Received Comments
Federal Register version (79 FR 3260)
34-71276 4-669 Order Declaring Effective a Minor Rule Violation Plan for Topaz Exchange, LLC
Comments Due: 21 days after publication in the Federal Register
See Also - Notice Rel. No. 34-70927
Federal Register version (79 FR 2919)
SIPA-172 SIPC-2012-01 Rules of the Securities Investor Protection Corporation
Federal Register version (79 FR 2779)
33-9505, 34-71192 Nomura Holdings, Inc. (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 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
33-9505, 34-71192 Nomura Holdings, Inc. (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 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
33-9504 Instinet, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9494 Merrill Lynch, Pierce, Fenner & Smith Incorporated (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 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Bank of America Corporation and Its Affiliates)