Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
33-9141, 34-62881, IA-3081, IC-29414 S7-21-10 Regulatory Flexibility Agenda
Comments Due: December 30, 2010
Submit a Comment on S7-21-10
Federal Register version (75 FR 79937)
33-9141, 34-62881, IA-3081, IC-29414 S7-21-10 Regulatory Flexibility Agenda
Comments Due: December 30, 2010
Submit a Comment on S7-21-10
Federal Register version (75 FR 79937)
33-9141, 34-62881, IA-3081, IC-29414 S7-21-10 Regulatory Flexibility Agenda
Comments Due: December 30, 2010
Submit a Comment on S7-21-10
Federal Register version (75 FR 79937)
33-9141, 34-62881, IA-3081, IC-29414 S7-21-10 Regulatory Flexibility Agenda
Comments Due: December 30, 2010
Submit a Comment on S7-21-10
Federal Register version (75 FR 79937)
34-62863 4-611 Joint Public Roundtable To Discuss Data for Swaps and Security-Based Swaps, Swap Data Repositories, Security-Based Swap Data Repositories, and Real-Time Public Reporting
View Received Comments
Submit a Comment on 4-611
Federal Register version (75 FR 55575)
34-62864 4-612 Joint Public Roundtable on Swap Execution Facilities and Security-Based Swap Execution Facilities
View Received Comments
Submit a Comment on 4-612
Federal Register version (75 FR 55574)
34-62853 4-610 State of the Municipal Securities Market Field Hearings
View Received Comments
Submit a Comment on 4-610
Federal Register version (75 FR 55392)
33-9138, 34-62841, 39-2470, IA-3078, IC-29408 S7-20-10 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: December 15, 2010
Submit a Comment on S7-20-10
Federal Register version (75 FR 55295)
33-9138, 34-62841, 39-2470, IA-3078, IC-29408 S7-20-10 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: December 15, 2010
Submit a Comment on S7-20-10
Federal Register version (75 FR 55295)
33-9138, 34-62841, 39-2470, IA-3078, IC-29408 S7-20-10 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: December 15, 2010
Submit a Comment on S7-20-10
Federal Register version (75 FR 55295)
33-9138, 34-62841, 39-2470, IA-3078, IC-29408 S7-20-10 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: December 15, 2010
Submit a Comment on S7-20-10
Federal Register version (75 FR 55295)
33-9138, 34-62841, 39-2470, IA-3078, IC-29408 S7-20-10 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: December 15, 2010
Submit a Comment on S7-20-10
Federal Register version (75 FR 55295)
34-62784 Notice Regarding the Requirement To Use eXtensible Business Reporting Language Format To Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act
Federal Register version (75 FR 53988)
PA-44A S7-17-10 Privacy Act of 1974: Systems of Records
Comments Due: September 22, 2010
Submit a Comment on S7-17-10
Federal Register version (75 FR 54662)
34-62725 4-609 Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps and Security-Based Swaps
Submit a Comment on 4-609
Federal Register version (75 FR 51305)
34-62716 10-198 In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission
Federal Register version (75 FR 51295)
34-62717 S7-16-10 Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
Comments Due: September 20, 2010
View Received Comments
See Also - for this notice Federal Register version
Submit a Comment on S7-16-10
Federal Register version (75 FR 51429)
33-9133, 34-62699 4-607 Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers
Comments Due: October 18, 2010
View Received Comments
Submit a Comment on 4-607
Federal Register version (75 FR 51148)
33-9134, 34-62700 4-608 Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers
Comments Due: October 18, 2010
View Received Comments
Submit a Comment on 4-608
Federal Register version (75 FR 51150)
33-9133, 34-62699 4-607 Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers
Comments Due: October 18, 2010
View Received Comments
Submit a Comment on 4-607
Federal Register version (75 FR 51148)
33-9134, 34-62700 4-608 Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers
Comments Due: October 18, 2010
View Received Comments
Submit a Comment on 4-608
Federal Register version (75 FR 51150)
33-9131 General Electric Company (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) & 602(b)(4) Disqualification Provisions)
34-62577, IA-3058 4-606 Study Regarding Obligations of Brokers, Dealers, and Investment Advisers
