Other Commission Orders, Notices, and Information

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

Release Number	SEC Issue Date	File Number	Details
Release Number:33-10711, IA-5379	SEC Issue Date: Sept. 27, 2019	File Number:	Details: BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Release Number:33-10711, IA-5379	SEC Issue Date: Sept. 27, 2019	File Number:	Details: BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Release Number:33-10708, IA-5378	SEC Issue Date: Sept. 27, 2019	File Number:	Details: Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Release Number:33-10708, IA-5378	SEC Issue Date: Sept. 27, 2019	File Number:	Details: Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Release Number:34-87039	SEC Issue Date: Sept. 20, 2019	File Number:2019-11	Details: Order Determining Whistleblower Award Claim
Release Number:IA-5360	SEC Issue Date: Sept. 20, 2019	File Number:	Details: Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
Release Number:34-87021	SEC Issue Date: Sept. 19, 2019	File Number:4-753	Details: Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan See Also - Exhibit A Federal Register version (84 FR 50525)
Release Number:33-10690, : 34-86986, IA-5353	SEC Issue Date: Sept. 17, 2019	File Number:3-19464	Details: Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Release Number:33-10690, : 34-86986, IA-5353	SEC Issue Date: Sept. 17, 2019	File Number:3-19464	Details: Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Release Number:33-10690, : 34-86986, IA-5353	SEC Issue Date: Sept. 17, 2019	File Number:3-19464	Details: Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Release Number:33-10685, IA-5347	SEC Issue Date: Sept. 16, 2019	File Number:	Details: Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Release Number:33-10685, IA-5347	SEC Issue Date: Sept. 16, 2019	File Number:	Details: Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Release Number:34-86902	SEC Issue Date: Sept. 9, 2019	File Number:2019-10	Details: Order Determining Whistleblower Award Claim
Release Number:34-86803	SEC Issue Date: Aug. 29, 2019	File Number:2019-9	Details: Order Determining Whistleblower Award Claim
Release Number:33-10676, 34-86785	SEC Issue Date: Aug. 28, 2019	File Number:265-28	Details: Investor Advisory Committee Meeting *Comments Due:* September 19, 2019 Submit a Comment on 265-28 Federal Register version (84 FR 46061)
Release Number:33-10676, 34-86785	SEC Issue Date: Aug. 28, 2019	File Number:265-28	Details: Investor Advisory Committee Meeting *Comments Due:* September 19, 2019 Submit a Comment on 265-28 Federal Register version (84 FR 46061)
Release Number:33- 10674, 34-86748, IA-5328, IC-33607	SEC Issue Date: Aug. 23, 2019	File Number:S7-12-19	Details: Regulatory Agenda; Semiannual Regulatory Agenda *Comments Due:* 30 days after publication in the Federal Register Submit a Comment on S7-12-19 Federal Register version (84 FR 71285)
Release Number:33- 10674, 34-86748, IA-5328, IC-33607	SEC Issue Date: Aug. 23, 2019	File Number:S7-12-19	Details: Regulatory Agenda; Semiannual Regulatory Agenda *Comments Due:* 30 days after publication in the Federal Register Submit a Comment on S7-12-19 Federal Register version (84 FR 71285)
Release Number:33- 10674, 34-86748, IA-5328, IC-33607	SEC Issue Date: Aug. 23, 2019	File Number:S7-12-19	Details: Regulatory Agenda; Semiannual Regulatory Agenda *Comments Due:* 30 days after publication in the Federal Register Submit a Comment on S7-12-19 Federal Register version (84 FR 71285)
Release Number:33- 10674, 34-86748, IA-5328, IC-33607	SEC Issue Date: Aug. 23, 2019	File Number:S7-12-19	Details: Regulatory Agenda; Semiannual Regulatory Agenda *Comments Due:* 30 days after publication in the Federal Register Submit a Comment on S7-12-19 Federal Register version (84 FR 71285)
Release Number:33-10675, 34-86750	SEC Issue Date: Aug. 23, 2019	File Number:	Details: Order Making Fiscal Year 2020 Annual Adjustments to Registration Fee Rates Federal Register version (84 FR 45601)
Release Number:33-10675, 34-86750	SEC Issue Date: Aug. 23, 2019	File Number:	Details: Order Making Fiscal Year 2020 Annual Adjustments to Registration Fee Rates Federal Register version (84 FR 45601)
