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)
33-10634, 34-85721
April 25, 2019
265-32
Small Business Capital Formation Advisory Committee Comments Due: Federal Register version (84 FR 18620)
34-85682
April 17, 2019
SR-CboeBZX-2018-044
Cboe BZX Exchange, Inc.; Order Scheduling Filing of Statements on Review Federal Register version (84 FR 18098)
34-85538
April 8, 2019
Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) Of the Securities Exchange Act of 1934
34-85447
March 28, 2019
3-19124
Order Issuing Stay (In the Matter of Rule 610T of Regulation NMS) File Nos.:
34-85412
March 26, 2019
2019-4
Order Determining Whistleblower Award Claim
33-10621, 34-85402
March 25, 2019
Order Regarding Review of FASB Accounting Support Fee for 2019 under Section 109 of the Sarbanes-Oxley Act of 2002
33-10621, 34-85402
March 25, 2019
Order Regarding Review of FASB Accounting Support Fee for 2019 under Section 109 of the Sarbanes-Oxley Act of 2002
33-10620, 34-85401, IA-5207, IC-33428
March 22, 2019
S7-04-19
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (84 FR 29783)
33-10620, 34-85401, IA-5207, IC-33428
March 22, 2019
S7-04-19
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (84 FR 29783)
33-10620, 34-85401, IA-5207, IC-33428
March 22, 2019
S7-04-19
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (84 FR 29783)
33-10620, 34-85401, IA-5207, IC-33428
March 22, 2019
S7-04-19
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (84 FR 29783)
34-85383
March 21, 2019
265-30
Fixed Income Market Structure Advisory Committee Comments Due: Federal Register version (84 FR 11371)
33-10616
March 20, 2019
Wells Fargo Services, LLC (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)(ii) and Rule 262(a)(2) Disqualification Provisions)
34-85287
March 11, 2019
Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates Federal Register version (84 FR 9576)
33-10613
March 11, 2019
3-19100
Deutsche Bank Securities, Inc., RBC Capital Markets, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC (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)
33-10612
March 11, 2019
3-19026
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) File Nos.:
34-85273
March 8, 2019
2019-3
Order Determining Whistleblower Award Claim
33-10611, 34-85271
March 8, 2019
265-28
Investor Advisory Committee Meeting Federal Register version (84 FR 9189)
33-10611, 34-85271
March 8, 2019
265-28
Investor Advisory Committee Meeting Federal Register version (84 FR 9189)
34-85227
March 1, 2019
Notice of Intent to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-85174
Feb. 22, 2019
Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
33-10604
Feb. 13, 2019
Adjustments to Civil Monetary Penalty Amounts Federal Register version (84 FR 5122)
34-84985
Jan. 15, 2019
265-30
Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting Cancellation - Monday, January 28)
34-84943
Dec. 21, 2018
265-30
Fixed Income Market Structure Advisory Committee Comments Due: View Received Comments Federal Register version (83 FR 67396)
34-84891
Dec. 20, 2018
10-233
In the Matter of the Application of MIAX EMERALD, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission Release no. 34-84313 , Form 1 Application and Exhibits Federal Register version (83 FR 67421)
33-10592, 34-84877
Dec. 19, 2018
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2019
33-10592, 34-84877
Dec. 19, 2018
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2019
33-10589
Dec. 19, 2018
Capital States Capital Markets, LLC (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)
33-10588, 34-84842
Dec. 18, 2018
S7-26-18
Request for Comment on Earnings Releases and Quarterly Reports Comments Due: View Received Comments Federal Register version (83 FR 65601)
33-10588, 34-84842
Dec. 18, 2018
S7-26-18
Request for Comment on Earnings Releases and Quarterly Reports Comments Due: View Received Comments Federal Register version (83 FR 65601)
34-84709
Nov. 30, 2018
10-234
Long-Term Stock Exchange, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: View Received Comments Findings, Opinion, and Order of the Commission , Form 1 Application and Exhibits , Letter Consenting to Extension of Initial Review Period Federal Register version (83 FR 62941)
34-84689
Nov. 29, 2018
Order Regarding Alternative Net Capital Computation for BofAML Securities, Inc.
