33-9491, 34-70984
Dec. 4, 2013
Fifth Third Bancorp (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)
33-9491, 34-70984
Dec. 4, 2013
Fifth Third Bancorp (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)
33-9489
Dec. 3, 2013
RBS Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) & 602(c)(2) Disqualification Provisions)
33-9487, 34-70949
Nov. 26, 2013
The Royal Bank of Scotland Group plc (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 the Royal Bank of Scotland Group plc and Its Affiliates)
33-9487, 34-70949
Nov. 26, 2013
The Royal Bank of Scotland Group plc (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 the Royal Bank of Scotland Group plc and Its Affiliates)
34-70927
Nov. 22, 2013
4-669
Topaz Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan Comments Due: Federal Register version (78 FR 71689)
34-70929, IA-3721
Nov. 22, 2013
4-670
Proxy Advisory Firm Roundtable Comments Due: View Received Comments Federal Register version (78 FR 70987)
34-70929, IA-3721
Nov. 22, 2013
4-670
Proxy Advisory Firm Roundtable Comments Due: View Received Comments Federal Register version (78 FR 70987)
33-9476, 34-70847
Nov. 12, 2013
265-28
Dodd-Frank Investor Advisory Committee; Meeting Comments Due: View Received Comments Federal Register version (78 FR 68887)
33-9476, 34-70847
Nov. 12, 2013
265-28
Dodd-Frank Investor Advisory Committee; Meeting Comments Due: View Received Comments Federal Register version (78 FR 68887)
33-9475, 34-70819, IA-3711, IC-30775
Nov. 6, 2013
S7-10-13
Regulatory Flexibility Agenda Comments Due: Federal Register version (79 FR 1298)
33-9475, 34-70819, IA-3711, IC-30775
Nov. 6, 2013
S7-10-13
Regulatory Flexibility Agenda Comments Due: Federal Register version (79 FR 1298)
33-9475, 34-70819, IA-3711, IC-30775
Nov. 6, 2013
S7-10-13
Regulatory Flexibility Agenda Comments Due: Federal Register version (79 FR 1298)
33-9475, 34-70819, IA-3711, IC-30775
Nov. 6, 2013
S7-10-13
Regulatory Flexibility Agenda Comments Due: Federal Register version (79 FR 1298)
34-70775
Oct. 30, 2013
2014-2
Order Determining Whistleblower Award Claim
34-70772
Oct. 30, 2013
2014-1
Order Denying Whistleblower Award Claim
SIPA-171
Oct. 29, 2013
SIPC-2012-01
Securities Investor Protection Corporation Comments Due: Federal Register version (78 FR 66318)
34-70554
Sept. 30, 2013
2013-4
Order Determining Whistleblower Award Claim
33-9456, 34-70491
Sept. 24, 2013
265-27
Advisory Committee on Small and Emerging Companies Federal Register version (78 FR 59991)
33-9456, 34-70491
Sept. 24, 2013
265-27
Advisory Committee on Small and Emerging Companies Federal Register version (78 FR 59991)
33-9447, 34-70298
Aug. 30, 2013
Order Making Fiscal Year 2014 Annual Adjustments to Registration Fee Rates Federal Register version (78 FR 54934)
33-9447, 34-70298
Aug. 30, 2013
Order Making Fiscal Year 2014 Annual Adjustments to Registration Fee Rates Federal Register version (78 FR 54934)
34-70293
Aug. 30, 2013
2013-3
Order Determining Whistleblower Award Claim
33-9445, 34-70251
Aug. 23, 2013
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (78 FR 53489)
33-9445, 34-70251
Aug. 23, 2013
265-27
SEC Advisory Committee on Small and Emerging Companies Comments Due: View Received Comments Federal Register version (78 FR 53489)
33-9439, 34-70122
Aug. 6, 2013
3-15407
UBS Securities LLC (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 UBS Securities LLC and Its Affiliates)
33-9439, 34-70122
Aug. 6, 2013
3-15407
UBS Securities LLC (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 UBS Securities LLC and Its Affiliates)
33-9436
July 31, 2013
3-15399
A.R. Schmeidler & Co., Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3)Disqualification Provision)
34-70050
July 26, 2013
10-209
Application of Topaz Exchange, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission Form 1 Application and Exhibits , Amendment No. 3 Federal Register version (78 FR 46622)
IA-3631
July 18, 2013
Bruce Lieberman (Order Granting Consent to Associate)
33-9421
July 17, 2013
Yuma Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186345)
33-9420
July 17, 2013
Tuba City Gold Corp. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185848)
33-9419
July 17, 2013
Seaview Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186344)
33-9431
July 17, 2013
Lost Hills Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186343)
33-9430
July 17, 2013
Kingman River Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186342)
33-9429
July 17, 2013
Jewel Explorations Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186202)
