Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
33-11002, 34-93402 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 59439)
34-93412 S7-09-21 Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain
View Received Comments
Federal Register version (86 FR 59776)
34-93411 S7-08-21 Amended and Restated Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Federal Republic of Germany; Amended Orders Addressing Non-U.S. Security-Based Swap Entities Subject to Regulation in the French Republic or the United Kingdom; and Order Extending the Time To Meet Certain Conditions Relating to Capital and Margin
Federal Register version (86 FR 59797)
34-93396 Public Availability of the Securities and Exchange Commission's FY 2019 Service Contract Inventory
Federal Register version (86 FR 59258)
34-93389 Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15b(C)(3) of the Securities Exchange Act of 1934
34-93391 265-33 Asset Management Advisory Committee; Meeting
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 59258)
34-93380 265-33 Asset Management Advisory Committee
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 58712)
34-93370 2022-7 Order Determining Whistleblower Award Claim
34-93339 2022-5 Order Determining Whistleblower Award Claim
34-93340 2022-6 Order Determining Whistleblower Award Claim
34-93335 Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap Dealers and Major Security-Based Swap Participants That Are Not U.S. Persons and Are Relying on Substituted Compliance Determinations With Respect to Rule 18a-7
Federal Register version (86 FR 59208)
34-93286 2022-4 Order Determining Whistleblower Award Claim
34-93284 S7-07-21 Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation
Federal Register version (86 FR 57455)
34-93274 2022-2 Order Determining Whistleblower Award Claim
34-93275 2022-3 Order Determining Whistleblower Award Claim
33-10995, 34-93258, IA-5885, IC-34393 S7-13-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-13-21
Federal Register version (87 FR 5382)
33-10995, 34-93258, IA-5885, IC-34393 S7-13-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-13-21
Federal Register version (87 FR 5382)
33-10995, 34-93258, IA-5885, IC-34393 S7-13-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-13-21
Federal Register version (87 FR 5382)
33-10995, 34-93258, IA-5885, IC-34393 S7-13-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-13-21
Federal Register version (87 FR 5382)
34-93233 2022-1 Order Determining Whistleblower Award Claim
33-10993, 34-93204, 39-2541, IC-34392 S7-12-21 Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-12-21
Federal Register version (86 FR 55029)
33-10993, 34-93204, 39-2541, IC-34392 S7-12-21 Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-12-21
Federal Register version (86 FR 55029)
33-10993, 34-93204, 39-2541, IC-34392 S7-12-21 Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-12-21
Federal Register version (86 FR 55029)
33-10993, 34-93204, 39-2541, IC-34392 S7-12-21 Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-12-21
Federal Register version (86 FR 55029)
34-93142 2021-97 Order Determining Whistleblower Award Claim
34-93145 2021-98 Order Determining Whistleblower Award Claim
34-93118 2021-96 Order Determining Whistleblower Award Claim
34-93055 2021-95 Order Determining Whistleblower Award Claim
34-93049 2021-94 Order Determining Whistleblower Award Claim
33-10983, 34-93048 Order Approving The Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2021
33-10983, 34-93048 Order Approving The Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2021
34-93051 In the Matter of Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data: Order Denying Stay
34-93013 2021-92 Order Determining Whistleblower Award Claim
34-93016 2021-93 Order Determining Whistleblower Award Claim
34-92985 2021-91 Order Determining Whistleblower Award Claim
34-92969 2021-90 Order Determining Whistleblower Award Claim
34-92966 265-33 Asset Management Advisory Committee; Meeting
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 51943)
34-92929 2021-88 Order Determining Whistleblower Award Claim
34-92931 2021-89 Order Determining Whistleblower Award Claim
33-10976, 34-92872 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 50569)
33-10976, 34-92872 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 50569)
34-92766, IA-5833 S7-10-21 Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice
Comments Due: October 1, 2021
View Received Comments
See Also - Press Release
Submit a Comment on S7-10-21
Federal Register version (86 FR 49067)
34-92766, IA-5833 S7-10-21 Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice
Comments Due: October 1, 2021
View Received Comments
See Also - Press Release
Submit a Comment on S7-10-21
Federal Register version (86 FR 49067)
34-92777 2021-85 Order Determining Whistleblower Award Claim
34-92778 2021-86 Order Determining Whistleblower Award Claim
34-92780 2021-87 Order Determining Whistleblower Award Claim
33-10968, 34-92783 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 49067)
33-10968, 34-92783 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 49067)
