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:34-97395 | 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) |
| 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:34-97285 | SEC Issue Date: | File Number:2023-49 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97226 | SEC Issue Date: | File Number:2023-45 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97227 | SEC Issue Date: | File Number:2023-46 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97228 | SEC Issue Date: | File Number:2023-47 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97229 | SEC Issue Date: | File Number:2023-48 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97222 | SEC Issue Date: | File Number:2023-44 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97202 | SEC Issue Date: | File Number:2023-42 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97205 | SEC Issue Date: | File Number:2023-43 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97051 | SEC Issue Date: | File Number:2023-41 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-97043 | SEC Issue Date: | File Number:10-239 |
Details: 24X National Exchange LLC; Notice of Withdrawal of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Federal Register version (88 FR 14663) |
| Release Number:34-97015 | SEC Issue Date: | File Number:2023-40 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96983 | SEC Issue Date: | File Number:2023-39 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96970 | SEC Issue Date: | File Number:2023-37 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96971 | SEC Issue Date: | File Number:2023-38 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96923 | SEC Issue Date: | File Number:2023-36 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96887 | SEC Issue Date: | File Number:2023-35 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11155, 34-96851 | SEC Issue Date: | File Number: |
Details: Order Regarding Review of FASB Accounting Support Fee for 2023 under Section 109 of the Sarbanes-Oxley Act of 2002 |
| Release Number:33-11155, 34-96851 | SEC Issue Date: | File Number: |
Details: Order Regarding Review of FASB Accounting Support Fee for 2023 under Section 109 of the Sarbanes-Oxley Act of 2002 |
| Release Number:34-96788 | SEC Issue Date: | File Number:SR-MEMX-2021-10 |
Details: In the Matter of the MEMX LLC Regarding an Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program (File No. SR-MEMX-2021-10); Order Scheduling Filing of Statements on Review Federal Register version (88 FR 8008) |
| Release Number:34-96765 | SEC Issue Date: | File Number:2023-33 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96767 | SEC Issue Date: | File Number:2023-34 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96739 | SEC Issue Date: | File Number:2023-32 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96724 | SEC Issue Date: | File Number: |
Details: Order Making Fiscal Year 2023 Annual Adjustments to Transaction Fee Rates Federal Register version (88 FR 5051) |
| Release Number:34-96705 | SEC Issue Date: | File Number:2023-30 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96708 | SEC Issue Date: | File Number:2023-31 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96669 | SEC Issue Date: | File Number:2023-29 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96656 | SEC Issue Date: | File Number:2023-25 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96657 | SEC Issue Date: | File Number:2023-26 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96658 | SEC Issue Date: | File Number:2023-27 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96667 | SEC Issue Date: | File Number:2023-28 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96641 | SEC Issue Date: | File Number:2023-23 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96642 | SEC Issue Date: | File Number:2023-24 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96604 | SEC Issue Date: | File Number:2023-22 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11143, 34-96605, IA-6212, IC-34797 | SEC Issue Date: | File Number: |
Details: Adjustments to Civil Monetary Penalty Amounts Federal Register version (88 FR 1614) |
| Release Number:33-11143, 34-96605, IA-6212, IC-34797 | SEC Issue Date: | File Number: |
Details: Adjustments to Civil Monetary Penalty Amounts Federal Register version (88 FR 1614) |
| Release Number:33-11143, 34-96605, IA-6212, IC-34797 | SEC Issue Date: | File Number: |
Details: Adjustments to Civil Monetary Penalty Amounts Federal Register version (88 FR 1614) |
| Release Number:33-11143, 34-96605, IA-6212, IC-34797 | SEC Issue Date: | File Number: |
Details: Adjustments to Civil Monetary Penalty Amounts Federal Register version (88 FR 1614) |
| Release Number:33-11142, 34-96577 | SEC Issue Date: | File Number: |
Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023 |
| Release Number:33-11142, 34-96577 | SEC Issue Date: | File Number: |
Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023 |
| Release Number:34-96541 | SEC Issue Date: | File Number: |
Details: Order Scheduling Filing of Statements on Review; 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) View Received Comments Federal Register version (87 FR 79014) |
| Release Number:34-96527 | SEC Issue Date: | File Number:2023-21 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96474 | SEC Issue Date: | File Number:2023-20 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:PA-58 | SEC Issue Date: | File Number:S7-28-22 |
Details: Privacy Act of 1974; System of Records Comments Due: January 6, 2023 Submit a Comment on S7-28-22
Federal Register version (87 FR 76097)
|
| Release Number:34-96439 | SEC Issue Date: | File Number:2023-19 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96399 | SEC Issue Date: | File Number:2023-18 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11136, 34-96386, IC-34765 | SEC Issue Date: | File Number:S7-27-22 |
Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: January 3, 2023 See Also - Staff Summaries of 2013 Rule Reviews Federal Register version (87 FR 74057) |
| Release Number:34-96381 | SEC Issue Date: | File Number:2023-17 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11136, 34-96386, IC-34765 | SEC Issue Date: | File Number:S7-27-22 |
Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: January 3, 2023 See Also - Staff Summaries of 2013 Rule Reviews Federal Register version (87 FR 74057) |
| Release Number:33-11136, 34-96386, IC-34765 | SEC Issue Date: | File Number:S7-27-22 |
Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Comments Due: January 3, 2023 See Also - Staff Summaries of 2013 Rule Reviews Federal Register version (87 FR 74057) |