Comments Due: August 30, 2010
View Received Comments
Submit a Comment on 4-606
Federal Register version (75 FR 44996)
34-62577, IA-3058 4-606 Study Regarding Obligations of Brokers, Dealers, and Investment Advisers
Comments Due: August 30, 2010
View Received Comments
Submit a Comment on 4-606
Federal Register version (75 FR 44996)
34-62552 265-26 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Comments Due: August 10, 2010
View Received Comments
Submit a Comment on 265-26
Federal Register version (75 FR 44781)
33-9129 Goldman, Sachs & Co. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(2) & 602(b)(4) Disqualification Provisions)
33-9130, 34-62556 Goldman, Sachs & Co. (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 Goldman, Sachs & Co. And Its Affiliates)
33-9130, 34-62556 Goldman, Sachs & Co. (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 Goldman, Sachs & Co. And Its Affiliates)
34-62348 600-23 Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
Comments Due: July 19, 2010
Submit a Comment on 600-23
Federal Register version (75 FR 36723)
PA-43 S7-13-10 Privacy Act of 1974: Systems of Records
Comments Due: July 23, 2010
View Received Comments
Submit a Comment on S7-13-10
Federal Register version (75 FR 35853)
34-62266 265-26 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Comments Due: June 18, 2010
View Received Comments
Submit a Comment on 265-26
Federal Register version (75 FR 34704)
34-62115 4-602 Market Structure Roundtable
Comments Due: June 23, 2010
View Received Comments
Submit a Comment on 4-602
Federal Register version (75 FR 28667)
34-62114 265-26 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues)
Comments Due: May 21, 2010
View Received Comments
Submit a Comment on 265-26
33-9123, 34-61982 265-26 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
View Received Comments
Submit a Comment on 265-26
Federal Register version (75 FR 27028)
33-9123, 34-61982 265-26 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
View Received Comments
Submit a Comment on 265-26
Federal Register version (75 FR 27028)
34-62036 4-594 EDGX Exchange, Inc.
See Also - Rel. No. 34-61752
Federal Register version (75 FR 26822)
34-62037 4-595 EDGA Exchange, Inc.
See Also - Rel. No. 34-61753
Federal Register version (75 FR 26827)
33-9122, 34-62005 Order Making Fiscal Year 2011 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 1934
Federal Register version (75 FR 24757)
33-9122, 34-62005 Order Making Fiscal Year 2011 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 1934
Federal Register version (75 FR 24757)
34-61995 Patrick C. Lubin (Order Approving Application for Relief from a Statutory Disqualification)
33-9120, 34-61982 265-25-04 Investor Advisory Committee
Comments Due: May 10, 2010
View Received Comments
Submit a Comment on 265-25-04
Federal Register version (75 FR 22640)
33-9120, 34-61982 265-25-04 Investor Advisory Committee
Comments Due: May 10, 2010
View Received Comments
Submit a Comment on 265-25-04
Federal Register version (75 FR 22640)
34-61930 Wynnefield Capital Management LLC and Wynnefield Capital, Inc. (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption From Rule 13f-1 Under the Securities Exchange Act of 1934)
PA-42 S7-07-10 Privacy Act of 1974: Systems of Records
Comments Due: May 10, 2010
Submit a Comment on S7-07-10
Federal Register version (75 FR 17978)
34-61803 S7-06-09 Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments
View Received Comments
Submit a Comment on S7-06-09
Federal Register version (75 FR 17181)
34-61752 4-594 EDGX Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: April 28, 2010
See Also - Rel. No. 34-62036
Federal Register version (75 FR 15475)
34-61753 4-595 EDGA Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: April 28, 2010
See Also - Rel. No. 34-62037
Federal Register version (75 FR 15471)
34-61722 SR-ISE-2009-35 Chicago Board Options Exchange, Inc. (Order Extending Time to File Statements)
See Also - Statements received are available, Rel. No. 34-60989
33-9112, 34-61714, IA-3001, IC-29175 S7-06-10 Regulatory Flexibility Agenda
Comments Due: June 30, 2010
Submit a Comment on S7-06-10
Federal Register version (75 FR 21963)