34-92767 2021-84 Order Determining Whistleblower Award Claim
33-10965, 34-92720 Order Making Fiscal Year 2022 Annual Adjustments to Registration Fee Rates
Federal Register version (86 FR 47696)
33-10965, 34-92720 Order Making Fiscal Year 2022 Annual Adjustments to Registration Fee Rates
Federal Register version (86 FR 47696)
34-92711 Order Granting Exemption from Section 16 of the Securities Exchange Act of 1934 for PG&E Fire Victim Trust
34-92716 S7-09-21 Notice of Substituted Compliance Application Submitted by the Spanish Financial Conduct Authority in Connection With Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain; Proposed Order
View Received Comments
See Also - Application
Federal Register version (86 FR 47668)
34-92708 2021-83 Order Determining Whistleblower Award Claim
34-92647 S7-08-21 Notice of Application for the Amendment of Substituted Compliance Determination Regarding Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Amendments to Order
View Received Comments
See Also - Substituted Compliance Application
Federal Register version (86 FR 46500)
34-92621 2021-80 Order Determining Whistleblower Award Claim
34-92622 2021-81 Order Determining Whistleblower Award Claim
34-92623 2021-82 Order Determining Whistleblower Award Claim
34-92632 S7-07-21 Notice of Substituted Compliance Application Submitted by UBS AG and Credit Suisse AG in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation; Proposed Order
View Received Comments
See Also - Substituted Compliance Application, Annex 1, and Annex 2
Submit a Comment on S7-07-21
Federal Register version (86 FR 45770)
34-92587 2021-78 Order Determining Whistleblower Award Claim
34-92589 2021-79 Order Determining Whistleblower Award Claim
34-92541 2021-76 Order Determining Whistleblower Award Claim
34-92542 2021-77 Order Determining Whistleblower Award Claim
34-92529 S7-04-21 Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom
Federal Register version (86 FR 43318)
34-92530 Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
Federal Register version (86 FR 42957)
34-92484 S7-22-20 Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic
Comments Due: 25 days after publication in the Federal Register
View Received Comments
See Also - Release No. 34-90766
Federal Register version (86 FR 41612)
34-92456 2021-75 Order Determining Whistleblower Award Claim
34-92416 2021-74 Order Determining Whistleblower Award Claim
34-92411 2021-71 Order Determining Whistleblower Award Claim
34-92412 2021-72 Order Determining Whistleblower Award Claim
34-92413 2021-73 Order Determining Whistleblower Award Claim
34-92375 2021-70 Order Determining Whistleblower Award Claim
34-92355 2021-67 Order Determining Whistleblower Award Claim
34-92356 2021-68 Order Determining Whistleblower Award Claim
34-92357 2021-69 Order Determining Whistleblower Award Claim
34-92332 Public Availability of the Securities and Exchange Commission's FY2018 Service Contract Inventory
Federal Register version (86 FR 36589)
34-92247 2021-64 Order Determining Whistleblower Award Claim
34-92248 2021-66 Order Determining Whistleblower Award Claim
34-92251 2021-65 Order Determining Whistleblower Award Claim
34-92210 2021-61 Order Determining Whistleblower Award Claim
34-92212 2021-62 Order Determining Whistleblower Award Claim
34-92214 2021-63 Order Determining Whistleblower Award Claim
Letter FINRA OTC Reporting Facility (Designation of the FINRA OTC Reporting Facility, Together with Any Interdealer Quotation System that Meets Specific Requirements, as an Automated Interdealer Quotation System for the Purposes of the Definition of "Penny Stock" in Exchange Act Rule 3a51-1, and as a Qualifying Electronic Quotation System for Purposes of the Penny Stock Rules)
IA-5756 Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940
34-92189 SBSDR-2021-01 Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository
View Received Comments
See Also - Form SDR Application and Exhibits
Federal Register version (86 FR 32703)
34-92179 265-33 Asset Management Advisory Committee; Meeting
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 33392)
34-92163 2021-59 Order Determining Whistleblower Award Claim
34-92164 2021-60 Order Determining Whistleblower Award Claim
34-92101 2021-57 Order Determining Whistleblower Award Claim
34-92102 2021-58 Order Determining Whistleblower Award Claim
34-92099 2021-55 Order Determining Whistleblower Award Claim
34-92100 2021-56 Order Determining Whistleblower Award Claim
34-92086 2021-54 Order Determining Whistleblower Award Claim
34-92065 2021-52 Order Determining Whistleblower Award Claim
34-92067 2021-53 Order Determining Whistleblower Award Claim
34-92037 2021-51 Order Determining Whistleblower Award Claim
33-10944, 34-92018 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 29312)
33-10944, 34-92018 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 29312)
34-91933 2021-50 Order Determining Whistleblower Award Claim
33-10942, 34-91852, IA-5734, IC-34269 S7-06-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-06-21
Federal Register version (86 FR 41372)
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