34-88448
March 20, 2020
Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder Federal Register version (85 FR 17122)
34-88393
March 17, 2020
Order Granting Conditional Exemptive Relief, Pursuant to Section 36 and Rule 608(e) of the Securities Exchange Act of 1934, From Section 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the National Market System Plan Governing the Consolidated Audit Trail Federal Register version (85 FR 16152)
IA-5463
March 13, 2020
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
IC-33817
March 13, 2020
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
34-88318
March 4, 2020
Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder Federal Register version (85 FR 13680)
IC-33809
March 2, 2020
S7-04-20
Request for Comments on Fund Names View Received Comments Federal Register version (85 FR 13221)
34-88299
Feb. 28, 2020
2020-7
Order Determining Whistleblower Award Claim
33-10758
Feb. 21, 2020
Wells Fargo & Company (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(A) Disqualification Provision)
34-88214
Feb. 14, 2020
SR-FINRA-2019-008
In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008); Order Granting Petition for Review and Scheduling Filing of Statements Federal Register version (85 FR 9887)
33-10753, 34-88137
Feb. 6, 2020
Order Regarding Review of FASB Accounting Support Fee for 2020 under Section 109 of the Sarbanes-Oxley Act of 2002
33-10753, 34-88137
Feb. 6, 2020
Order Regarding Review of FASB Accounting Support Fee for 2020 under Section 109 of the Sarbanes-Oxley Act of 2002
33-10752, 34-88113
Feb. 3, 2020
265-28
Investor Advisory Committee Meeting Comments Due: Federal Register version (85 FR 6986)
33-10752, 34-88113
Feb. 3, 2020
265-28
Investor Advisory Committee Meeting Comments Due: Federal Register version (85 FR 6986)
SIPA-179A
Jan. 24, 2020
SIPC-2019-02
Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments; Correction Comments Due: Federal Register version (85 FR 5519)
SIPA-180A
Jan. 24, 2020
SIPC-2019-01
Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation; Correction Comments Due: View Received Comments Federal Register version (85 FR 5513)
33-10747, 34-88012
Jan. 22, 2020
265-32
SEC Small Business Capital Formation Advisory Committee View Received Comments Federal Register version (85 FR 4752)
33-10747, 34-88012
Jan. 22, 2020
265-32
SEC Small Business Capital Formation Advisory Committee View Received Comments Federal Register version (85 FR 4752)
34-88014
Jan. 22, 2020
2020-5
Order Determining Whistleblower Award Claim
34-88015
Jan. 22, 2020
2020-6
Order Determining Whistleblower Award Claim
34-87956
Jan. 13, 2020
265-30
Fixed Income Market Structure Advisory Committee View Received Comments Federal Register version (85 FR 3095)
34-87918
Jan. 9, 2020
Order Making Fiscal Year 2020 Annual Adjustments to Transaction Fee Rates Federal Register version (85 FR 2218)
33-10740, 34-87905, IA-5428, IC-33740
Jan. 8, 2020
Adjustments to Civil Monetary Penalty Amounts Federal Register version (85 FR 1833)
33-10740, 34-87905, IA-5428, IC-33740
Jan. 8, 2020
Adjustments to Civil Monetary Penalty Amounts Federal Register version (85 FR 1833)
33-10740, 34-87905, IA-5428, IC-33740
Jan. 8, 2020
Adjustments to Civil Monetary Penalty Amounts Federal Register version (85 FR 1833)
33-10740, 34-87905, IA-5428, IC-33740
Jan. 8, 2020
Adjustments to Civil Monetary Penalty Amounts Federal Register version (85 FR 1833)
33-10739, 34-87874
Dec. 31, 2019
265-28
Investor Advisory Committee Meeting Comments Due: Federal Register version (85 FR 534)
33-10739, 34-87874
Dec. 31, 2019
265-28
Investor Advisory Committee Meeting Comments Due: Federal Register version (85 FR 534)
34-87828
Dec. 20, 2019
2020-4
Order Determining Whistleblower Award Claims
34-87835
Dec. 20, 2019
265-33
Asset Management Advisory Committee View Received Comments Federal Register version (84 FR 72085)
34-87781
Dec. 18, 2019
Order Designating Certain Jurisdictions as "Listed Jurisdictions" for Purposes of Applying the Security-Based Swap Dealer De Minimis Exception of Rule 3a71-3(d) Under the Exchange Act to Certain Cross-Border Security-Based Swap Transactions Federal Register version (85 FR 6355)
33-10735, 34-87785
Dec. 18, 2019
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2020 Federal Register version (84 FR 71024)
33-10735, 34-87785
Dec. 18, 2019