33-9112, 34-61714, IA-3001, IC-29175 S7-06-10 Regulatory Flexibility Agenda
Comments Due: June 30, 2010
Submit a Comment on S7-06-10
Federal Register version (75 FR 21963)
33-9112, 34-61714, IA-3001, IC-29175 S7-06-10 Regulatory Flexibility Agenda
Comments Due: June 30, 2010
Submit a Comment on S7-06-10
Federal Register version (75 FR 21963)
33-9112, 34-61714, IA-3001, IC-29175 S7-06-10 Regulatory Flexibility Agenda
Comments Due: June 30, 2010
Submit a Comment on S7-06-10
Federal Register version (75 FR 21963)
34-61698 10-196 1 In the Matter of the Applications of EDGX Exchange, Inc., and EDGA Exchange, Inc. for Registration as National Securities Exchanges; Findings, Opinion, and Order of the Commission
File Nos.: 10-196, 10-194 See Also - EDGX Amendment No. 2, and EDGA Amendment No. 2
Federal Register version (75 FR 13151)
34-61651 Policy Statement on Obtaining and Retaining Beneficial Ownership Information for Anti-Money Laundering Purposes
See Also - Joint Release - Guidance on Obtaining and Retaining Beneficial Ownership Information
Federal Register version (75 FR 11207)
34-61662 S7-05-09 Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments
View Received Comments
See Also - ICE Request Letter
Submit a Comment on S7-05-09
Federal Register version (75 FR 11589)
34-61605 Order Making Fiscal Year 2010 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
Federal Register version (75 FR 9964)
PA-41 S7-05-10 Privacy Act of 1974: Systems of Records
Comments Due: April 5, 2010
See Also - 2010 Submit comments on S7-05-10 Federal Register version
Submit a Comment on S7-05-10
Federal Register version (75 FR 9968)
33-9109, 34-61578 Commission Statement in Support of Convergence and Global Accounting Standards
See Also - 34-61578 Federal Register version
Federal Register version (75 FR 9493)
33-9109, 34-61578 Commission Statement in Support of Convergence and Global Accounting Standards
See Also - 34-61578 Federal Register version
Federal Register version (75 FR 9493)
33-9105, 34-61468 Order Regarding Review of FASB Accounting Support Fee for 2010 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-9105, 34-61468 Order Regarding Review of FASB Accounting Support Fee for 2010 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-9104, 34-61462 265-25-03 Investor Advisory Committee
Comments Due: February 16, 2010
View Received Comments
Submit a Comment on 265-25-03
Federal Register version (75 FR 6071)
33-9104, 34-61462 265-25-03 Investor Advisory Committee
Comments Due: February 16, 2010
View Received Comments
Submit a Comment on 265-25-03
Federal Register version (75 FR 6071)
33-9103, 34-61428 3-13557 TD Ameritrade, 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)
33-9103, 34-61428 3-13557 TD Ameritrade, 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)
34-61400 10-198 BATS Y-Exchange, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: March 15, 2010
See Also - Form 1 Application and Exhibits
Submit a Comment on 10-198
Federal Register version (75 FR 4595)
34-61366 Full Value Advisors, LLC (Stay Order)
34-61327 Full Value Advisors, LLC (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Securities Exchange Act of 1934)
34-61328 Full Value Advisors, LLC (Order Pursuant to Sections 13(f)(3) and 13(f)(4) of the Securities Exchange Act of 1934 Denying Requests for Confidential Treatment of Information Required to be Filed Pursuant to Section 13(f)(1) of the Securities Echange Act of 1934)
33-9099, 34-61212 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2010
33-9099, 34-61212 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2010
33-9090, 34-61182 Investools 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 Investools Inc. and Its Affiliates)
33-9091 Investools 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)
33-9090, 34-61182 Investools 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 Investools Inc. and Its Affiliates)
34-61164 S7-06-09 Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments
Federal Register version (74 FR 67258)
34-61152 10-191 In the Matter of the Application of C2 Options Exchange, Incorporated for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission
Comments Due: 45 days after publication in the Federal Register