Release Number:IA-5317	SEC Issue Date: Aug. 12, 2019	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:33-10670, 34-86628	SEC Issue Date: Aug. 12, 2019	File Number:265-28	Details: Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (84 FR 42027)
Release Number:33-10670, 34-86628	SEC Issue Date: Aug. 12, 2019	File Number:265-28	Details: Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (84 FR 42027)
Release Number:IA-5315	SEC Issue Date: Aug. 5, 2019	File Number:801-117067	Details: Order Granting Registration Pursuant to Section 203(c) of the Investment Advisers Act of 1940
Release Number:33-10666, 34-86552	SEC Issue Date: Aug. 2, 2019	File Number:265-32	Details: SEC Small Business Capital Formation Advisory Committee *Comments Due:* August 12, 2019 Submit a Comment on 265-32 Federal Register version (84 FR 38688)
Release Number:33-10666, 34-86552	SEC Issue Date: Aug. 2, 2019	File Number:265-32	Details: SEC Small Business Capital Formation Advisory Committee *Comments Due:* August 12, 2019 Submit a Comment on 265-32 Federal Register version (84 FR 38688)
Release Number:34-86431	SEC Issue Date: July 23, 2019	File Number:2019-8	Details: Order Determining Whistleblower Award Claim
Release Number:33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543	SEC Issue Date: July 3, 2019	File Number:S7-10-19	Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-10-19 Federal Register version (84 FR 33024)
Release Number:33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543	SEC Issue Date: July 3, 2019	File Number:S7-10-19	Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-10-19 Federal Register version (84 FR 33024)
Release Number:33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543	SEC Issue Date: July 3, 2019	File Number:S7-10-19	Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-10-19 Federal Register version (84 FR 33024)
Release Number:33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543	SEC Issue Date: July 3, 2019	File Number:S7-10-19	Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-10-19 Federal Register version (84 FR 33024)
Release Number:33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543	SEC Issue Date: July 3, 2019	File Number:S7-10-19	Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-10-19 Federal Register version (84 FR 33024)
Release Number:33-10658, 34-86289	SEC Issue Date: July 3, 2019	File Number:265-28	Details: Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (84 FR 32805)
Release Number:33-10658, 34-86289	SEC Issue Date: July 3, 2019	File Number:265-28	Details: Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (84 FR 32805)
Release Number:34-86253	SEC Issue Date: July 1, 2019	File Number:265-30	Details: Fixed Income Market Structure Advisory Committee *Comments Due:* July 24, 2019 Submit a Comment on 265-30 Federal Register version (84 FR 32237)
Release Number:33-10646	SEC Issue Date: June 13, 2019	File Number:	Details: Certain Existing Funds affiliated with Och-Ziff Capital Management Group LLC and OZ Management LP; Corrected Order Under Rule 506(d)(2)(ii) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iv)(B) And (v) Of Regulation D Disqualification Provisions
Release Number:33-10644	SEC Issue Date: June 4, 2019	File Number:	Details: Deer Park Road Management Company, LP; 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
Release Number:34-86010	SEC Issue Date: June 3, 2019	File Number:2019-7	Details: Order Determining Whistleblower Award Claim
Release Number:34-85936	SEC Issue Date: May 24, 2019	File Number:2019-6	Details: Order Determining Whistleblower Award Claim
Release Number:34-85906	SEC Issue Date: May 21, 2019	File Number:S7-05-18	Details: Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks Federal Register version (84 FR 24563)
Release Number:34-85895	SEC Issue Date: May 20, 2019	File Number:265-30	Details: Fixed Income Market Structure Advisory Committee *Comments Due:* June 6, 2019 Submit a Comment on 265-30 Federal Register version (84 FR 23814)
Release Number:34-85843	SEC Issue Date: May 10, 2019	File Number:	Details: Merril Lynch, Pierce, Fenner & Smith Incorporated; Order Granting Accelerated Effectiveness of Notice Regarding Change of Method For Computing Deductions For Market and Credit Risk