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2020 Federal Register version (84 FR 71024)
33-10737
Dec. 18, 2019
Blockchain of Things, 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)
34-87714
Dec. 10, 2019
S7-14-11
Credit Risk Retention-Notice of Commencement of Review Comments Due: View Received Comments 34-73407.pdf , Proposed Rule Release Nos. 34-70277 , 34-64603 , Credit Risk Retention Federal Register version (84 FR 70073)
34-87662
Dec. 5, 2019
2020-2
Order Determining Whistleblower Award Claims
34-87663
Dec. 5, 2019
2020-3
Order Determining Whistleblower Award Claims
33-10729, 34-87628
Nov. 26, 2019
265-32
SEC Small Business Capital Formation Advisory Committee; Meeting Federal Register version (84 FR 66028)
33-10729, 34-87628
Nov. 26, 2019
265-32
SEC Small Business Capital Formation Advisory Committee; Meeting Federal Register version (84 FR 66028)
34-87544
Nov. 15, 2019
2020-1
Order Determining Whistleblower Award Claims
34-87503
Nov. 12, 2019
SR-NYSEArca-2019-01
NYSE Arca, Inc.; Order Scheduling Filing of Statements on Review for an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of Bitwise Bitcoin ETF Trust Letter from NYSE Arca withdrawing the proposed rule change Federal Register version (84 FR 63699)
33-10727
Nov. 7, 2019
Morgan Stanley and Morgan Stanley Finance LLC
34-87482
Nov. 7, 2019
265-30
Fixed Income Market Structure Advisory Committee Federal Register version (84 FR 61670)
33-10724
Nov. 4, 2019
265-32
SEC Small Business Capital Formation Advisory Committee Federal Register version (84 FR 60117)
34-87436
Oct. 31, 2019
10-237
MEMX LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: View Received Comments Form 1 Application and Exhibits Federal Register version (84 FR 59854)
34-87415
Oct. 29, 2019
4-753
Long-Term Stock Exchange, Inc.; Order Declaring Effective a Minor Rule Violation Plan Federal Register version (84 FR 59427)
33-10721, 34-87398
Oct. 24, 2019
265-28
Investor Advisory Committee Meeting Comments Due: Federal Register version (84 FR 57921)
33-10721, 34-87398
Oct. 24, 2019
265-28
Investor Advisory Committee Meeting Comments Due: Federal Register version (84 FR 57921)
34-87288
Oct. 11, 2019
2019-12
Order Determining Whistleblower Award Claim
34-87260
Oct. 9, 2019
265-30
Fixed Income Market Structure Advisory Committee Federal Register version (84 FR 55191)
34-87256
Oct. 8, 2019
265-33
Asset Management Advisory Committee View Received Comments Federal Register version (84 FR 55190)
33-10716
Sept. 30, 2019
Nebulous, Inc. (Order Under Rule 506(d)(2)(ii) and Rule 262(b)(2) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) and Rule 262(a)(5)(ii) Disqualification Provisions)
33-10712
Sept. 30, 2019
Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of RegulationCrowdfunding 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, and Rule 503(a)(4)(ii) of Regulation Crowdfunding)
33-10713
Sept. 30, 2019
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 a Waiver From Being an Ineligible Issuer)
33-10711, IA-5379
Sept. 27, 2019
BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-10711, IA-5379
Sept. 27, 2019
BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-10708, IA-5378
Sept. 27, 2019
Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-10708, IA-5378
Sept. 27, 2019
Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
34-87039
Sept. 20, 2019
2019-11
Order Determining Whistleblower Award Claim
IA-5360
Sept. 20, 2019
Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-87021
Sept. 19, 2019
4-753
Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan Exhibit A Federal Register version (84 FR 50525)
33-10690, : 34-86986, IA-5353
Sept. 17, 2019
3-19464
Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
33-10690, : 34-86986, IA-5353
Sept. 17, 2019
3-19464
Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
33-10690, : 34-86986, IA-5353
Sept. 17, 2019
3-19464
Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
33-10685, IA-5347
Sept. 16, 2019
Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
33-10685, IA-5347
Sept. 16, 2019
Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
34-86902
Sept. 9, 2019
2019-10
Order Determining Whistleblower Award Claim
34-86803
Aug. 29, 2019
2019-9
Order Determining Whistleblower Award Claim
33-10676, 34-86785
Aug. 28, 2019
265-28
Investor Advisory Committee Meeting Comments Due: Federal Register version (84 FR 46061)
