Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-97015 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
34-96604 2023-22 Order Determining Whistleblower Award Claim
33-11143, 34-96605, IA-6212, IC-34797 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
33-11143, 34-96605, IA-6212, IC-34797 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
33-11143, 34-96605, IA-6212, IC-34797 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
33-11143, 34-96605, IA-6212, IC-34797 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
33-11142, 34-96577 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023
33-11142, 34-96577 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023
34-96541 Order Scheduling Filing of Statements on Review; In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008)
View Received Comments
Federal Register version (87 FR 79014)
34-96527 2023-21 Order Determining Whistleblower Award Claim
34-96474 2023-20 Order Determining Whistleblower Award Claim
PA-58 S7-28-22 Privacy Act of 1974; System of Records
Comments Due: January 6, 2023
Submit a Comment on S7-28-22
Federal Register version (87 FR 76097)
34-96439 2023-19 Order Determining Whistleblower Award Claim
34-96399 2023-18 Order Determining Whistleblower Award Claim
33-11136, 34-96386, IC-34765 S7-27-22 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 3, 2023
Federal Register version (87 FR 74057)
See Also - Staff Summaries of 2013 Rule Reviews
34-96381 2023-17 Order Determining Whistleblower Award Claim
33-11136, 34-96386, IC-34765 S7-27-22 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 3, 2023
Federal Register version (87 FR 74057)
See Also - Staff Summaries of 2013 Rule Reviews
33-11136, 34-96386, IC-34765 S7-27-22 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 3, 2023
Federal Register version (87 FR 74057)
See Also - Staff Summaries of 2013 Rule Reviews
34-96366 2023-16 Order Determining Whistleblower Award Claim
34-96354 Order Cancelling Registrations of Certain Transfer Agents
Federal Register version (87 FR 72577)
34-96364 10-239 In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
See Also - Form 1 Application and Exhibits
Federal Register version (87 FR 72553)
34-96337 10-239 24X National Exchange LLC; Notice of Filing of Amendment No. 2 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: December 13, 2022
View Received Comments
See Also - Form 1 Application and Exhibits
Federal Register version (87 FR 71388)
34-96324 2023-15 Order Determining Whistleblower Award Claim
34-96227 2023-09 Order Determining Whistleblower Award Claim
34-96228 2023-10 Order Determining Whistleblower Award Claim
34-96229 2023-11 Order Determining Whistleblower Award Claim
34-96230 2023-12 Order Determining Whistleblower Award Claim
34-96231 2023-13 Order Determining Whistleblower Award Claim
34-96232 2023-14 Order Determining Whistleblower Award Claim
34-96214 2023-08 Order Determining Whistleblower Award Claim
34-96218 10-239 24X National Exchange LLC; Notice of Filing of Amendment No. 1 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: November 30, 2022
View Received Comments
See Also - Form 1 Application and Exhibits
Federal Register version (87 FR 67725)
34-96178 2023-07 Order Determining Whistleblower Award Claim
33-11127 333-266967 Electropremium (Order Denying Application to Withdraw Registration Statement Under the Securities Act of 1933)
34-96128 2023-05 Order Determining Whistleblower Award Claim
34-96129 2023-06 Order Determining Whistleblower Award Claim
34-96119 2023-04 Order Determining Whistleblower Award Claim
34-96075 2023-02 Order Determining Whistleblower Award Claim
34-96076 2023-03 Order Determining Whistleblower Award Claim
33-11118, 34-96009, IA-6165, IC-34725 S7-24-22 Regulatory Flexibility Agenda
Comments Due: 30 days from publication in the Federal Register
View Received Comments
Submit a Comment on S7-24-22
Federal Register version (88 FR 11376)
33-11118, 34-96009, IA-6165, IC-34725 S7-24-22 Regulatory Flexibility Agenda
Comments Due: 30 days from publication in the Federal Register
View Received Comments
Submit a Comment on S7-24-22
Federal Register version (88 FR 11376)
33-11118, 34-96009, IA-6165, IC-34725 S7-24-22 Regulatory Flexibility Agenda
Comments Due: 30 days from publication in the Federal Register
View Received Comments
Submit a Comment on S7-24-22
Federal Register version (88 FR 11376)
33-11118, 34-96009, IA-6165, IC-34725 S7-24-22 Regulatory Flexibility Agenda
Comments Due: 30 days from publication in the Federal Register
View Received Comments
Submit a Comment on S7-24-22
Federal Register version (88 FR 11376)
34-96012 2023-01 Order Determining Whistleblower Award Claim
33-11109 Certain Broker-Dealer Practices (Waiver Order)
34-95931 Order Cancelling Registration of Certain Municipal Advisor Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-95834 2022-86 Order Determining Whistleblower Award Claim
34-95840 2022-87 Order Determining Whistleblower Award Claim
34-95855 Notice of Intention To Cancel Registrations of Certain Transfer Agents
Federal Register version (87 FR 58590)
34-95802 2022-85 Order Determining Whistleblower Award Claim
34-95748 2022-83 Order Determining Whistleblower Award Claim
34-95753 2022-84 Order Determining Whistleblower Award Claim
34-95711 2022-79 Order Determining Whistleblower Award Claim
34-95712 2022-80 Order Determining Whistleblower Award Claim
34-95713 2022-81 Order Determining Whistleblower Award Claim
34-95714 2022-82 Order Determining Whistleblower Award Claim
34-95672 2022-78 Order Determining Whistleblower Award Claim
34-95651 10-239 In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Order Instituting Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: 21 days from publication in the Federal Register
View Received Comments
Federal Register version (87 FR 54736)
33-11095, 34-95597 Order Making Fiscal Year 2023 Annual Adjustments to Registration Fee Rates
Federal Register version (87 FR 53030)
33-11095, 34-95597 Order Making Fiscal Year 2023 Annual Adjustments to Registration Fee Rates
Federal Register version (87 FR 53030)
34-95588 Draft 2022-2026 Strategic Plan for Securities and Exchange Commission
Comments Due: September 29, 2022
View Received Comments
See Also - Draft Strategic Plan, Press Release Nos. 2022-148
Federal Register version (87 FR 53040)
34-95537 2022-77 Order Determining Whistleblower Award Claim
34-95483 2022-71 Order Determining Whistleblower Award Claim
34-95484 2022-72 Order Determining Whistleblower Award Claim
34-95485 2022-73 Order Determining Whistleblower Award Claim
34-95486 2022-74 Order Determining Whistleblower Award Claim
34-95489 2022-75 Order Determining Whistleblower Award Claim
34-95490 2022-76 Order Determining Whistleblower Award Claim
34-95496 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-95470 Order Determining That the Financial Industry Regulatory Authority Conditionally May Access Certain Security-Based Swap Data Obtained by Security-Based Swap Data Repositories
See Also - Confidentiality Agreement between SEC and FINRA, Incoming Letter from FINRA to SEC
Federal Register version (87 FR 50655)
34-95443 2022-70 Order Determining Whistleblower Award Claim
34-95408 2022-69 Order Determining Whistleblower Award Claim
34-95384 2022-68 Order Determining Whistleblower Award Claim
34-95309 2022-67 Order Determining Whistleblower Award Claim
34-95304 2022-66 Order Determining Whistleblower Award Claim
34-95291 2022-64 Order Determining Whistleblower Award Claim
34-95292 2022-65 Order Determining Whistleblower Award Claim
34-95247 2022-63 Order Determining Whistleblower Award Claim
34-95243 Order Granting Registration of Demotech, Inc. as a Nationally Recognized Statistical Rating Organization
34-95221 2022-61 Order Determining Whistleblower Award Claim
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