View Received Comments
See Also - Amendment No. 1
Federal Register version (74 FR 66699)
IA-2959 S7-29-09 Approval of Investment Adviser Registration Depository Filing Fees
Comments Due: February 1, 2010
See Also - 2009
Federal Register version (74 FR 66710)
34-61119 S7-05-09 Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request From ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments
View Received Comments
See Also - ICE Request Letter
Federal Register version (74 FR 65554)
34-61027 Joint Order Modifying the Listing Standards Requirements Under Section 6(h) of the Securities Exchange Act of 1934 and the Criteria Under Section 2(a)(1) of the Commodity Exchange Act
Federal Register version (74 FR 61380)
34-61020 Joint Order To Exclude Indexes Composed of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934
See Also - Rel. No. 34-49469
Federal Register version (74 FR 61116)
34-60988 SR-ISE-2009-35 Chicago Board Options Exchange, Inc. (Order Denying International Securities Exchange, LLC's Motion to Lift the Commission Rule 431(e) Automatic Stay of Delegated Action Triggered by Chicago Board Options Exchange, Incorporated's Notice of Intention to Petition for Review)
34-60989 SR-ISE-2009-35 Chicago Board Options Exchange, Inc. (Order Granting Petition for Review and Scheduling Filing of Statements)
See Also - Statements received are available, Rel. No. 34-61722
33-9082, 34-60955, IA-2947, IC-28992 S7-26-09 [No title available]
File Nos.: S7-26-09, [No title available] Comments Due: December 31, 2009
Federal Register version (74 FR 64575)
33-9082, 34-60955, IA-2947, IC-28992 S7-26-09 [No title available]
File Nos.: S7-26-09, [No title available] Comments Due: December 31, 2009
Federal Register version (74 FR 64575)
33-9082, 34-60955, IA-2947, IC-28992 S7-26-09 [No title available]
File Nos.: S7-26-09, [No title available] Comments Due: December 31, 2009
Federal Register version (74 FR 64575)
33-9082, 34-60955, IA-2947, IC-28992 S7-26-09 [No title available]
File Nos.: S7-26-09, [No title available] Comments Due: December 31, 2009
Federal Register version (74 FR 64575)
33-9079 3-13673 J.P. Morgan Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9080, 34-60929 3-13673 J.P. Morgan Securities 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)
33-9080, 34-60929 3-13673 J.P. Morgan Securities 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)
33-9075 3-13664 Banc of America Investment Services, Inc. (Order Under Rule 602(e) Of The Securities Act of 1933 Granting A Waiver Of The Rule 602(c)(3) Disqualification Provision)
34-60799 Draft 2010-2015 Strategic Plan for Securities and Exchange Commission
Submit a Comment
Federal Register version (74 FR 52993)
IA-2933 Gary L. Pittsford (Order Granting Consent to Associate)
34-60730 David M. Bonrouhi (Order Approving Application for Relief From a Statutory Disqualification)
33-9064, 34-60672 265-25-02 Investor Advisory Committee
Comments Due: September 28, 2009
View Received Comments
Federal Register version (74 FR 48107)
33-9064, 34-60672 265-25-02 Investor Advisory Committee
Comments Due: September 28, 2009
View Received Comments
Federal Register version (74 FR 48107)
SIPA-168 Order Affirming Determination by the Securities Investor Protection Corporation (SIPC) That VPE WertpapierhandelsBank AG Is Not a Member of SIPC
34-60651 10-194 EDGX Exchange, Inc., and EDGA Exchange, Inc.; Notice of Filing of Applications, as Amended, for Registration as National Securities Exchanges Under Section 6 of the Securities Exchange Act of 1934
Comments Due: November 2, 2009
See Also - EDGX Form 1 Application and Exhibits, EDGA Form 1 Application and Exhibits
Federal Register version (74 FR 47827)
34-60643 4-590 Securities Lending and Short Sale Roundtable
Comments Due: October 30, 2009
View Received Comments
Federal Register version (74 FR 47628)
PA-40 S7-19-09 Privacy Act of 1974: Establishment of a System of Records
Comments Due: October 8, 2009
View Received Comments
Federal Register version (74 FR 46254)
34-60539 4-588 Joint Meetings on Harmonization of Regulation
Comments Due: September 14, 2009
View Received Comments
Federal Register version (74 FR 42948)
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