33-10676, 34-86785
Aug. 28, 2019
265-28
Investor Advisory Committee Meeting Comments Due: Federal Register version (84 FR 46061)
33- 10674, 34-86748, IA-5328, IC-33607
Aug. 23, 2019
S7-12-19
Regulatory Agenda; Semiannual Regulatory Agenda Comments Due: Federal Register version (84 FR 71285)
33- 10674, 34-86748, IA-5328, IC-33607
Aug. 23, 2019
S7-12-19
Regulatory Agenda; Semiannual Regulatory Agenda Comments Due: Federal Register version (84 FR 71285)
33- 10674, 34-86748, IA-5328, IC-33607
Aug. 23, 2019
S7-12-19
Regulatory Agenda; Semiannual Regulatory Agenda Comments Due: Federal Register version (84 FR 71285)
33- 10674, 34-86748, IA-5328, IC-33607
Aug. 23, 2019
S7-12-19
Regulatory Agenda; Semiannual Regulatory Agenda Comments Due: Federal Register version (84 FR 71285)
33-10675, 34-86750
Aug. 23, 2019
Order Making Fiscal Year 2020 Annual Adjustments to Registration Fee Rates Federal Register version (84 FR 45601)
33-10675, 34-86750
Aug. 23, 2019
Order Making Fiscal Year 2020 Annual Adjustments to Registration Fee Rates Federal Register version (84 FR 45601)
IA-5317
Aug. 12, 2019
Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
33-10670, 34-86628
Aug. 12, 2019
265-28
Investor Advisory Committee Meeting Federal Register version (84 FR 42027)
33-10670, 34-86628
Aug. 12, 2019
265-28
Investor Advisory Committee Meeting Federal Register version (84 FR 42027)
IA-5315
Aug. 5, 2019
801-117067
Order Granting Registration Pursuant to Section 203(c) of the Investment Advisers Act of 1940
33-10666, 34-86552
Aug. 2, 2019
265-32
SEC Small Business Capital Formation Advisory Committee Comments Due: Federal Register version (84 FR 38688)
33-10666, 34-86552
Aug. 2, 2019
265-32
SEC Small Business Capital Formation Advisory Committee Comments Due: Federal Register version (84 FR 38688)
34-86431
July 23, 2019
2019-8
Order Determining Whistleblower Award Claim
33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543
July 3, 2019
S7-10-19
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (84 FR 33024)
33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543
July 3, 2019
S7-10-19
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (84 FR 33024)
33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543
July 3, 2019
S7-10-19
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (84 FR 33024)
33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543
July 3, 2019
S7-10-19
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (84 FR 33024)
33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543
July 3, 2019
S7-10-19
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (84 FR 33024)
33-10658, 34-86289
July 3, 2019
265-28
Investor Advisory Committee Meeting Federal Register version (84 FR 32805)
33-10658, 34-86289
July 3, 2019
265-28
Investor Advisory Committee Meeting Federal Register version (84 FR 32805)
34-86253
July 1, 2019
265-30
Fixed Income Market Structure Advisory Committee Comments Due: Federal Register version (84 FR 32237)
33-10646
June 13, 2019
Certain Existing Funds affiliated with Och-Ziff Capital Management Group LLC and OZ Management LP; Corrected Order Under Rule 506(d)(2)(ii) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iv)(B) And (v) Of Regulation D Disqualification Provisions
33-10644
June 4, 2019
Deer Park Road Management Company, LP; 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
34-86010
June 3, 2019
2019-7
Order Determining Whistleblower Award Claim
34-85936
May 24, 2019
2019-6
Order Determining Whistleblower Award Claim
34-85906
May 21, 2019
S7-05-18
Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks Federal Register version (84 FR 24563)
34-85895
May 20, 2019
265-30
Fixed Income Market Structure Advisory Committee Comments Due: Federal Register version (84 FR 23814)
34-85843
May 10, 2019
Merril Lynch, Pierce, Fenner & Smith Incorporated; Order Granting Accelerated Effectiveness of Notice Regarding Change of Method For Computing Deductions For Market and Credit Risk
34-85828
May 10, 2019
10-234
In the Matter of the Application of Long Term Stock Exchange, Inc.; for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934 Federal Register version (84 FR 21841)
34-85793
May 7, 2019
2019-5
Order Determining Whistleblower Award Claim
33-10634, 34-85721
April 25, 2019
265-32
Small Business Capital Formation Advisory Committee Comments Due: Federal Register version (84 FR 18620)
