Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-99060 PCAOB-2023-02 Order Granting Approval of Auditing Standard Governing the Auditor’s Use of Confirmation
34-99011 S7-21-21 In the Matter of Share Repurchase Disclosure Modernization (Order Issuing Stay)
34-98985 2024-2 Order Determining Whistleblower Award Claim
34-98902 4-809 Order Granting ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
See Also - ICEU CA Withdrawal Request Letter
PA-61 S7-19-23 Privacy Act of 1974: Systems of Records
Comments Due: November 30, 2023
Submit a Comment on S7-19-23
Federal Register version (88 FR 74550)
34-98746 10-240 MIAX Sapphire, 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: December 4, 2023
View Received Comments
See Also - Form 1 Application and Exhibits
34-98736 2024-1 Order Determining Whistleblower Award Claim
33-11252, 34-98699, IA-6454, IC-35030 S7-17-23 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
33-11252, 34-98699, IA-6454, IC-35030 S7-17-23 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
33-11252, 34-98699, IA-6454, IC-35030 S7-17-23 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
33-11252, 34-98699, IA-6454, IC-35030 S7-17-23 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
34-98689 PCAOB-2023-02 Notice of Filing of Proposed Rules on the Auditor’s Use of Confirmation, and Other Amendments to Related PCAOB Standards
Comments Due: November 7, 2023
View Received Comments
Submit a Comment on PCAOB-2023-02
34-98680 Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-98672 Public Availability of the Security and Exchange Commission's FY 2020 Service Contract Inventory
34-98668 Order Regarding Net Capital Computation for Jefferies Financial Services, Inc.
34-98642 Order Scheduling Filing of Statements of Review for SR-FINRA-2022-032
34-98655 2023-84 Order Determining Whistleblower Award Claim
33-11249 Certain Broker-Dealer Practices
34-98590 Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
34-98488 Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc.
See Also - FINRA Incoming Fingerprint Plan Cover Letter
34-98340 2023-83 Order Determining Whistleblower Award Claim
34-98331 4-809 Notice of Filing and Request for Comment on ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
Comments Due: October 5, 2023
Submit a Comment on 4-809
34-98236 2023-82 Order Determining Whistleblower Award Claim
34-98235 2023-81 Order Determining Whistleblower Award Claim
33-11225; 34-98226; IA-6388; IC-34993, S7-14-23 Fall 2023 Regulatory Flexibility Agenda
Comments Due: March 11, 2024
View Received Comments
Submit a Comment on S7-14-23
Federal Register version
33-11225; 34-98226; IA-6388; IC-34993, S7-14-23 Fall 2023 Regulatory Flexibility Agenda
Comments Due: March 11, 2024
View Received Comments
Submit a Comment on S7-14-23
Federal Register version
33-11224; 34-98223 Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates
34-98219 2023-79 Order Determining Whistleblower Award Claim
34-98220 2023-80 Order Determining Whistleblower Award Claim
34-98208 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-98198 2023-77 Order Determining Whistleblower Award Claim
34-98199 2023-78 Order Determining Whistleblower Award Claim
34-98196 2023-76 Order Determining Whistleblower Award Claims
34-98117 Order Extending the Effective Date of the Form BDW of Monmouth Capital Management LLC
33-11221 Certain Broker-Dealer Practices
34-98054 2023-75 Order Determining Whistleblower Award Claim
34-97879 2023-74 Order Determining Whistleblower Award Claim
IA-6339 Order Cancelling Registrations of Certain Investment Advisers Pursuant To Section 203(H) of the Investment Advisers Act of 1940
34-97838 2023-73 Order Determining Whistleblower Award Claim
34-97831 2023-72 Order Determining Whistleblower Award Claim
34-97826 2023-71 Order Determining Whistleblower Award Claim
34-97805 2023-70 Order Determining Whistleblower Award Claim
34-97804 2023-69 Order Determining Whistleblower Award Claim
34-97803 2023-68 Order Determining Whistleblower Award Claim
34-97728 2023-67 Order Determining Whistleblower Award Claim
34-97683 2023-66 Order Determining Whistleblower Award Claim
