Other Commission Orders, Notices, and Information
Archive of other SEC Orders, Notices and Information available include:
Other Commission Orders, Notices, and Information Table
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Release Number
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Details
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|---|---|---|---|
| Release Number:34-100025 | SEC Issue Date: | File Number:2024-17 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99973 | SEC Issue Date: | File Number: |
Details: Order Making Fiscal Year 2024 Annual Adjustments to Transaction Fee Rates |
| Release Number:34-99939 | SEC Issue Date: | File Number:2024-16 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99929 | SEC Issue Date: | File Number:2024-15 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99920 | SEC Issue Date: | File Number:2024-14 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99916 | SEC Issue Date: | File Number:2024-13 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99915 | SEC Issue Date: | File Number: |
Details: Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013 |
| Release Number:34-99914 | SEC Issue Date: | File Number:2024-12 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11280, 34-99908 | SEC Issue Date: | File Number:S7-10-22 |
Details: In the Matter of the Enhancement and Standardization of Climate-Related Disclosures for Investors (Order Issuing Stay) View Received Comments Federal Register version |
| Release Number:33-11280, 34-99908 | SEC Issue Date: | File Number:S7-10-22 |
Details: In the Matter of the Enhancement and Standardization of Climate-Related Disclosures for Investors (Order Issuing Stay) View Received Comments Federal Register version |
| Release Number:34-99892 | SEC Issue Date: | File Number: |
Details: Order Cancelling Registration of Certain Municipal Securities Dealers Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 |
| Release Number:34-99890 | SEC Issue Date: | File Number:2024-11 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99671 | SEC Issue Date: | File Number: |
Details: Notice of Intention to Cancel Registration of Certain Municipal Securities Dealers Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 |
| Release Number:34-99670 | SEC Issue Date: | File Number:2024-10 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99669 | SEC Issue Date: | File Number:2024- 9 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99657 | SEC Issue Date: | File Number: |
Details: J.P. Morgan Securities LLC (“JPMS LLC”) and JPMorgan Chase Bank, N.A. |
| Release Number:34-99614 | SEC Issue Date: | File Number:10-242 |
Details: 24X National Exchange 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: April 18, 2024 View Received Comments See Also - Form 1 Application and Exhibits Submit a Comment on 10-242
Federal Register version ((89 FR 15621))
|
| Release Number:33-11273, 34-99583 | SEC Issue Date: | File Number: |
Details: Order Regarding Review of FASB Accounting Support Fee For 2024 Under Section 109 of The Sarbanes-Oxley Act of 2002 |
| Release Number:33-11273, 34-99583 | SEC Issue Date: | File Number: |
Details: Order Regarding Review of FASB Accounting Support Fee For 2024 Under Section 109 of The Sarbanes-Oxley Act of 2002 |
| Release Number:33-11270 | SEC Issue Date: | File Number: |
Details: Certain Broker-Dealer Practices |
| Release Number:34-99313 | SEC Issue Date: | File Number:2024-8 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99312 | SEC Issue Date: | File Number:2024-7 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99331 | SEC Issue Date: | File Number: |
Details: Order Granting FINRA’s Application For Relief From Certain Statutory Disqualification |
| Release Number:33-11263, 34-99276, IA-6521, IC-35085 | SEC Issue Date: | File Number: |
Details: Adjustments to Civil Monetary Penalty Amounts |
| Release Number:33-11263, 34-99276, IA-6521, IC-35085 | SEC Issue Date: | File Number: |
Details: Adjustments to Civil Monetary Penalty Amounts |
| Release Number:33-11263, 34-99276, IA-6521, IC-35085 | SEC Issue Date: | File Number: |
Details: Adjustments to Civil Monetary Penalty Amounts |
| Release Number:33-11263, 34-99276, IA-6521, IC-35085 | SEC Issue Date: | File Number: |
Details: Adjustments to Civil Monetary Penalty Amounts |
| Release Number:34-99230 | SEC Issue Date: | File Number:2024-6 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99229 | SEC Issue Date: | File Number:2024-5 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11258, 34-99150 | SEC Issue Date: | File Number: |
Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2024 See Also - Press Release |
