Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-91568 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)
IA-5714 Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (86 FR 19050)
34-91476 S7-04-21 Notice of Substituted Compliance Application Submitted by the United Kingdom 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 United Kingdom; Proposed Order
View Received Comments
Federal Register version (86 FR 18378)
34-91426 2021-35 Order Determining Whistleblower Award Claim
34-91427 2021-36 Order Determining Whistleblower Award Claim
SIPA-184 SIPC-2021-01 Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation Not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount
Federal Register version (86 FR 16651)
IA-5708 Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-91397 In the Matter of Market Data Infrastructure: Order Denying Stay
See Also - Market Data Infrastructure , Motion for Stay
33-10905A Amendment to Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2021
See Also - 33-10905, Other Release Nos.: 34-90693A
33-10934, 34-91344, 39-2537, IA-5698, IC-34225 S7-02-21 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Submit a Comment on S7-02-21
Federal Register version (86 FR 15810)
33-10934, 34-91344, 39-2537, IA-5698, IC-34225 S7-02-21 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Submit a Comment on S7-02-21
Federal Register version (86 FR 15810)
33-10934, 34-91344, 39-2537, IA-5698, IC-34225 S7-02-21 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Submit a Comment on S7-02-21
Federal Register version (86 FR 15810)
33-10934, 34-91344, 39-2537, IA-5698, IC-34225 S7-02-21 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Submit a Comment on S7-02-21
Federal Register version (86 FR 15810)
33-10934, 34-91344, 39-2537, IA-5698, IC-34225 S7-02-21 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Submit a Comment on S7-02-21
Federal Register version (86 FR 15810)
34-91331 SBSDR-2021-01 Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
34-91332 2021-34 Order Determining Whistleblower Award Claim
34-91280 2021-33 Order Determining Whistleblower Award Claim
IA-5696 Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940
Federal Register version (86 FR 14169)
34-91253 2021-32 Order Determining Whistleblower Award Claim
34-91225 2021-31 Order Determining Whistleblower Award Claim
34-91214 265-33 Asset Management Advisory Committee
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 12501)
34-91207 2021-30 Order Determining Whistleblower Award Claim
34-91206 2021-29 Order Determining Whistleblower Award Claim
IA-5689 801-106576 Strategic Options, LLC (Order Denying a Request for Hearing and Cancelling the Registration of an Investment Advisor Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-91183 2021-28 Order Determining Whistleblower Award Claim
IA-5688 801-80706 Atlantis Asset Management International Corp., et al. (Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940)
Federal Register version (86 FR 11569)
34-91163 2021-25 Order Determining Whistleblower Award Claim
34-91164 2021-26 Order Determining Whistleblower Award Claim
34-91165 2021-27 Order Determining Whistleblower Award Claim
33-10927, 34-91150 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 11040)
33-10927, 34-91150 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 11040)
34-91128 Order Extending the Annual Reports Filing Deadline for Certain Smaller Broker-Dealers
Federal Register version (86 FR 10372)
34-91117 10-133 OneChicago, LLC's Request To Withdraw From Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products
Federal Register version (86 FR 10140)
34-91071 SBSDR-2020-01 Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
Comments Due: March 3, 2021
View Received Comments
See Also - Form SDR Application and Exhibits
Federal Register version (86 FR 8977)
IC-34188 S7-01-21 Request for Comment on Potential Money Market Fund Reform Measures in President's Working Group Report
Comments Due: April 12, 2021
View Received Comments
See Also - Press Release No. 2021-25
Submit a Comment on S7-01-21
Federal Register version (86 FR 8938)
33-10923, 34-91004 Order Regarding Review of FASB Accounting Support Fee for 2021 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-10923, 34-91004 Order Regarding Review of FASB Accounting Support Fee for 2021 Under Section 109 of the Sarbanes-Oxley Act of 2002
SIPA-183 SIPC-2021-01 Securities Investor Protection Corporation; Determination
Comments Due: within 15 days of publication in the Federal Register
Submit a Comment on SIPC-2021-01
Federal Register version (86 FR 7900)
IA-5673 801-10369 Trevor Stewart Burton & Jacobsen Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-90932 Order Making Fiscal Year 2021 Annual Adjustments to Transaction Fee Rates
Federal Register version (86 FR 6694)
34-90922 2021-24 Order Determining Whistleblower Award Claim
IA-5669 801-110022 Family Office Partners, Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
33-10919, 34-90882 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 3216)
33-10919, 34-90882 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 3216)
33-10918, 34-90874, IA-5664, IC-34166 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (86 FR 2716)
33-10918, 34-90874, IA-5664, IC-34166 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (86 FR 2716)
33-10918, 34-90874, IA-5664, IC-34166 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (86 FR 2716)
33-10918, 34-90874, IA-5664, IC-34166 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (86 FR 2716)
34-90864 2021-20 Order Determining Whistleblower Award Claim