IA-6322 Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers Act of 1940
34-97612 2023-65 Order Determining Whistleblower Award Claim
34-97601 2023-64 Order Determining Whistleblower Award Claim
34-97600 2023-63 Order Determining Whistleblower Award Claim
34-97599 2023-62 Order Determining Whistleblower Award Claim
34-97598 2023-61 Order Determining Whistleblower Award Claim
34-97573 2023-60 Order Determining Whistleblower Award Claim
34-97529 2023-59 Order Determining Whistleblower Award Claim
34-97524 2023-58 Order Determining Whistleblower Award Claim
33-11182 Certain Broker-Dealer Practices: (Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act OF 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(a)(4), 506(d)(1)(iv), AND
34-97450 2023-57 Order Determining Whistleblower Award Claim
34-97449 2023-56 Order Determining Whistleblower Award Claim
34-97438 2023-55 Order Determining Whistleblower Award Claim
34-97408 2023-54 Order Determining Whistleblower Award Claim
34-97397 2023-53 Order Determining Whistleblower Award Claim
34-97396 2023-52 Order Determining Whistleblower Award Claim
34-97395 2023-51 Order Determining Whistleblower Award Claim
34-97295 2023-50 Order Determining Whistleblower Award Claim
33-11178, 34-97286, IA-6281, IC-34884 S7-09-23 Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
33-11178, 34-97286, IA-6281, IC-34884 S7-09-23 Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
33-11178, 34-97286, IA-6281, IC-34884 S7-09-23 Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
33-11178, 34-97286, IA-6281, IC-34884 S7-09-23 Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
34-97285 2023-49 Order Determining Whistleblower Award Claim
34-97226 2023-45 Order Determining Whistleblower Award Claim
34-97227 2023-46 Order Determining Whistleblower Award Claim
34-97228 2023-47 Order Determining Whistleblower Award Claim
34-97229 2023-48 Order Determining Whistleblower Award Claim
34-97222 2023-44 Order Determining Whistleblower Award Claim
34-97202 2023-42 Order Determining Whistleblower Award Claim
34-97205 2023-43 Order Determining Whistleblower Award Claim
34-97051 2023-41 Order Determining Whistleblower Award Claim
34-97043 10-239 24X National Exchange LLC; Notice of Withdrawal of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Federal Register version (88 FR 14663)
34-97015 2023-40 Order Determining Whistleblower Award Claim
34-96983 2023-39 Order Determining Whistleblower Award Claim
34-96970 2023-37 Order Determining Whistleblower Award Claim
34-96971 2023-38 Order Determining Whistleblower Award Claim
34-96923 2023-36 Order Determining Whistleblower Award Claim
34-96887 2023-35 Order Determining Whistleblower Award Claim
33-11155, 34-96851 Order Regarding Review of FASB Accounting Support Fee for 2023 under Section 109 of the Sarbanes-Oxley Act of 2002
33-11155, 34-96851 Order Regarding Review of FASB Accounting Support Fee for 2023 under Section 109 of the Sarbanes-Oxley Act of 2002
34-96788 SR-MEMX-2021-10 In the Matter of the MEMX LLC Regarding an Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program (File No. SR-MEMX-2021-10); Order Scheduling Filing of Statements on Review
Federal Register version (88 FR 8008)
34-96765 2023-33 Order Determining Whistleblower Award Claim
34-96767 2023-34 Order Determining Whistleblower Award Claim
34-96739 2023-32 Order Determining Whistleblower Award Claim
34-96724 Order Making Fiscal Year 2023 Annual Adjustments to Transaction Fee Rates
Federal Register version (88 FR 5051)
34-96705 2023-30 Order Determining Whistleblower Award Claim
34-96708 2023-31 Order Determining Whistleblower Award Claim
34-96669 2023-29 Order Determining Whistleblower Award Claim
34-96656 2023-25 Order Determining Whistleblower Award Claim
34-96657 2023-26 Order Determining Whistleblower Award Claim
34-96658 2023-27 Order Determining Whistleblower Award Claim
34-96667 2023-28 Order Determining Whistleblower Award Claim
34-96641 2023-23 Order Determining Whistleblower Award Claim
34-96642 2023-24 Order Determining Whistleblower Award Claim
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