33-10576, 34-84640, 39-2523, IA-5067, IC-33298
Nov. 21, 2018
S7-25-18
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (83 FR 60791)
33-10576, 34-84640, 39-2523, IA-5067, IC-33298
Nov. 21, 2018
S7-25-18
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (83 FR 60791)
33-10576, 34-84640, 39-2523, IA-5067, IC-33298
Nov. 21, 2018
S7-25-18
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (83 FR 60791)
33-10576, 34-84640, 39-2523, IA-5067, IC-33298
Nov. 21, 2018
S7-25-18
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (83 FR 60791)
33-10576, 34-84640, 39-2523, IA-5067, IC-33298
Nov. 21, 2018
S7-25-18
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: View Received Comments Federal Register version (83 FR 60791)
34-84614
Nov. 16, 2018
SR-BOX-2018-24
BOX Exchange LLC (Order Granting Petition for Review and Scheduling Filing of Statements) Rel. No. 83728 , Rel. No. 84168 , Rel. No. 85184
33-10573, 34-84574
Nov. 9, 2018
265-28
Investor Advisory Committee Meeting Federal Register version (83 FR 57786)
33-10573, 34-84574
Nov. 9, 2018
265-28
Investor Advisory Committee Meeting Federal Register version (83 FR 57786)
34-84503
Oct. 30, 2018
2019-2
Order Determining Whistleblower Award Claim
34-84506
Oct. 30, 2018
2019-1
Order Determining Whistleblower Award Claim
34-84497
Oct. 29, 2018
Order Lifting the Automatic Stay of the Order Denying Applications by New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and NYSE National, Inc., Respectively, for Confidential Treatment Pursuant to Rule 24b-2 under the Exchange Act for Material Filed Pursuant to Rule 6a-2 under the Exchange Act
33-10568, 34-84441
Oct. 17, 2018
265-28
Investor Advisory Committee Meeting Federal Register version (83 FR 53337)
33-10568, 34-84441
Oct. 17, 2018
265-28
Investor Advisory Committee Meeting Federal Register version (83 FR 53337)
34-84440, IC-33272
Oct. 16, 2018
Order concerning Hurricane Michael (Order Under Section 15B, 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; 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)
34-84440, IC-33272
Oct. 16, 2018
Order concerning Hurricane Michael (Order Under Section 15B, 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; 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)
34-84356
Oct. 4, 2018
265-30
Fixed Income Market Structure Advisory Committee Federal Register version (83 FR 51026)
34-84368
Oct. 4, 2018
SR-CboeBZX-2018-001
In the Matter of the Cboe BZX Exchange, Inc.; For an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF (File No. SR-CboeBZX-2018-001); Order Scheduling Filing of Statements on Review View Received Comments Federal Register version (83 FR 51520)
34-84369
Oct. 4, 2018
SR-NYSEArca-2017-139
Securities Exchange Act of 1934 Federal Register version (83 FR 51520)
34-84370
Oct. 4, 2018
SR-NYSEArca-2018-02
In the Matter of the NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change Relating To Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (File No. SR-NYSEArca-2018-02); Order Scheduling Filing of Statements on Review Federal Register version (83 FR 51531)
33-10563, 34-84307
Sept. 28, 2018
Walgreens Boots Alliance, Inc.
33-10563, 34-84307
Sept. 28, 2018
Walgreens Boots Alliance, Inc.
34-84313
Sept. 28, 2018
10-233
MIAX EMERALD, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: Form 1 Application and Exhibits , Release No. 34-84891 Federal Register version (83 FR 49965)
34-84270
Sept. 24, 2018
2018-13
Order Determining Whistleblower Award Claim
34-84210, IC-33240
Sept. 19, 2018
Order concerning Hurricane Florence (Order Under Section 15B, 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; 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)
34-84210, IC-33240
Sept. 19, 2018
Order concerning Hurricane Florence (Order Under Section 15B, 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; 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)
34-84125
Sept. 14, 2018
2018-12
Order Determining Whistleblower Award Claim
34-84046
Sept. 6, 2018
2018-11
Order Determining Whistleblower Award Claim
33-10538, 34-83935
Aug. 24, 2018
Order Making Fiscal Year 2019 Annual Adjustments to Registration Fee Rates Federal Register version (83 FR 44101)
33-10538, 34-83935
Aug. 24, 2018
Order Making Fiscal Year 2019 Annual Adjustments to Registration Fee Rates Federal Register version (83 FR 44101)
33-10531, 34-83874
Aug. 17, 2018
265-28
Investor Advisory Committee Meeting Federal Register version (83 FR 42552)
33-10531, 34-83874
Aug. 17, 2018
265-28
Investor Advisory Committee Meeting Federal Register version (83 FR 42552)
34-83856
Aug. 15, 2018
SR-FINRA-2010-056
Order Granting Petition for Review and Scheduling Filing of Statements Rel. No. 34-63933 , Rel No. 34-63316 Federal Register version (83 FR 42340)
33-10527, 34-83787, IA-4978, IC-33194
Aug. 9, 2018
S7-20-18
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (83 FR 58167)
33-10527, 34-83787, IA-4978, IC-33194
Aug. 9, 2018
S7-20-18
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (83 FR 58167)
