34-74115
Jan. 22, 2015
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
Jan. 21, 2015
265-28
Investor Advisory Committee Meeting Federal Register version (80 FR 4000)
33-9707, 34-74106
Jan. 21, 2015
265-28
Investor Advisory Committee Meeting Federal Register version (80 FR 4000)
34-74092
Jan. 20, 2015
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
Jan. 15, 2015
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
Jan. 15, 2015
3-16338
UBS AG: Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer
34-74057
Jan. 15, 2015
Order Making Fiscal Year 2015 Annual Adjustments to Transaction Fee Rates Federal Register version (80 FR 2978)
34-73953
Dec. 30, 2014
NASDAQ OMX PHLX LLC (Order Granting Petition for Review and Scheduling Filing of Statements) Comments Due: View Received Comments
33-9694, 34-73891, 39-2500, IC-31389, IA-3986
Dec. 22, 2014
S7-13-14
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (79 FR 77975)
33-9694, 34-73891, 39-2500, IC-31389, IA-3986
Dec. 22, 2014
S7-13-14
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (79 FR 77975)
33-9694, 34-73891, 39-2500, IC-31389, IA-3986
Dec. 22, 2014
S7-13-14
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (79 FR 77975)
34-73911
Dec. 22, 2014
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: View Received Comments Form 1 Application and Exhibits , Amendment No. 1 to Form 1 Federal Register version (79 FR 78507)
33-9683, 34-73709
Dec. 1, 2014
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (79 FR 71810)
33-9683, 34-73709
Dec. 1, 2014
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (79 FR 71810)
33-9682
Nov. 25, 2014
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
Nov. 19, 2014
S7-11-14
Privacy Act of 1974: Systems of Records Comments Due: Federal Register version (79 FR 69894)
34-73419
Oct. 23, 2014
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: Form 1 Application and Exhibits Federal Register version (79 FR 64421)
33-9663, 34-73341, IA-3945, IC-31283
Oct. 10, 2014
S7-10-14
Regulatory Flexibility Agenda Comments Due: Federal Register version (79 FR 76860)
33-9663, 34-73341, IA-3945, IC-31283
Oct. 10, 2014
S7-10-14
Regulatory Flexibility Agenda Comments Due: Federal Register version (79 FR 76860)
33-9663, 34-73341, IA-3945, IC-31283
Oct. 10, 2014
S7-10-14
Regulatory Flexibility Agenda Comments Due: Federal Register version (79 FR 76860)
33-9663, 34-73341, IA-3945, IC-31283
Oct. 10, 2014
S7-10-14
Regulatory Flexibility Agenda Comments Due: Federal Register version (79 FR 76860)
33-9657
Sept. 26, 2014
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
Sept. 26, 2014
Citigroup Inc. (Order Under Rule 405 of the Securities Act Of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-9650
Sept. 23, 2014
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
Sept. 23, 2014
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
Sept. 23, 2014
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
Sept. 23, 2014
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
Sept. 22, 2014
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
Sept. 22, 2014
2014-10
Order Determining Whistleblower Award Claim
33-9647, 34-73131
Sept. 17, 2014
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (79 FR 56835)
33-9647, 34-73131
Sept. 17, 2014
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (79 FR 56835)
34-72985
Sept. 4, 2014
Stay Order
34-72983
Sept. 4, 2014
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
Sept. 4, 2014
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
Aug. 29, 2014
Order Making Fiscal Year 2015 Annual Adjustments to Registration Fee Rates Federal Register version (79 FR 52771)
33-9635, 34-72948
Aug. 29, 2014
Order Making Fiscal Year 2015 Annual Adjustments to Registration Fee Rates Federal Register version (79 FR 52771)
34-72947
Aug. 29, 2014
2014-9
Order Determining Whistleblower Award Claim
34-72921, AAER-3577
Aug. 26, 2014
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
Aug. 26, 2014
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
Aug. 6, 2014
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
Aug. 6, 2014
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
Aug. 6, 2014
812-13970
Citigroup Global Markets Inc., et al.; Notice of Application and Temporary Order Federal Register version (79 FR 47160)
33-9627
Aug. 6, 2014
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
July 31, 2014
2014-8
Order Determining Whistleblower Award Claim
33-9619
July 28, 2014
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
July 24, 2014
Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
33-9618, 34-72670
July 24, 2014
Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
34-72659
July 23, 2014
2014-7
Order Determining Whistleblower Award Claim
34-72658
July 23, 2014
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: View Received Comments Federal Register version (79 FR 44076)
34-72652
July 22, 2014
2014-6
Order Determining Whistleblower Award Claim
34-72460
June 24, 2014
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
June 23, 2014
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (79 FR 36349)
33-9603, 34-72448
June 23, 2014
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (79 FR 36349)
IC-31088
June 19, 2014