34-90866 2021-21 Order Determining Whistleblower Award Claim
34-90867 2021-22 Order Determining Whistleblower Award Claim
34-90872 2021-23 Order Determining Whistleblower Award Claim
33-10915 Tierion, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
33-10916 Prudential Financial, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
34-90765 S7-16-20 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 Federal Republic of Germany
Federal Register version (85 FR 85686)
34-90767 2021-19 Order Determining Whistleblower Award Claim
34-90766 S7-22-20 Notice of Substituted Compliance Application Submitted by the French Autorit des Marchs Financiers and the Autorit de Contrle Prudential et de Resolution 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; Proposed Order
Comments Due: 25 days after publication in the Federal Register
View Received Comments
Federal Register version (85 FR 85720)
34-90768 SR-NYSE-2019-67 New York Stock Exchange LLC; Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings
Comments Due: January 21, 2020
View Received Comments
Submit a Comment on SR-NYSE-2019-67
Federal Register version (85 FR 85807)
PA-55 S7-20-20 Privacy Act of 1974; System of Records
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-20-20
Federal Register version (85 FR 85440)
PA-56 S7-21-20 Privacy Act of 1974; System of Records
Submit a Comment on S7-21-20
Federal Register version (85 FR 84436)
34-90764 10-133 OneChicago, LLC's Notice of Withdrawal of Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products
Comments Due: January 19, 2021
Submit a Comment on 10-133
Federal Register version (85 FR 85778)
34-90721 2021-18 Order Determining Whistleblower Award Claim
34-90718 2021-16 Order Determining Whistleblower Award Claim
34-90720 2021-17 Order Determining Whistleblower Award Claim
34-90680 Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, the United Kingdom, Norway, and Canada as Alternative Reporting Regimes that Satisfy the Transparency Objectives of Section 13(q) Under the Securities Exchange Act of 1934
Federal Register version (86 FR 4726)
33-10905 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2021
See Also - 33-10905A, Other Release No.: 34-90693
34-90656 2021-15 Order Determining Whistleblower Award Claim
IA-5646 Notice of Intention to Cancel Registration Pursuant to section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 82010)
33-10898 Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
34-90578 2021-12 Order Determining Whistleblower Award Claim
34-90580 2021-13 Order Determining Whistleblower Award Claim
34-90582 2021-14 Order Determining Whistleblower Award Claim
33-10895 BancWest Investment (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
33-10894 Public Service Company of North Carolina, Incorporated (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii)(A) and (B) Disqualification Provisions)
33-10893 Dominion Energy, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
IA-5638 Ann T. Coffey Wealth Management LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-90537 2021-11 Order Determining Whistleblower Award Claim
34-90506 2021-10 Order Determining Whistleblower Award Claim
IA-5633 Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 75391)
34-90468 2021-9 Order Determining Whistleblower Award Claim
34-90460 2021-8 Order Determining Whistleblower Award Claim
34-90427 Securities Exchange Act of 1934
Federal Register version (85 FR 73825)
34-90428 Securities Exchange Act of 1934; In the Matter of: Cboe BZX Exchange, Inc., 400 South LaSalle Street, Chicago, IL 60605, File No. SR-CboeBZX-2018-044; Order Setting Aside the Order by Delegated Authority Disapproving SR-CboeBZX-2018-044
Federal Register version (85 FR 73829)
34-90429 Order Setting Aside the Order by Delegated Authority Approving SR-IEX-2018-06; In the Matter of Investors Exchange LLC, 3 World Trade Center 58th Floor, New York, NY 10007, File No. SR-IEX-2018-06
Federal Register version (85 FR 73835)
34-90430 Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2018-02; In the Matter of NYSE Arca, Inc., 11 Wall St., New York, NY 10005; File No. SR-NYSEArca-2018-02
Federal Register version (85 FR 73825)
34-90431 Securities Exchange Act of 1934; In the Matter of: NYSE Area, Inc., 11 Wall St., New York, NY 10005, File No. SR-NYSEArca-2019-01; Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2019-01
Federal Register version (85 FR 73819)
34-90412 2021-7 Order Determining Whistleblower Award Claim
IA-5632 EF Hutton Investments LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-90378 S7-16-20 Notice of Substituted Compliance Application Submitted by the Bundesanstalt fr Finanzdienstleistungsaufsicht in Connection With Certain Requirements Applicable to Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Order
Comments Due: December 8, 2020
View Received Comments
Federal Register version (85 FR 72726)
34-90376 265-33 Asset Management Advisory Committee
View Received Comments
Submit a Comment on 265-33
Federal Register version (85 FR 72723)
34-90351 2021-6 Order Determining Whistleblower Award Claim
34-90350 2021-5 Order Determining Whistleblower Award Claim
IA-5622 Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940
Federal Register version (85 FR 71707)
34-90346 Public Availability of the Securities and Exchange Commission's FY 2016 and FY 2017 Service Contract Inventory
Federal Register version (85 FR 71705)
33-10885, 34-90338 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (85 FR 71365)
33-10885, 34-90338 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (85 FR 71365)
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