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Release Number:34-92164
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SEC Issue Date:
|
File Number:2021-60
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92101
|
SEC Issue Date:
|
File Number:2021-57
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92102
|
SEC Issue Date:
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File Number:2021-58
|
Details: Order Determining Whistleblower Award Claim
|
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Release Number:34-92099
|
SEC Issue Date:
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File Number:2021-55
|
Details: Order Determining Whistleblower Award Claim
|
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Release Number:34-92100
|
SEC Issue Date:
|
File Number:2021-56
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92086
|
SEC Issue Date:
|
File Number:2021-54
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92065
|
SEC Issue Date:
|
File Number:2021-52
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92067
|
SEC Issue Date:
|
File Number:2021-53
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-92037
|
SEC Issue Date:
|
File Number:2021-51
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10944, 34-92018
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
View Received Comments
Federal Register version (86 FR 29312)
|
|
Release Number:33-10944, 34-92018
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
View Received Comments
Federal Register version (86 FR 29312)
|
|
Release Number:34-91933
|
SEC Issue Date:
|
File Number:2021-50
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10942, 34-91852, IA-5734, IC-34269
|
SEC Issue Date:
|
File Number:S7-06-21
|
Details: Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 41372)
|
|
Release Number:33-10942, 34-91852, IA-5734, IC-34269
|
SEC Issue Date:
|
File Number:S7-06-21
|
Details: Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 41372)
|
|
Release Number:33-10942, 34-91852, IA-5734, IC-34269
|
SEC Issue Date:
|
File Number:S7-06-21
|
Details: Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 41372)
|
|
Release Number:33-10942, 34-91852, IA-5734, IC-34269
|
SEC Issue Date:
|
File Number:S7-06-21
|
Details: Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 41372)
|
|
Release Number:34-91902
|
SEC Issue Date:
|
File Number:2021-48
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91903
|
SEC Issue Date:
|
File Number:2021-49
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91896
|
SEC Issue Date:
|
File Number:2021-47
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91877
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Application by Nasdaq PHLX LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
Federal Register version (86 FR 26997)
|
|
Release Number:34-91854
|
SEC Issue Date:
|
File Number:2021-46
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5733
|
SEC Issue Date:
|
File Number:S7-05-21
|
Details: Performance-Based Investment Advisory Fees
Federal Register version (86 FR 26685)
|
|
Release Number:34-91805
|
SEC Issue Date:
|
File Number:2021-44
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91808
|
SEC Issue Date:
|
File Number:2021-45
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91798
|
SEC Issue Date:
|
File Number:
|
Details: Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository
See Also -
Form SDR Application and Exhibits, Rel No. 34-91071
Federal Register version (86 FR 26115)
|
|
Release Number:34-91798
|
SEC Issue Date:
|
File Number:SBSDR-2020-01
|
Details: Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository
See Also -
Form SDR Application and Exhibits, Rel No. 34-91071
Federal Register version (86 FR 26115)
|
|
Release Number:IA-5730
|
SEC Issue Date:
|
File Number:
|
Details: Baomap Advisors Limited, et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
|
|
Release Number:34-91651
|
SEC Issue Date:
|
File Number:2021-43
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91649
|
SEC Issue Date:
|
File Number:2021-41
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91650
|
SEC Issue Date:
|
File Number:2021-42
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10938, 34-91583
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (86 FR 20754)
|
|
Release Number:33-10938, 34-91583
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (86 FR 20754)
|
|
Release Number:34-91584
|
SEC Issue Date:
|
File Number:2021-40
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91568
|
SEC Issue Date:
|
File Number:2021-39
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91520
|
SEC Issue Date:
|
File Number:2021-37
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91525
|
SEC Issue Date:
|
File Number:2021-38
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91501
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2020-053
|
Details: Cboe BZX Exchange, Inc. (Order Scheduling Filing of Statements on Review)
|
|
Release Number:34-91502
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2020-070
|
