Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-90537 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)
34-90317 2021-4 Order Determining Whistleblower Award Claim
34-90284 2021-3 Order Determining Whistleblower Award Claim
34-90276 S7-13-12 Proposed Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Swaps and Security-Based Swaps That Are Credit Default Swaps
See Also - Exemptive Order Rel. No. 2020-248
Submit a Comment on S7-13-12
Federal Register version (85 FR 70657)
34-90275 265-30 Fixed Income Market Structure Advisory Committee
Federal Register version (85 FR 69370)
33-10877, 34-90260 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (85 FR 68378)
33-10877, 34-90260 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (85 FR 68378)
34-90246 S7-15-20 Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
Comments Due: 30 days after publication in the Federal Register
See Also - Press Release No. 2020-264
Submit a Comment on S7-15-20
Federal Register version (85 FR 70536)
34-90247 2021-2 Order Determining Whistleblower Award Claim
34-90223 Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Allocations Pursuant to the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 67576)
34-90211 265-33 Asset Management Advisory Committee; Meeting
View Received Comments
Submit a Comment on 265-33
Federal Register version (85 FR 67040)
34-90189 2021-1 Order Determining Whistleblower Award Claim
IA-5612 Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940
Federal Register version (85 FR 66590)
33-10873, 34-90131, IA-5610, IC-34047 S7-14-20 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-14-20
Federal Register version (86 FR 17040)
33-10873, 34-90131, IA-5610, IC-34047 S7-14-20 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-14-20
Federal Register version (86 FR 17040)
33-10873, 34-90131, IA-5610, IC-34047 S7-14-20 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-14-20
Federal Register version (86 FR 17040)
33-10873, 34-90131, IA-5610, IC-34047 S7-14-20 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-14-20
Federal Register version (86 FR 17040)
34-90112 S7-13-20 Notice of Proposed Exemptive Order Granting Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders
Comments Due: November 12, 2020
View Received Comments
See Also - Press Release 2020-248
Submit a Comment on S7-13-20
Federal Register version (85 FR 64542)
33-10866 Salt Blockchain 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)
IA-5602 Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940
Federal Register version (85 FR 63158)
34-90059 2020-39 Order Determining Whistleblower Award Claim
34-90049 2020-36 Order Determining Whistleblower Award Claim
34-90054 2020-37 Order Determining Whistleblower Award Claim
34-90057 2020-38 Order Determining Whistleblower Award Claim
33-10864 Aegon N.V. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
34-90021 2020-35 Order Determining Whistleblower Award Claim
34-89995 2020-33 Order Determining Whistleblower Award Claim
34-89996 2020-34 Order Determining Whistleblower Award Claim
34-90001 SR-NYSE-2019-67 New York Stock Exchange LLC Regarding an Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Chapter One of the Listed Company Manual to Modify the Provisions Relating to Direct Listings (Order Granting Petition for Review, Scheduling Filing of Statements, and Denying New York Stock Exchange LLC's Motion to Lift the Stay)
Comments Due: January 21, 2020
View Received Comments
See Also - 2020, 2020
Submit a Comment on SR-NYSE-2019-67
34-89929 2020-32 Order Determining Whistleblower Award Claim
33-10846 Northern Trust Corporation (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver From Being Ineligible Issuer)
34-89912 2020-31 Order Determining Whistleblower Award Claim
34-89868 265-30 Fixed Income Market Structure Advisory Committee; Meeting
View Received Comments
Submit a Comment on 265-30
Federal Register version (85 FR 58404)
34-89850 2020-30 Order Determining Whistleblower Award Claim
34-89836 4-764 MEMX, LLC; Order Declaring Effective a Minor Rule Violation Plan
View Received Comments
See Also - Exhibit A
Federal Register version (85 FR 58081)
34-89780 2020-29 Order Determining Whistleblower Award Claim
IA-5568 Europa Investment Bank Inc. (Order Cancelling Registration Pursuant to SECTION 203(h) of the Investment Advisers Act of 1940)
34-89721 2020-28 Order Determining Whistleblower Award Claim
34-89712 2020-27 Order Determining Whistleblower Award Claim
33-10830, 34-89713 265-28 Investor Advisory Committee Meeting
Comments Due: May 21, 2020
View Received Comments
Submit a Comment on 265-28
Federal Register version (85 FR 55039)
33-10830, 34-89713 265-28 Investor Advisory Committee Meeting
Comments Due: May 21, 2020
View Received Comments
Submit a Comment on 265-28