| Release Number:34-96366 | SEC Issue Date: | File Number:2023-16 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96354 | SEC Issue Date: | File Number: |
Details: Order Cancelling Registrations of Certain Transfer Agents Federal Register version (87 FR 72577) |
| Release Number:34-96364 | SEC Issue Date: | File Number:10-239 |
Details: In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 See Also - Form 1 Application and Exhibits Federal Register version (87 FR 72553) |
| Release Number:34-96337 | SEC Issue Date: | File Number:10-239 |
Details: 24X National Exchange LLC; Notice of Filing of Amendment No. 2 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: December 13, 2022 View Received Comments See Also - Form 1 Application and Exhibits Federal Register version (87 FR 71388) |
| Release Number:34-96324 | SEC Issue Date: | File Number:2023-15 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96227 | SEC Issue Date: | File Number:2023-09 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96228 | SEC Issue Date: | File Number:2023-10 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96229 | SEC Issue Date: | File Number:2023-11 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96230 | SEC Issue Date: | File Number:2023-12 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96231 | SEC Issue Date: | File Number:2023-13 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96232 | SEC Issue Date: | File Number:2023-14 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96214 | SEC Issue Date: | File Number:2023-08 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96218 | SEC Issue Date: | File Number:10-239 |
Details: 24X National Exchange LLC; Notice of Filing of Amendment No. 1 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: November 30, 2022 View Received Comments See Also - Form 1 Application and Exhibits Federal Register version (87 FR 67725) |
| Release Number:34-96178 | SEC Issue Date: | File Number:2023-07 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11127 | SEC Issue Date: | File Number:333-266967 |
Details: Electropremium (Order Denying Application to Withdraw Registration Statement Under the Securities Act of 1933) |
| Release Number:34-96128 | SEC Issue Date: | File Number:2023-05 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96129 | SEC Issue Date: | File Number:2023-06 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96119 | SEC Issue Date: | File Number:2023-04 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96075 | SEC Issue Date: | File Number:2023-02 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-96076 | SEC Issue Date: | File Number:2023-03 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11118, 34-96009, IA-6165, IC-34725 | SEC Issue Date: | File Number:S7-24-22 |
Details: Regulatory Flexibility Agenda Comments Due: 30 days from publication in the Federal Register View Received Comments Federal Register version (88 FR 11376) |
| Release Number:33-11118, 34-96009, IA-6165, IC-34725 | SEC Issue Date: | File Number:S7-24-22 |
Details: Regulatory Flexibility Agenda Comments Due: 30 days from publication in the Federal Register View Received Comments Federal Register version (88 FR 11376) |
| Release Number:33-11118, 34-96009, IA-6165, IC-34725 | SEC Issue Date: | File Number:S7-24-22 |
Details: Regulatory Flexibility Agenda Comments Due: 30 days from publication in the Federal Register View Received Comments Federal Register version (88 FR 11376) |
| Release Number:33-11118, 34-96009, IA-6165, IC-34725 | SEC Issue Date: | File Number:S7-24-22 |
Details: Regulatory Flexibility Agenda Comments Due: 30 days from publication in the Federal Register View Received Comments Federal Register version (88 FR 11376) |
| Release Number:34-96012 | SEC Issue Date: | File Number:2023-01 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:33-11109 | SEC Issue Date: | File Number: |
Details: Certain Broker-Dealer Practices (Waiver Order) |
| Release Number:34-95931 | SEC Issue Date: | File Number: |
Details: Order Cancelling Registration of Certain Municipal Advisor Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 |
| Release Number:34-95834 | SEC Issue Date: | File Number:2022-86 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95840 | SEC Issue Date: | File Number:2022-87 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95855 | SEC Issue Date: | File Number: |
Details: Notice of Intention To Cancel Registrations of Certain Transfer Agents Federal Register version (87 FR 58590) |
| Release Number:34-95802 | SEC Issue Date: | File Number:2022-85 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95748 | SEC Issue Date: | File Number:2022-83 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95753 | SEC Issue Date: | File Number:2022-84 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95711 | SEC Issue Date: | File Number:2022-79 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95712 | SEC Issue Date: | File Number:2022-80 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95713 | SEC Issue Date: | File Number:2022-81 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95714 | SEC Issue Date: | File Number:2022-82 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95672 | SEC Issue Date: | File Number:2022-78 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95651 | SEC Issue Date: | File Number:10-239 |
Details: In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Order Instituting Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: 21 days from publication in the Federal Register View Received Comments Federal Register version (87 FR 54736) |
| Release Number:33-11095, 34-95597 | SEC Issue Date: | File Number: |
Details: Order Making Fiscal Year 2023 Annual Adjustments to Registration Fee Rates Federal Register version (87 FR 53030) |
| Release Number:33-11095, 34-95597 | SEC Issue Date: | File Number: |
Details: Order Making Fiscal Year 2023 Annual Adjustments to Registration Fee Rates Federal Register version (87 FR 53030) |
| Release Number:34-95588 | SEC Issue Date: | File Number: |
Details: Draft 2022-2026 Strategic Plan for Securities and Exchange Commission Comments Due: September 29, 2022 View Received Comments See Also - Draft Strategic Plan, Press Release Nos. 2022-148 Federal Register version (87 FR 53040) |
| Release Number:34-95537 | SEC Issue Date: | File Number:2022-77 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95483 | SEC Issue Date: | File Number:2022-71 |
Details: Order Determining Whistleblower Award Claim |
| Release Number:34-95484 | SEC Issue Date: | File Number:2022-72 |
Details: Order Determining Whistleblower Award Claim |