Details: Cboe BZX Exchange, Inc. (Order Scheduling Filing of Statements on Review)
|
|
Release Number:IA-5714
|
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
Federal Register version (86 FR 19050)
|
|
Release Number:34-91476
|
SEC Issue Date:
|
File Number:S7-04-21
|
Details: Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection With Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order
View Received Comments
Federal Register version (86 FR 18378)
|
|
Release Number:34-91426
|
SEC Issue Date:
|
File Number:2021-35
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91427
|
SEC Issue Date:
|
File Number:2021-36
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:SIPA-184
|
SEC Issue Date:
|
File Number:SIPC-2021-01
|
Details: Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation Not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount
Federal Register version (86 FR 16651)
|
|
Release Number:IA-5708
|
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:34-91397
|
SEC Issue Date:
|
File Number:
|
Details: In the Matter of Market Data Infrastructure: Order Denying Stay
See Also -
Market Data Infrastructure , Motion for Stay
|
|
Release Number:33-10905A
|
SEC Issue Date:
|
File Number:
|
Details: Amendment to Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2021
See Also -
33-10905, Other Release Nos.: 34-90693A
|
|
Release Number:33-10934, 34-91344, 39-2537, IA-5698, IC-34225
|
SEC Issue Date:
|
File Number:S7-02-21
|
Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Federal Register version (86 FR 15810)
|
|
Release Number:33-10934, 34-91344, 39-2537, IA-5698, IC-34225
|
SEC Issue Date:
|
File Number:S7-02-21
|
Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Federal Register version (86 FR 15810)
|
|
Release Number:33-10934, 34-91344, 39-2537, IA-5698, IC-34225
|
SEC Issue Date:
|
File Number:S7-02-21
|
Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Federal Register version (86 FR 15810)
|
|
Release Number:33-10934, 34-91344, 39-2537, IA-5698, IC-34225
|
SEC Issue Date:
|
File Number:S7-02-21
|
Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Federal Register version (86 FR 15810)
|
|
Release Number:33-10934, 34-91344, 39-2537, IA-5698, IC-34225
|
SEC Issue Date:
|
File Number:S7-02-21
|
Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Federal Register version (86 FR 15810)
|
|
Release Number:34-91331
|
SEC Issue Date:
|
File Number:SBSDR-2021-01
|
Details: Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
|
|
Release Number:34-91332
|
SEC Issue Date:
|
File Number:2021-34
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91280
|
SEC Issue Date:
|
File Number:2021-33
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5696
|
SEC Issue Date:
|
File Number:
|
Details: Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940
Federal Register version (86 FR 14169)
|
|
Release Number:34-91253
|
SEC Issue Date:
|
File Number:2021-32
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91225
|
SEC Issue Date:
|
File Number:2021-31
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91214
|
SEC Issue Date:
|
File Number:265-33
|
Details: Asset Management Advisory Committee
View Received Comments
Federal Register version (86 FR 12501)
|
|
Release Number:34-91207
|
SEC Issue Date:
|
File Number:2021-30
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91206
|
SEC Issue Date:
|
File Number:2021-29
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5689
|
SEC Issue Date:
|
File Number:801-106576
|
Details: Strategic Options, LLC (Order Denying a Request for Hearing and Cancelling the Registration of an Investment Advisor Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
|
|
Release Number:34-91183
|
SEC Issue Date:
|
File Number:2021-28
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5688
|
SEC Issue Date:
|
File Number:801-80706
|
Details: Atlantis Asset Management International Corp., et al. (Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940)
Federal Register version (86 FR 11569)
|
|
Release Number:34-91163
|
SEC Issue Date:
|
File Number:2021-25
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91164
|
SEC Issue Date:
|
File Number:2021-26
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-91165
|
SEC Issue Date:
|
File Number:2021-27
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10927, 34-91150
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
View Received Comments
Federal Register version (86 FR 11040)
|
|
Release Number:33-10927, 34-91150
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
View Received Comments
Federal Register version (86 FR 11040)
|
|
Release Number:34-91128
|
SEC Issue Date:
|
File Number:
|
Details: Order Extending the Annual Reports Filing Deadline for Certain Smaller Broker-Dealers
Federal Register version (86 FR 10372)
|
|
Release Number:34-91117
|
SEC Issue Date:
|
File Number:10-133
|
Details: OneChicago, LLC's Request To Withdraw From Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products
Federal Register version (86 FR 10140)
|
|
Release Number:34-91071
|
SEC Issue Date:
