Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-93768 S7-14-11 Credit Risk Retention-Notification of Determination of Review
View Received Comments
See Also - 34-73407.pdf, Proposed Rule Release Nos. 34-70277, 34-64603, Credit Risk Retention
Federal Register version (86 FR 71810)
34-93726 2022-20 Order Determining Whistleblower Award Claim
34-93685 2022-19 Order Determining Whistleblower Award Claim
34-93648 2022-18 Order Determining Whistleblower Award Claim
PA-57A S7-14-21 Privacy Act of 1974; System of Records; Correction
Comments Due: December 29, 2021
View Received Comments
Submit a Comment on S7-14-21
Federal Register version (86 FR 71117)
34-93635 2022-17 Order Determining Whistleblower Award Claim
34-93636 2022-15 Order Determining Whistleblower Award Claim
34-93637 2022-16 Order Determining Whistleblower Award Claim
34-93604 2022-14 Order Determining Whistleblower Award Claim
33-11007, 34-93573 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 64569)
33-11007, 34-93573 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 64569)
34-93569 2022-13 Order Determining Whistleblower Award Claim
34-93547 2022-12 Order Determining Whistleblower Award Claim
34-93511 Financial Industry Regulatory Authority, Inc.
See Also - FBI Compact Officer Approval Letter, FINRA Incoming Fingerprint Plan Cover Letter
Federal Register version (86 FR 61801)
34-93475 Order Regarding Net Capital and Initial Margin Computations for Morgan Stanley Capital Services LLC
34-93476 Order Regarding Initial Margin Computation for Nomura Global Financial Products Inc.
34-93477 Order Regarding Initial Margin Computation for Goldman Sachs Financial Markets, L.P.
34-93478 Order Regarding Initial Margin Computation for Citigroup Global Markets Inc.
34-93479 Order Regarding Net Capital and Initial Margin Computations for Jefferies Financial Services, Inc.
34-93480 Order Regarding Initial Margin Computation for Goldman Sachs & Co. LLC
34-93483 Order Regarding Net Capital Computation for Nomura Global Financial Products Inc.
34-93485 Order Regarding Net Capital Computation for Goldman Sachs Financial Markets, L.P.
34-93465 2022-11 Order Determining Whistleblower Award Claim
34-93440 2022-9 Order Determining Whistleblower Award Claim
34-93441 2022-10 Order Determining Whistleblower Award Claim
PA-57 S7-14-21 Privacy Act of 1974; System of Records
View Received Comments
Submit a Comment on S7-14-21
Federal Register version (86 FR 60496)
34-93414 2022-8 Order Determining Whistleblower Award Claim
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)
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
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