| Release Number:33-11258, 34-99150 | SEC Issue Date: | File Number: |
Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2024 See Also - Press Release |
| Release Number:34-99079 | SEC Issue Date: | File Number:2024-4 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99070 | SEC Issue Date: | File Number:2024-3 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-99060 | SEC Issue Date: | File Number:PCAOB-2023-02 |
Details: Order Granting Approval of Auditing Standard Governing the Auditor’s Use of Confirmation |
| Release Number:34-99011 | SEC Issue Date: | File Number:S7-21-21 |
Details: In the Matter of Share Repurchase Disclosure Modernization (Order Issuing Stay) |
| Release Number:34-98985 | SEC Issue Date: | File Number:2024-2 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-98902 | SEC Issue Date: | File Number:4-809 |
Details: Order Granting ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency See Also - ICEU CA Withdrawal Request Letter |
| Release Number:PA-61 | SEC Issue Date: | File Number:S7-19-23 |
Details: Privacy Act of 1974: Systems of Records Comments Due: 30 Days After Date Of Publication In The Federal Register Federal Register version (88 FR 74550) |
| Release Number:34-98746 | SEC Issue Date: | File Number:10-240 |
Details: MIAX Sapphire, 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: December 4, 2023 View Received Comments See Also - Form 1 Application and Exhibits |
| Release Number:34-98736 | SEC Issue Date: | File Number:2024-1 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11252, 34-98699, IA-6454, IC-35030 | SEC Issue Date: | File Number:S7-17-23 |
Details: List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Federal Register version |
| Release Number:33-11252, 34-98699, IA-6454, IC-35030 | SEC Issue Date: | File Number:S7-17-23 |
Details: List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Federal Register version |
| Release Number:33-11252, 34-98699, IA-6454, IC-35030 | SEC Issue Date: | File Number:S7-17-23 |
Details: List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Federal Register version |
| Release Number:33-11252, 34-98699, IA-6454, IC-35030 | SEC Issue Date: | File Number:S7-17-23 |
Details: List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Federal Register version |
| Release Number:34-98689 | SEC Issue Date: | File Number:PCAOB-2023-02 |
Details: Notice of Filing of Proposed Rules on the Auditor’s Use of Confirmation, and Other Amendments to Related PCAOB Standards Comments Due: November 7, 2023 View Received Comments |
| Release Number:34-98680 | SEC Issue Date: | File Number: |
Details: Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 |
| Release Number:34-98672 | SEC Issue Date: | File Number: |
Details: Public Availability of the Security and Exchange Commission's FY 2020 Service Contract Inventory |
| Release Number:34-98668 | SEC Issue Date: | File Number: |
Details: Order Regarding Net Capital Computation for Jefferies Financial Services, Inc. |
| Release Number:34-98642 | SEC Issue Date: | File Number: |
Details: Order Scheduling Filing of Statements of Review for SR-FINRA-2022-032 |
| Release Number:34-98655 | SEC Issue Date: | File Number:2023-84 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11249 | SEC Issue Date: | File Number: |
Details: Certain Broker-Dealer Practices |
| Release Number:34-98590 | SEC Issue Date: | File Number: |
Details: Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934 |
| Release Number: 34-98488 | SEC Issue Date: | File Number: |
Details: Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc. See Also - FINRA Incoming Fingerprint Plan Cover Letter |
| Release Number:34-98340 | SEC Issue Date: | File Number:2023-83 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-98331 | SEC Issue Date: | File Number:4-809 |
Details: Notice of Filing and Request for Comment on ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency Comments Due: October 5, 2023 |
| Release Number:34-98236 | SEC Issue Date: | File Number:2023-82 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-98235 | SEC Issue Date: | File Number:2023-81 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11225; 34-98226; IA-6388; IC-34993, | SEC Issue Date: | File Number:S7-14-23 |
Details: Fall 2023 Regulatory Flexibility Agenda Comments Due: March 11, 2024 View Received Comments Federal Register version |
| Release Number:33-11225; 34-98226; IA-6388; IC-34993, | SEC Issue Date: | File Number:S7-14-23 |
Details: Fall 2023 Regulatory Flexibility Agenda Comments Due: March 11, 2024 View Received Comments Federal Register version |
| Release Number:33-11224; 34-98223 | SEC Issue Date: | File Number: |
