Other Commission Orders, Notices, and Information

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

Second Quarter | First Quarter

Additional Archives

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Release No.	Date	Details
Second Quarter
33-9322	May 14, 2012	Notice of First Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Other Release No.:  34-66986 File No.:  265-28 Comments Due:  June 1, 2012  Submit comments on 265-28
34-66976	May 11, 2012	Order Granting Application of BOX Options Exchange, LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f) See also:  Request for Limited Exemption
34-66932	May 7, 2012	Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (Notice of Federal Advisory Committee Renewal) File No.:  265-26  Submit comments on 265-26 Federal Register (77 FR 27444): HTML | PDF | text | XML
33-9320	May 1, 2012	UBS Financial Services Inc. of Puerto Rico (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision) See also:  Administrative Proceeding: Rel. No. 33-9318
33-9319	May 1, 2012	UBS Financial Services Inc. of Puerto Rico (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934) Other Release No.:  34-66896 See also:  Administrative Proceeding: Rel. No. 33-9318
34-66871	Apr. 27, 2012	BOX Options Exchange LLC (In the Matter of the Application of BOX Options Exchange LLC for Registration as a National Securities Exchange) File No.: 10-206 See also:  Notice: Rel. No. 34-66242; Form 1 Application and Exhibits; Amendment No. 2
34-66844	Apr. 24, 2012	Financial Industry Regulatory Authority, Inc. (Order Approving Application for Relief from a Statutory Disqualification)
33-9316	Apr. 23, 2012	Regulatory Flexibility Agenda Other Release Nos.:  34-66845, IA-3400, IC-30041 File No.:  S7-4-12 Comments Due:  30 days after publication in the Federal Register  Submit comments on S7-4-12
33-9312	Apr. 12, 2012	Goldman, Sachs & Co (Order Under Rule 602(E) of the Securities Act of 1933 Granting a Waiver of the Rule 602(C)(3) Disqualification Provision) See also:  Administrative Proceeding: Rel. No. 34-66791
First Quarter
34-66667	Mar. 28, 2012	The NASDAQ Stock Market LLC (Order Granting Petition for Review and Scheduling Filing of Statements)
PA-48	Mar. 16, 2012	Privacy Act of 1974: System of Records (Notice to revise two existing systems of records) File No.:  S7-03-12 Comments Due:  April 20, 2012 Effective Date:  April 30, 2012  Submit comments on S7-03-12
34-66541	Mar. 8, 2012	Order Granting an Application of BF Enterprises, Inc. under Section 12(h) of the Securities Exchange Act of 1934 File No.:  81-937
33-9300	Mar. 7, 2012	Order Regarding Review of FASB Accounting Support Fee for 2012 under Section 109 of the Sarbanes-Oxley Act of 2002 Other Release No.:  34-66529
34-66514	Mar. 5, 2012	Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
34-66495	Mar. 1, 2012	Order Making Fiscal Year 2012 Mid-year Adjustments to Transaction Fee Rates
34-66461	Feb. 24, 2012	Order Cancelling Clearing Agency Registration of Midwest Securities Trust Company File No.:  600-7
34-66460	Feb. 24, 2012	Order Cancelling Clearing Agency Registration of the Pacific Securities Depository Trust Company File No.:  600-10
34-66459	Feb. 24, 2012	Order Cancelling Clearing Agency Registration of the Pacific Clearing Corporation File No.:  600-11
34-66458	Feb. 24, 2012	Order Cancelling Clearing Agency Registration of the Midwest Clearing Corporation File No.:  600-9
IA-3369	Feb. 7, 2012	Gravity Capital Partners, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) File No.:  801-71579
34-66242	Jan. 26, 2012	BOX Options Exchange 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) File No.:  File No. 10-206 Comments Due:  45 days after publication in the Federal Register See also:  Form 1 Application and Exhibits; Amendment No. 2; Order: Release No. 34-66871
34-66241	Jan. 26, 2012	BOX Options Exchange LLC (Order Granting Application by BOX Options Exchange LLC for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rules 6a-1 and 6a-2 under the Exchange Act)
34-66202	Jan. 20, 2012	Order Making Fiscal Year 2012 Annual Adjustments to Transaction Fee Rates
34-66164	Jan. 17, 2012	Comment Request for Study Regarding Financial Literacy Among Investors File No.:  4-645 Comments Due:  March 23, 2012 Comments received are available.  Submit comments on 4-645
IA-3354	Jan. 17, 2012	Royal Oak Capital Management, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) File No.:  801-68894
33-9294	Jan. 11, 2012	PCAOB (Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2012) Other Release No.:  34-66141
33-9293	Jan. 10, 2012	Notice of Meeting of SEC Advisory Committee on Small and Emerging Companies Other Release No.:  34-66123 File No.:  265-27 Comments Due:  January 27, 2012 Comments received are available.  Submit comments on 265-27
IC-29913	Jan. 4, 2012	Wells Fargo Bank, N.A., et al. File No.:  812-13987 See also:  Notice and Temporary Order

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