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
June 12, 2014
Public Availability of the Securities and Exchange Commission's FY 2013 Service Contract Inventory Federal Register version (79 FR 34557)
34-72301
June 3, 2014
2014-5
Order Determining Whistleblower Award Claim
PA-51
May 21, 2014
S7-06-14
Privacy Act of 1974: Systems of Records. Comments Due: View Received Comments Federal Register version (79 FR 30661)
IC-31051
May 19, 2014
Credit Suisse Asset Management, LLC, et al.; Notice of Application and Temporary Order Order Granting Permanent Exemption Federal Register version (79 FR 29826)
33-9589
May 19, 2014
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) Incoming Letter
33-9586
May 16, 2014
Transfer Enterprises, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190772
34-72178
May 16, 2014
2014-4
Order Determining Whistleblower Award Claim
33-9585
May 16, 2014
List Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190759
33-9588
May 16, 2014
EDGARizing Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190755
33-9587
May 16, 2014
Borderless Holdings, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190773
34-72173
May 15, 2014
811-02815
Copley Fund, Inc.; Notice of Application Application , and Exhibits Federal Register version (79 FR 29226)
34-72079
May 2, 2014
In the Matter of Exchange Act Rule 13p-1 and Form SD (Order Issuing Stay)
33-9578, 34-72032
April 25, 2014
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) related no-action letter and incoming letter , Incoming Letter
33-9578, 34-72032
April 25, 2014
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) related no-action letter and incoming letter , Incoming Letter
34-71849
April 3, 2014
2014-3
Order Determining Whistleblower Award Claim
33-9569, 34-71852
April 3, 2014
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
April 3, 2014
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
March 28, 2014
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (79 FR 18591)
33-9567, 34-71829
March 28, 2014
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (79 FR 18591)
33-9563, 34-71771, IA-3803, IC-30989
March 21, 2014
S7-04-14
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (79 FR 34208)
33-9563, 34-71771, IA-3803, IC-30989
March 21, 2014
S7-04-14
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (79 FR 34208)
33-9563, 34-71771, IA-3803, IC-30989
March 21, 2014
S7-04-14
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (79 FR 34208)
33-9563, 34-71771, IA-3803, IC-30989
March 21, 2014
S7-04-14
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (79 FR 34208)
33-9562, 34-71742, IA-3799
March 14, 2014
4-673
Cybersecurity Roundtable Comments Due: View Received Comments Federal Register version (79 FR 16071)
33-9562, 34-71742, IA-3799
March 14, 2014
4-673
Cybersecurity Roundtable Comments Due: View Received Comments Federal Register version (79 FR 16071)
33-9562, 34-71742, IA-3799
March 14, 2014
4-673
Cybersecurity Roundtable Comments Due: View Received Comments Federal Register version (79 FR 16071)
33-9558
March 12, 2014
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
Feb. 21, 2014
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
Feb. 12, 2014
Order Making Fiscal Year 2014 Annual Adjustments to Transaction Fee Rates Federal Register version (79 FR 9504)
34-71533
Feb. 12, 2014
Daniel Covello (Order Approving Application for Relief from a Statutory Disqualification)
33-9546, 34-71494
Feb. 5, 2014
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2014
33-9546, 34-71494
Feb. 5, 2014
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2014
34-71466
Feb. 3, 2014
Draft 2014-2018 Strategic Plan for Securities and Exchange Commission View Received Comments Federal Register version (79 FR 7239)
33-9517
Jan. 23, 2014
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
Jan. 23, 2014
S7-02-14
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (79 FR 4638)
33-9516, 34-71370, 39-2494, IC-30890
Jan. 23, 2014
S7-02-14
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (79 FR 4638)
33-9516, 34-71370, 39-2494, IC-30890
Jan. 23, 2014
S7-02-14
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (79 FR 4638)
33-9516, 34-71370, 39-2494, IC-30890
Jan. 23, 2014
S7-02-14
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: Federal Register version (79 FR 4638)
33-9510, 34-70847
Jan. 13, 2014
265-28
Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Comments Due: View Received Comments Federal Register version (79 FR 3260)
33-9510, 34-70847
Jan. 13, 2014
265-28
Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Comments Due: View Received Comments Federal Register version (79 FR 3260)
34-71276
Jan. 10, 2014
4-669
Order Declaring Effective a Minor Rule Violation Plan for Topaz Exchange, LLC Comments Due: Notice Rel. No. 34-70927 Federal Register version (79 FR 2919)
SIPA-172
Jan. 9, 2014
SIPC-2012-01
Rules of the Securities Investor Protection Corporation Federal Register version (79 FR 2779)
33-9505, 34-71192
Dec. 26, 2013
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
Dec. 26, 2013
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
Dec. 26, 2013
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
Dec. 12, 2013
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)