33-9428
July 17, 2013
Goldstream Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-183086)
33-9427
July 17, 2013
Gold Camp Explorations Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185851)
33-9432
July 17, 2013
Gaspard Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186201)
33-9426
July 17, 2013
Eclipse Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185227)
33-9425
July 17, 2013
Coronation Mining Corp. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186203)
33-9424
July 17, 2013
Chum Mining Group Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185210)
33-9423
July 17, 2013
CBL Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186341)
33-9422
July 17, 2013
Bonanza Resources Corp. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186340)
33-9418, 34-69988
July 15, 2013
265-28
Dodd-Frank Investor Advisory Committee View Received Comments Federal Register version (78 FR 43254)
33-9418, 34-69988
July 15, 2013
265-28
Dodd-Frank Investor Advisory Committee View Received Comments Federal Register version (78 FR 43254)
PA-50
July 8, 2013
S7-05-13
Privacy Act of 1974: Systems of Records Comments Due: Federal Register version (78 FR 41962)
33-9412
July 3, 2013
La Paz Mining Corp. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-182751)
33-9411
July 3, 2013
Clearpoint Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185849)
33-9410
July 3, 2013
Braxton Resources Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185850)
34-69912
July 2, 2013
2013-2
Order Determining Whistleblower Award Claim
34-69918
July 2, 2013
Frank P. Meadows (Order Granting Consent to Associate)
34-69838
June 24, 2013
600-23
Order Granting the Fixed Income Clearing Corporation's Amended Application for Permanent Registration as a Clearing Agency Comments Due: Rel. No. 34-69362 Federal Register version (78 FR 39027)
33-9409, 34-69800, IA-3617, IC-30563
June 19, 2013
S7-04-13
Regulatory Flexibility Agenda Comments Due: Federal Register version (78 FR 44407)
33-9409, 34-69800, IA-3617, IC-30563
June 19, 2013
S7-04-13
Regulatory Flexibility Agenda Comments Due: Federal Register version (78 FR 44407)
33-9409, 34-69800, IA-3617, IC-30563
June 19, 2013
S7-04-13
Regulatory Flexibility Agenda Comments Due: Federal Register version (78 FR 44407)
33-9409, 34-69800, IA-3617, IC-30563
June 19, 2013
S7-04-13
Regulatory Flexibility Agenda Comments Due: Federal Register version (78 FR 44407)
34-69749
June 12, 2013
2013-1
Order Determining Whistleblower Award Claim
34-69520
May 6, 2013
4-661
Credit Ratings Roundtable Federal Register version (78 FR 27452)
34-69477
April 30, 2013
81-939
Notice of an Application of W2007 Grace Acquisition I, Inc. Under Section 12(h) of the Securities Exchange Act of 1934 Comments Due: View Received Comments Application , and Supplemental Letter Federal Register version (78 FR 26407)
34-69449
April 25, 2013
Order Making Fiscal Year 2013 Annual Adjustments to Transaction Fee Rates Federal Register version (78 FR 25515)
34-69433
April 23, 2013
4-661
Credit Ratings Roundtable Comments Due: View Received Comments Federal Register version (78 FR 25101)
34-69362
April 11, 2013
600-23
FICCSelf-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amended Application for Registration as a Clearing Agency Comments Due: Correction of Notice , Form CA-1 and Schedule A , Exhibits A through D , Exhibit E , Exhibit F , Exhibit G , Cross-Margining Agreement , Netting Contract and Limited Cross-Guaranty , Exhibits H through I , Exhibits J through R , Supplemental Letter Regarding Internal Accounting Controls and Audited Financial Statements , Amendment to Exhibit A - Item 10 , Amendment to Exhibit A - Item 10 , Rel. No. 34-69838 Federal Register version (78 FR 22923)
33-9399, 34-69316
April 5, 2013
265-27
SEC Advisory Committee on Small and Emerging Companies View Received Comments Federal Register version (78 FR 21432)
33-9399, 34-69316
April 5, 2013
265-27
SEC Advisory Committee on Small and Emerging Companies View Received Comments Federal Register version (78 FR 21432)
34-69275
April 2, 2013
4-660
Fixed Income Roundtable View Received Comments Federal Register version (78 FR 20705)
33-9398, 34-69265
April 2, 2013
FASB (Order Regarding Review of FASB Accounting Support Fee for 2013 Under Section 109 of the Sarbanes-Oxley Act of 2002)
33-9398, 34-69265
April 2, 2013
FASB (Order Regarding Review of FASB Accounting Support Fee for 2013 Under Section 109 of the Sarbanes-Oxley Act of 2002)
33-9397, 34-69257
