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Release Number:34-90720
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SEC Issue Date:
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File Number:2021-17
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Details: Order Determining Whistleblower Award Claim
|
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Release Number:34-90680
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SEC Issue Date:
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File Number:
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Details: Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, the United Kingdom, Norway, and Canada as Alternative Reporting Regimes that Satisfy the Transparency Objectives of Section 13(q) Under the Securities Exchange Act of 1934
Federal Register version (86 FR 4726)
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Release Number:33-10905
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SEC Issue Date:
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File Number:
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Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2021
See Also -
33-10905A, Other Release No.: 34-90693
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Release Number:34-90656
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SEC Issue Date:
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File Number:2021-15
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Details: Order Determining Whistleblower Award Claim
|
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Release Number:IA-5646
|
SEC Issue Date:
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File Number:
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Details: Notice of Intention to Cancel Registration Pursuant to section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 82010)
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Release Number:33-10898
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SEC Issue Date:
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File Number:
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Details: Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
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Release Number:34-90578
|
SEC Issue Date:
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File Number:2021-12
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90580
|
SEC Issue Date:
|
File Number:2021-13
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90582
|
SEC Issue Date:
|
File Number:2021-14
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10895
|
SEC Issue Date:
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File Number:
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Details: BancWest Investment (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)
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Release Number:33-10894
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SEC Issue Date:
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File Number:
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Details: Public Service Company of North Carolina, Incorporated (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii)(A) and (B) Disqualification Provisions)
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Release Number:33-10893
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SEC Issue Date:
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File Number:
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Details: Dominion Energy, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
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Release Number:IA-5638
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SEC Issue Date:
|
File Number:
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Details: Ann T. Coffey Wealth Management LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
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Release Number:34-90537
|
SEC Issue Date:
|
File Number:2021-11
|
Details: Order Determining Whistleblower Award Claim
|
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Release Number:34-90506
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SEC Issue Date:
|
File Number:2021-10
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Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5633
|
SEC Issue Date:
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File Number:
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Details: Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 75391)
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Release Number:34-90468
|
SEC Issue Date:
|
File Number:2021-9
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90460
|
SEC Issue Date:
|
File Number:2021-8
|
Details: Order Determining Whistleblower Award Claim
|
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Release Number:34-90427
|
SEC Issue Date:
|
File Number:
|
Details: Securities Exchange Act of 1934
Federal Register version (85 FR 73825)
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Release Number:34-90428
|
SEC Issue Date:
|
File Number:
|
Details: Securities Exchange Act of 1934; In the Matter of: Cboe BZX Exchange, Inc., 400 South LaSalle Street, Chicago, IL 60605, File No. SR-CboeBZX-2018-044; Order Setting Aside the Order by Delegated Authority Disapproving SR-CboeBZX-2018-044
Federal Register version (85 FR 73829)
|
|
Release Number:34-90429
|
SEC Issue Date:
|
File Number:
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Details: Order Setting Aside the Order by Delegated Authority Approving SR-IEX-2018-06; In the Matter of Investors Exchange LLC, 3 World Trade Center 58th Floor, New York, NY 10007, File No. SR-IEX-2018-06
Federal Register version (85 FR 73835)
|
|
Release Number:34-90430
|
SEC Issue Date:
|
File Number:
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Details: Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2018-02; In the Matter of NYSE Arca, Inc., 11 Wall St., New York, NY 10005; File No. SR-NYSEArca-2018-02
Federal Register version (85 FR 73825)
|
|
Release Number:34-90431
