Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-93145 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)
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)
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)
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)
34-91902 2021-48 Order Determining Whistleblower Award Claim
34-91903 2021-49 Order Determining Whistleblower Award Claim
34-91896 2021-47 Order Determining Whistleblower Award Claim
34-91877 Order Granting Application by Nasdaq PHLX LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
Federal Register version (86 FR 26997)
34-91854 2021-46 Order Determining Whistleblower Award Claim
IA-5733 S7-05-21 Performance-Based Investment Advisory Fees
Federal Register version (86 FR 26685)
34-91805 2021-44 Order Determining Whistleblower Award Claim
34-91808 2021-45 Order Determining Whistleblower Award Claim
34-91798 Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository
See Also - Form SDR Application and Exhibits, Rel No. 34-91071
Federal Register version (86 FR 26115)
34-91798 SBSDR-2020-01 Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository
See Also - Form SDR Application and Exhibits, Rel No. 34-91071
Federal Register version (86 FR 26115)
IA-5730 Baomap Advisors Limited, et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-91651 2021-43 Order Determining Whistleblower Award Claim
34-91649 2021-41 Order Determining Whistleblower Award Claim
34-91650 2021-42 Order Determining Whistleblower Award Claim
33-10938, 34-91583 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 20754)
33-10938, 34-91583 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 20754)
34-91584 2021-40 Order Determining Whistleblower Award Claim
34-91568 2021-39 Order Determining Whistleblower Award Claim
34-91520 2021-37 Order Determining Whistleblower Award Claim
34-91525 2021-38 Order Determining Whistleblower Award Claim
34-91501 SR-CboeBZX-2020-053 Cboe BZX Exchange, Inc. (Order Scheduling Filing of Statements on Review)
34-91502 SR-CboeBZX-2020-070 Cboe BZX Exchange, Inc. (Order Scheduling Filing of Statements on Review)
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