Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
33-10873, 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)
34-88842 265-30 Fixed Income Market Structure Advisory Committee
View Received Comments
Submit a Comment on 265-30
Federal Register version (85 FR 28686)
34-88807 265-33 Asset Management Advisory Committee; Meeting
View Received Comments
Submit a Comment on 265-33
Federal Register version (85 FR 27469)
34-88803 2020-18 Order Determining Whistleblower Award Claim
34-88806 10-237 In the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission
See Also - Form 1 Application and Exhibits
Federal Register version (85 FR 27451)
IA-5493 Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 27258)
33-10780, 34-88790 265-28 Investor Advisory Committee Meeting
Comments Due: May 21, 2020
Submit a Comment on 265-28
Federal Register version (85 FR 26998)
33-10780, 34-88790 265-28 Investor Advisory Committee Meeting
Comments Due: May 21, 2020
Submit a Comment on 265-28
Federal Register version (85 FR 26998)
34-88759 2020-17 Order Determining Whistleblower Award Claim
33-10776, 34-88742 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (85 FR 23875)
33-10776, 34-88742 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (85 FR 23875)
34-88703 Order Granting Limited 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, Related to Certain Introducing Brokers, From the Requirements of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 23115)
34-88702 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, 6.7(a)(v) and 6.7(a)(vi) of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 23075)
34-88687 2020-16 Order Determining Whistleblower Award Claim
34-88689 2020-15 Order Determining Whistleblower Award Claim
33-10774 Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers from Being Ineligible Issuers)
34-88658 2020-13 Order Determining Whistleblower Award Claim
34-88667 2020-14 Order Determining Whistleblower Award Claim
IC-33837 Order Under Sections 6(c), 17(d), 38(a), and 57(i) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder
34-88608 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 to Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Granularity of Timestamps Specified in Section 6.8(b) and Appendix D, Section 3 of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 20743)
34-88547 2020-12 Order Determining Whistleblower Award Claim
33-10769, 34-88531, IA-5470, IC-33833 S7-06-20 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-06-20
Federal Register version (85 FR 52861)
33-10769, 34-88531, IA-5470, IC-33833 S7-06-20 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-06-20
Federal Register version (85 FR 52861)
33-10769, 34-88531, IA-5470, IC-33833 S7-06-20 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-06-20
Federal Register version (85 FR 52861)
33-10769, 34-88531, IA-5470, IC-33833 S7-06-20 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-06-20
Federal Register version (85 FR 52861)
34-88507 2020-11 Order Determining Whistleblower Award Claim
34-88491 Order Under Section 15b of The Securities Exchange Act of 1934 Granting an Exemption for Municipal Advisors From Specified Provisions of The Securities Exchange Act and Rule 15ba1-5(A)(1) Thereunder
Federal Register version (85 FR 18299)
34-88465 Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public Companies
Federal Register version (85 FR 17610)
IA-5469 Order Under Section 206a of the Investment Advisers Act of 1940 Granting Exemptions From Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
Federal Register version (85 FR 17609)
IC-33824 Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
Federal Register version (85 FR 17611)
34-88478 Order Granting Application by The Financial Information Forum and Security Traders Association for a Temporary Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act in Response to the Effects of COVID-19
Federal Register version (85 FR 17927)
34-88462 2020-9 Order Determining Whistleblower Award Claim
34-88464 2020-10 Order Determining Whistleblower Award Claim
IC-33821 Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) AND 38(a) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder
See Also - Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response
34-88449 2020-8 Order Determining Whistleblower Award Claim
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