|
SEC Issue Date:
|
File Number:
|
Details: Securities Exchange Act of 1934; In the Matter of: NYSE Area, Inc., 11 Wall St., New York, NY 10005, File No. SR-NYSEArca-2019-01; Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2019-01
Federal Register version (85 FR 73819)
|
|
Release Number:34-90412
|
SEC Issue Date:
|
File Number:2021-7
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5632
|
SEC Issue Date:
|
File Number:
|
Details: EF Hutton Investments LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
|
|
Release Number:34-90378
|
SEC Issue Date:
|
File Number:S7-16-20
|
Details: Notice of Substituted Compliance Application Submitted by the Bundesanstalt fr Finanzdienstleistungsaufsicht in Connection With Certain Requirements Applicable to Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Order
Comments Due: December 8, 2020
View Received Comments
Federal Register version (85 FR 72726)
|
|
Release Number:34-90376
|
SEC Issue Date:
|
File Number:265-33
|
Details: Asset Management Advisory Committee
View Received Comments
Federal Register version (85 FR 72723)
|
|
Release Number:34-90351
|
SEC Issue Date:
|
File Number:2021-6
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90350
|
SEC Issue Date:
|
File Number:2021-5
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5622
|
SEC Issue Date:
|
File Number:
|
Details: Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940
Federal Register version (85 FR 71707)
|
|
Release Number:34-90346
|
SEC Issue Date:
|
File Number:
|
Details: Public Availability of the Securities and Exchange Commission's FY 2016 and FY 2017 Service Contract Inventory
Federal Register version (85 FR 71705)
|
|
Release Number:33-10885, 34-90338
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
View Received Comments
Federal Register version (85 FR 71365)
|
|
Release Number:33-10885, 34-90338
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
View Received Comments
Federal Register version (85 FR 71365)
|
|
Release Number:34-90317
|
SEC Issue Date:
|
File Number:2021-4
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90284
|
SEC Issue Date:
|
File Number:2021-3
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90276
|
SEC Issue Date:
|
File Number:S7-13-12
|
Details: Proposed Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Swaps and Security-Based Swaps That Are Credit Default Swaps
See Also -
Exemptive Order Rel. No. 2020-248
Federal Register version (85 FR 70657)
|
|
Release Number:34-90275
|
SEC Issue Date:
|
File Number:265-30
|
Details: Fixed Income Market Structure Advisory Committee
Federal Register version (85 FR 69370)
|
|
Release Number:33-10877, 34-90260
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 68378)
|
|
Release Number:33-10877, 34-90260
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 68378)
|
|
Release Number:34-90246
|
SEC Issue Date:
|
File Number:S7-15-20
|
Details: Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
Comments Due: 30 days after publication in the Federal Register
See Also -
Press Release No. 2020-264
Federal Register version (85 FR 70536)
|
|
Release Number:34-90247
|
SEC Issue Date:
|
File Number:2021-2
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90223
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Allocations Pursuant to the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 67576)
|
|
Release Number:34-90211
|
SEC Issue Date:
|
File Number:265-33
|
Details: Asset Management Advisory Committee; Meeting
View Received Comments
Federal Register version (85 FR 67040)
|
|
Release Number:34-90189
|
SEC Issue Date:
|
File Number:2021-1
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5612
|
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 (85 FR 66590)
|
|
Release Number:33-10873, 34-90131, IA-5610, IC-34047
|
SEC Issue Date:
|
File Number:S7-14-20
|
Details: Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 17040)
|
|
Release Number:33-10873, 34-90131, IA-5610, IC-34047
|
SEC Issue Date:
|
File Number:S7-14-20
|
Details: Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 17040)
|
|
Release Number:33-10873, 34-90131, IA-5610, IC-34047
|
SEC Issue Date:
|
File Number:S7-14-20
|
Details: Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 17040)
|
|
Release Number:33-10873, 34-90131, IA-5610, IC-34047
|
SEC Issue Date:
|
File Number:S7-14-20
|
Details: Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 17040)
|
|
Release Number:34-90112
|
SEC Issue Date:
|
File Number:S7-13-20
|
Details: Notice of Proposed Exemptive Order Granting Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders
Comments Due: November 12, 2020
View Received Comments
See Also -
Press Release 2020-248
Federal Register version (85 FR 64542)
|
|
Release Number:33-10866
|
SEC Issue Date:
|
File Number:
|
Details: Salt Blockchain 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:IA-5602
|
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 (85 FR 63158)
|
|
Release Number:34-90059
|
SEC Issue Date:
|
File Number:2020-39
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90049
|
SEC Issue Date:
|
File Number:2020-36
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90054
|
SEC Issue Date:
|
File Number:2020-37
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90057
|
SEC Issue Date:
|
File Number:2020-38
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10864
|
SEC Issue Date:
|
File Number:
|
Details: Aegon N.V. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
|
|
Release Number:34-90021
|
SEC Issue Date:
|
File Number:2020-35
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-89995
|
SEC Issue Date:
|
File Number:2020-33
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-89996
|
SEC Issue Date:
|
File Number:2020-34
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-90001
|
SEC Issue Date:
|
File Number:SR-NYSE-2019-67
|
Details: New York Stock Exchange LLC Regarding an Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Chapter One of the Listed Company Manual to Modify the Provisions Relating to Direct Listings (Order Granting Petition for Review, Scheduling Filing of Statements, and Denying New York Stock Exchange LLC's Motion to Lift the Stay)
