Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-90864 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)
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)
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