|
File Number:SBSDR-2020-01
|
Details: Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
Comments Due: March 3, 2021
View Received Comments
See Also -
Form SDR Application and Exhibits
Federal Register version (86 FR 8977)
|
|
Release Number:IC-34188
|
SEC Issue Date:
|
File Number:S7-01-21
|
Details: Request for Comment on Potential Money Market Fund Reform Measures in President's Working Group Report
Comments Due: April 12, 2021
View Received Comments
See Also -
Press Release No. 2021-25
Federal Register version (86 FR 8938)
|
|
Release Number:33-10923, 34-91004
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Review of FASB Accounting Support Fee for 2021 Under Section 109 of the Sarbanes-Oxley Act of 2002
|
|
Release Number:33-10923, 34-91004
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Review of FASB Accounting Support Fee for 2021 Under Section 109 of the Sarbanes-Oxley Act of 2002
|
|
Release Number:SIPA-183
|
SEC Issue Date:
|
File Number:SIPC-2021-01
|
Details: Securities Investor Protection Corporation; Determination
Comments Due: within 15 days of publication in the Federal Register
Federal Register version (86 FR 7900)
|
|
Release Number:IA-5673
|
SEC Issue Date:
|
File Number:801-10369
|
Details: Trevor Stewart Burton & Jacobsen Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
|
|
Release Number:34-90932
|
SEC Issue Date:
|
File Number:
|
Details: Order Making Fiscal Year 2021 Annual Adjustments to Transaction Fee Rates
Federal Register version (86 FR 6694)
|
|
Release Number:34-90922
|
SEC Issue Date:
|
File Number:2021-24
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5669
|
SEC Issue Date:
|
File Number:801-110022
|
Details: Family Office Partners, Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
|
|
Release Number:33-10919, 34-90882
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (86 FR 3216)
|
|
Release Number:33-10919, 34-90882
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (86 FR 3216)
|
|
Release Number:33-10918, 34-90874, IA-5664, IC-34166
|
SEC Issue Date:
|
File Number:
|
Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (86 FR 2716)
|
|
Release Number:33-10918, 34-90874, IA-5664, IC-34166
|
SEC Issue Date:
|
File Number:
|
Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (86 FR 2716)
|
|
Release Number:33-10918, 34-90874, IA-5664, IC-34166
|
SEC Issue Date:
|
File Number:
|
Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (86 FR 2716)
|
|
Release Number:33-10918, 34-90874, IA-5664, IC-34166
|
SEC Issue Date:
|
File Number:
|
Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (86 FR 2716)
|
|
Release Number:34-90864
|
SEC Issue Date:
|
File Number:2021-20
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90866
|
SEC Issue Date:
|
File Number:2021-21
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90867
|
SEC Issue Date:
|
File Number:2021-22
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90872
|
SEC Issue Date:
|
File Number:2021-23
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10915
|
SEC Issue Date:
|
File Number:
|
Details: Tierion, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
|
|
Release Number:33-10916
|
SEC Issue Date:
|
File Number:
|
Details: Prudential Financial, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
|
|
Release Number:34-90765
|
SEC Issue Date:
|
File Number:S7-16-20
|
Details: Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Federal Republic of Germany
Federal Register version (85 FR 85686)
|
|
Release Number:34-90767
|
SEC Issue Date:
|
File Number:2021-19
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90766
|
SEC Issue Date:
|
File Number:S7-22-20
|
Details: Notice of Substituted Compliance Application Submitted by the French Autorit des Marchs Financiers and the Autorit de Contrle Prudential et de Resolution in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic; Proposed Order
Comments Due: 25 days after publication in the Federal Register
View Received Comments
Federal Register version (85 FR 85720)
|
|
Release Number:34-90768
|
SEC Issue Date:
|
File Number:SR-NYSE-2019-67
|
Details: New York Stock Exchange LLC; Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings
Federal Register version (85 FR 85807)
|
|
Release Number:PA-55
|
SEC Issue Date:
|
File Number:S7-20-20
|
Details: Privacy Act of 1974; System of Records
Comments Due: 30 days after publication in the Federal Register
Federal Register version (85 FR 85440)
|
|
Release Number:PA-56
|
SEC Issue Date:
|
File Number:S7-21-20
|
Details: Privacy Act of 1974; System of Records
Federal Register version (85 FR 84436)
|
|
Release Number:34-90764
|
SEC Issue Date:
|
File Number:10-133
|
Details: OneChicago, LLC's Notice of Withdrawal of Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products
Comments Due: January 19, 2021
Federal Register version (85 FR 85778)
|
|
Release Number:34-90721
|
SEC Issue Date:
|
File Number:2021-18
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90718
|
SEC Issue Date:
|
File Number:2021-16
|
Details: Order Determining Whistleblower Award Claim
|