March 29, 2013
265-28
Dodd-Frank Investor Advisory Committee View Received Comments Federal Register version (78 FR 20156)
33-9397, 34-69257
March 29, 2013
265-28
Dodd-Frank Investor Advisory Committee View Received Comments Federal Register version (78 FR 20156)
33-9391
March 11, 2013
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC (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 Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC)
33-9392
March 11, 2013
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
34-69011
March 1, 2013
Topaz Exchange, 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 Incoming Letter Federal Register version (78 FR 14844)
34-69012
March 1, 2013
10-209
Topaz Exchange, 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 (78 FR 14847)
34-69013, IA-3558
March 1, 2013
4-606
Duties of Brokers, Dealers, and Investment Advisers Comments Due: View Received Comments Federal Register version (78 FR 14848)
34-69013, IA-3558
March 1, 2013
4-606
Duties of Brokers, Dealers, and Investment Advisers Comments Due: View Received Comments Federal Register version (78 FR 14848)
34-68992
Feb. 27, 2013
Public Availability of the Securities and Exchange Commission's FY 2012 Service Contract Inventory Federal Register version (78 FR 14141)
33-9384, 34-68921
Feb. 13, 2013
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2013
33-9384, 34-68921
Feb. 13, 2013
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2013
IA-3547
Feb. 6, 2013
Investment Adviser Registration Cancellations (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
33-9379, 34-68604
Jan. 9, 2013
265-27
Advisory Committee on Small and Emerging Companies; Meeting View Received Comments Federal Register version (78 FR 2706)
33-9379, 34-68604
Jan. 9, 2013
265-27
Advisory Committee on Small and Emerging Companies; Meeting View Received Comments Federal Register version (78 FR 2706)
33-9381, 34-68610
Jan. 9, 2013
JPMorgan Chase & Co. (Order Granting Waivers)
33-9381, 34-68610
Jan. 9, 2013
JPMorgan Chase & Co. (Order Granting Waivers)
33-9380
Jan. 9, 2013
J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, INC., And J.P. Morgan Acceptance Corporation I (Order Granting a Waiver)
33-9378, 34-68603
Jan. 9, 2013
265-28
Dodd-Frank Investor Advisory Committee View Received Comments Federal Register version (78 FR 2706)
33-9378, 34-68603
Jan. 9, 2013
265-28
Dodd-Frank Investor Advisory Committee View Received Comments Federal Register version (78 FR 2706)
34-68510
Dec. 21, 2012
4-657
Decimalization Roundtable View Received Comments Federal Register version (77 FR 76572)
34-68489
Dec. 20, 2012
4-655
BOX Options Exchange LLC Federal Register version (77 FR 76319)
34-68341
Dec. 3, 2012
10-207
In the Matter of the Application of Miami International Securities Exchange, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission Form 1 Application and Exhibits , Amendment No. 1 Federal Register version (77 FR 73065)
33-9370, 34-68309, 39-2487, IA-3506, IC-30282
Nov. 28, 2012
S7-12-12
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (77 FR 71743)
33-9370, 34-68309, 39-2487, IA-3506, IC-30282
Nov. 28, 2012
S7-12-12
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (77 FR 71743)
33-9370, 34-68309, 39-2487, IA-3506, IC-30282
Nov. 28, 2012
S7-12-12
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (77 FR 71743)
33-9370, 34-68309, 39-2487, IA-3506, IC-30282
Nov. 28, 2012
S7-12-12
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (77 FR 71743)
33-9370, 34-68309, 39-2487, IA-3506, IC-30282
Nov. 28, 2012
S7-12-12
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (77 FR 71743)
33-9369, 34-68273
Nov. 20, 2012
Credit Suisse Securities (USA), LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation (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)
33-9369, 34-68273
Nov. 20, 2012
Credit Suisse Securities (USA), LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation (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)
34-68266
Nov. 19, 2012
Financial Industry Regulatory Authority, Inc. (Order Approving Application for Relief from a Statutory Disqualification)
34-68224, IC-30261
Nov. 14, 2012
Hurricane Sandy Exemptive Orders (Order Under 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 and 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)
34-68224, IC-30261
Nov. 14, 2012
Hurricane Sandy Exemptive Orders (Order Under 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 and 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)
