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)
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