Details: Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates |
| Release Number:34-98219 | SEC Issue Date: | File Number:2023-79 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-98220 | SEC Issue Date: | File Number:2023-80 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-98208 | SEC Issue Date: | File Number: |
Details: Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 |
| Release Number:34-98198 | SEC Issue Date: | File Number:2023-77 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-98199 | SEC Issue Date: | File Number:2023-78 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-98196 | SEC Issue Date: | File Number:2023-76 |
Details: Order Determining Whistleblower Award Claims |
| Release Number:34-98117 | SEC Issue Date: | File Number: |
Details: Order Extending the Effective Date of the Form BDW of Monmouth Capital Management LLC |
| Release Number:33-11221 | SEC Issue Date: | File Number: |
Details: Certain Broker-Dealer Practices |
| Release Number:34-98054 | SEC Issue Date: | File Number:2023-75 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97879 | SEC Issue Date: | File Number:2023-74 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:IA-6339 | SEC Issue Date: | File Number: |
Details: Order Cancelling Registrations of Certain Investment Advisers Pursuant To Section 203(H) of the Investment Advisers Act of 1940 |
| Release Number:34-97838 | SEC Issue Date: | File Number:2023-73 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97831 | SEC Issue Date: | File Number:2023-72 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97826 | SEC Issue Date: | File Number:2023-71 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97805 | SEC Issue Date: | File Number:2023-70 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97804 | SEC Issue Date: | File Number:2023-69 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97803 | SEC Issue Date: | File Number:2023-68 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97728 | SEC Issue Date: | File Number:2023-67 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97683 | SEC Issue Date: | File Number:2023-66 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:IA-6322 | SEC Issue Date: | File Number: |
Details: Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers Act of 1940 |
| Release Number:34-97612 | SEC Issue Date: | File Number:2023-65 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97601 | SEC Issue Date: | File Number:2023-64 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97600 | SEC Issue Date: | File Number:2023-63 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97599 | SEC Issue Date: | File Number:2023-62 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97598 | SEC Issue Date: | File Number:2023-61 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97573 | SEC Issue Date: | File Number:2023-60 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97529 | SEC Issue Date: | File Number:2023-59 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97524 | SEC Issue Date: | File Number:2023-58 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11182 | SEC Issue Date: | File Number: |
Details: Certain Broker-Dealer Practices: (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 Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(a)(4), 506(d)(1)(iv), AND |
| Release Number:34-97450 | SEC Issue Date: | File Number:2023-57 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97449 | SEC Issue Date: | File Number:2023-56 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97438 | SEC Issue Date: | File Number:2023-55 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97408 | SEC Issue Date: | File Number:2023-54 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97397 | SEC Issue Date: | File Number:2023-53 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97396 | SEC Issue Date: | File Number:2023-52 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97395 | SEC Issue Date: | File Number:2023-51 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97295 | SEC Issue Date: | File Number:2023-50 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11178, 34-97286, IA-6281, IC-34884 | SEC Issue Date: | File Number:S7-09-23 |
Details: Regulatory Flexibility Agenda View Received Comments Federal Register version (88 FR 48694) |
| Release Number:33-11178, 34-97286, IA-6281, IC-34884 | SEC Issue Date: | File Number:S7-09-23 |
Details: Regulatory Flexibility Agenda View Received Comments Federal Register version (88 FR 48694) |
| Release Number:33-11178, 34-97286, IA-6281, IC-34884 | SEC Issue Date: | File Number:S7-09-23 |
Details: Regulatory Flexibility Agenda View Received Comments Federal Register version (88 FR 48694) |