Federal Register version (85 FR 55039)
34-89693 265-33 Asset Management Advisory Committee
View Received Comments
Submit a Comment on 265-33
Federal Register version (85 FR 54451)
33-10826, 34-89671 Order Making Fiscal Year 2021 Annual Adjustments to Registration Fee Rates
Federal Register version (85 FR 53890)
33-10826, 34-89671 Order Making Fiscal Year 2021 Annual Adjustments to Registration Fee Rates
Federal Register version (85 FR 53890)
33-10823 Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status
Federal Register version (85 FR 64234)
34-89659 TP-20-02 Order Granting Exemptions From Certain Rules Related to the Sale and Delivery of Physical Securities Under Regulation SHO Related to COVID-19
Federal Register version (85 FR 53888)
IA-5565 803-00250 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order Under Section 206A of the Investment Advisers Act of 1940 Granting an Exemption from Section 205 of the Act and Rule 205-1 Thereunder)
34-89551 2020-26 Order Determining Whistleblower Award Claim
34-89485 4-764 MEMX LLC; Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: August 24, 2020
View Received Comments
See Also - Exhibit A
Federal Register version (85 FR 48577)
33-10807 American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
33-10808 American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
IA-5549 Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 46197)
33-10804, 34-89353 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (85 FR 44947)
33-10804, 34-89353 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (85 FR 44947)
34-89354 2020-25 Order Determining Whistleblower Award Claim
34-89355 2020-24 Order Determining Whistleblower Award Claim
34-89311 2020-23 Order Determining Whistleblower Award Claim
IA-5534 McDaniel Investments, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
33-10798 Franklin Resources, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
IC-33916 Allianz Life Insurance Co. of North America, et al. (Order Granting Hearing and Scheduling Filing of Statements)
34-89184 Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater Than $20 Million But Less Than $50 Million
Federal Register version (85 FR 40356)
34-89170 Order Under Section 17a and Section 36 of The Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of The Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 39960)
34-89124 2020-22 Order Determining Whistleblower Award Claim
IC-33897 Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Sections 15(c) and 32(a) of the Investment Company Act and Rules 12b-1(b)(2) and 15a-4(b)(2)(ii) Thereunder
34-89102 2020-21 Order Determining Whistleblower Award Claim
34-89100 S7-14-11 Credit Risk Retention-Notification of Commencement of Review; Extension of Review Period
View Received Comments
See Also - Proposed Rule Release Nos. 34-70277, 34-64603, Credit Risk Retention
Federal Register version (85 FR 39099)
34-89087 265-33 Asset Management Advisory Committee
View Received Comments
Submit a Comment on 265-33
Federal Register version (85 FR 37705)
IA-5525 Cheswold Lane Asset Management, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-89074 Order Granting a Temporary Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors
Federal Register version (85 FR 37133)
34-89051 Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, From Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 36631)
SIPA-181 SIPC-2019-01 Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation
Federal Register version (85 FR 35970)
SIPA-182 SIPC-2019-02 Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change Relating to SIPC Member Assessments
Federal Register version (85 FR 35960)
34-89002 2020-20 Order Determining Whistleblower Award Claim
34-89003 8-66603 Brewer Financial Services, LLC (Order Cancelling Registration Under Section 15(b) of the Securities Exchange Act of 1934)
34-88973 2020-19 Order Determining Whistleblower Award Claim
34-88960 Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 33234)
IA-5506 Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 31559)
IA-5504 Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 31245)
34-88884 Order Granting a Conditional Exemption From Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral
See Also - Incoming Letter
Federal Register version (85 FR 31019)
34-88866 Order Designating Financial Industry Regulatory Authority, Inc., To Receive Form X-17A-5 (FOCUS Report) From Certain Security-Based Swap Dealers and Major Security-Based Swap Participants
Federal Register version (85 FR 29993)
33-10784 Morgan Stanley; and Morgan Stanley Finance LLC (Order Under Rule 405 of the Securities Act of 1933, Granting Waivers From Being Ineligible Issuers)
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