See Also -
2020, 2020
|
|
Release Number:34-89929
|
SEC Issue Date:
|
File Number:2020-32
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10846
|
SEC Issue Date:
|
File Number:
|
Details: Northern Trust Corporation (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver From Being Ineligible Issuer)
|
|
Release Number:34-89912
|
SEC Issue Date:
|
File Number:2020-31
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-89868
|
SEC Issue Date:
|
File Number:265-30
|
Details: Fixed Income Market Structure Advisory Committee; Meeting
View Received Comments
Federal Register version (85 FR 58404)
|
|
Release Number:34-89850
|
SEC Issue Date:
|
File Number:2020-30
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-89836
|
SEC Issue Date:
|
File Number:4-764
|
Details: MEMX, LLC; Order Declaring Effective a Minor Rule Violation Plan
View Received Comments
See Also -
Exhibit A
Federal Register version (85 FR 58081)
|
|
Release Number:34-89780
|
SEC Issue Date:
|
File Number:2020-29
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5568
|
SEC Issue Date:
|
File Number:
|
Details: Europa Investment Bank Inc. (Order Cancelling Registration Pursuant to SECTION 203(h) of the Investment Advisers Act of 1940)
|
|
Release Number:34-89721
|
SEC Issue Date:
|
File Number:2020-28
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-89712
|
SEC Issue Date:
|
File Number:2020-27
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10830, 34-89713
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
Comments Due: May 21, 2020
View Received Comments
Federal Register version (85 FR 55039)
|
|
Release Number:33-10830, 34-89713
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
Comments Due: May 21, 2020
View Received Comments
Federal Register version (85 FR 55039)
|
|
Release Number:34-89693
|
SEC Issue Date:
|
File Number:265-33
|
Details: Asset Management Advisory Committee
View Received Comments
Federal Register version (85 FR 54451)
|
|
Release Number:33-10826, 34-89671
|
SEC Issue Date:
|
File Number:
|
Details: Order Making Fiscal Year 2021 Annual Adjustments to Registration Fee Rates
Federal Register version (85 FR 53890)
|
|
Release Number:33-10826, 34-89671
|
SEC Issue Date:
|
File Number:
|
Details: Order Making Fiscal Year 2021 Annual Adjustments to Registration Fee Rates
Federal Register version (85 FR 53890)
|
|
Release Number:33-10823
|
SEC Issue Date:
|
File Number:
|
Details: Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status
Federal Register version (85 FR 64234)
|
|
Release Number:34-89659
|
SEC Issue Date:
|
File Number:TP-20-02
|
Details: Order Granting Exemptions From Certain Rules Related to the Sale and Delivery of Physical Securities Under Regulation SHO Related to COVID-19
Federal Register version (85 FR 53888)
|
|
Release Number:IA-5565
|
SEC Issue Date:
|
File Number:803-00250
|
Details: Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order Under Section 206A of the Investment Advisers Act of 1940 Granting an Exemption from Section 205 of the Act and Rule 205-1 Thereunder)
|
|
Release Number:34-89551
|
SEC Issue Date:
|
File Number:2020-26
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-89485
|
SEC Issue Date:
|
File Number:4-764
|
Details: MEMX LLC; Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: August 24, 2020
View Received Comments
See Also -
Exhibit A
Federal Register version (85 FR 48577)
|
|
Release Number:33-10807
|
SEC Issue Date:
|
File Number:
|
Details: American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
|
|
Release Number:33-10808
|
SEC Issue Date:
|
File Number:
|
Details: American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
|
|
Release Number:IA-5549
|
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 (85 FR 46197)
|
|
Release Number:33-10804, 34-89353
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 44947)
|
|
Release Number:33-10804, 34-89353
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 44947)
|
|
Release Number:34-89354
|
SEC Issue Date:
|
File Number:2020-25
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-89355
|
SEC Issue Date:
|
File Number:2020-24
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-89311
|
SEC Issue Date:
|
File Number:2020-23
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IA-5534
|
SEC Issue Date:
|
File Number:
|
Details: McDaniel Investments, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
|
|
Release Number:33-10798
|
SEC Issue Date:
|
File Number:
|
Details: Franklin Resources, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
|
|
Release Number:IC-33916
|
SEC Issue Date:
|
File Number:
|
Details: Allianz Life Insurance Co. of North America, et al. (Order Granting Hearing and Scheduling Filing of Statements)
|
|
Release Number:34-89184
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater Than $20 Million But Less Than $50 Million
Federal Register version (85 FR 40356)
|
|
Release Number:34-89170
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 17a and Section 36 of The Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of The Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 39960)
|
|
Release Number:34-89124
|
SEC Issue Date:
|
File Number:2020-22
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IC-33897
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Sections 15(c) and 32(a) of the Investment Company Act and Rules 12b-1(b)(2) and 15a-4(b)(2)(ii) Thereunder
|
|
Release Number:34-89102
|
SEC Issue Date:
|
File Number:2020-21
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-89100
|
SEC Issue Date:
|
File Number:S7-14-11
|
Details: Credit Risk Retention-Notification of Commencement of Review; Extension of Review Period
See Also -
Proposed Rule Release Nos. 34-70277, 34-64603, Credit Risk Retention
Federal Register version (85 FR 39099)
|
|
Release Number:34-89087
|
SEC Issue Date:
|
File Number:265-33
|
Details: Asset Management Advisory Committee
View Received Comments
Federal Register version (85 FR 37705)
|
|
Release Number:IA-5525
|
SEC Issue Date:
|
File Number:
|
Details: Cheswold Lane Asset Management, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
|