Release Number:34-85828	SEC Issue Date: May 10, 2019	File Number:10-234	Details: In the Matter of the Application of Long Term Stock Exchange, Inc.; for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission See Also - Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934 Federal Register version (84 FR 21841)
Release Number:34-85793	SEC Issue Date: May 7, 2019	File Number:2019-5	Details: Order Determining Whistleblower Award Claim
Release Number:33-10634, 34-85721	SEC Issue Date: April 25, 2019	File Number:265-32	Details: Small Business Capital Formation Advisory Committee *Comments Due:* May 6, 2019 Federal Register version (84 FR 18620)
Release Number:33-10634, 34-85721	SEC Issue Date: April 25, 2019	File Number:265-32	Details: Small Business Capital Formation Advisory Committee *Comments Due:* May 6, 2019 Federal Register version (84 FR 18620)
Release Number:34-85682	SEC Issue Date: April 17, 2019	File Number:SR-CboeBZX-2018-044	Details: Cboe BZX Exchange, Inc.; Order Scheduling Filing of Statements on Review Federal Register version (84 FR 18098)
Release Number:34-85538	SEC Issue Date: April 8, 2019	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:34-85447	SEC Issue Date: March 28, 2019	File Number:3-19124	Details: Order Issuing Stay (In the Matter of Rule 610T of Regulation NMS) File Nos.: 3-19124, S7-05-18
Release Number:34-85412	SEC Issue Date: March 26, 2019	File Number:2019-4	Details: Order Determining Whistleblower Award Claim
Release Number:33-10621, 34-85402	SEC Issue Date: March 25, 2019	File Number:	Details: Order Regarding Review of FASB Accounting Support Fee for 2019 under Section 109 of the Sarbanes-Oxley Act of 2002
Release Number:33-10621, 34-85402	SEC Issue Date: March 25, 2019	File Number:	Details: Order Regarding Review of FASB Accounting Support Fee for 2019 under Section 109 of the Sarbanes-Oxley Act of 2002
Release Number:33-10620, 34-85401, IA-5207, IC-33428	SEC Issue Date: March 22, 2019	File Number:S7-04-19	Details: Regulatory Flexibility Agenda *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-04-19 Federal Register version (84 FR 29783)
Release Number:33-10620, 34-85401, IA-5207, IC-33428	SEC Issue Date: March 22, 2019	File Number:S7-04-19	Details: Regulatory Flexibility Agenda *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-04-19 Federal Register version (84 FR 29783)
Release Number:33-10620, 34-85401, IA-5207, IC-33428	SEC Issue Date: March 22, 2019	File Number:S7-04-19	Details: Regulatory Flexibility Agenda *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-04-19 Federal Register version (84 FR 29783)
Release Number:33-10620, 34-85401, IA-5207, IC-33428	SEC Issue Date: March 22, 2019	File Number:S7-04-19	Details: Regulatory Flexibility Agenda *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-04-19 Federal Register version (84 FR 29783)
Release Number:34-85383	SEC Issue Date: March 21, 2019	File Number:265-30	Details: Fixed Income Market Structure Advisory Committee *Comments Due:* April 10, 2019 Submit a Comment on 265-30 Federal Register version (84 FR 11371)
Release Number:33-10616	SEC Issue Date: March 20, 2019	File Number:	Details: Wells Fargo Services, LLC (Order Under Rule 506(d)(2)(ii) and Rule 262(b)(2)of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) and Rule 262(a)(2) Disqualification Provisions)
Release Number:34-85287	SEC Issue Date: March 11, 2019	File Number:	Details: Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates Federal Register version (84 FR 9576)
Release Number:33-10613	SEC Issue Date: March 11, 2019	File Number:3-19100	Details: Deutsche Bank Securities, Inc., RBC Capital Markets, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC (Order Under Rules 262(B)(2), 405, 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(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers)
Release Number:33-10612	SEC Issue Date: March 11, 2019	File Number:3-19026	Details: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 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(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers) File Nos.: 3-19026, 3-19027, 3-19028, 3-19029, 3-19030, 3-19031, 3-19032, 3-19033, 3-19034, 3-19035, 3-19036, 3-19037, 3-19038, 3-19039, 3-19040, 3-19041, 3-19042, 3-19043, 3-19044, 3-19045, 3-19046, 3-19047, 3-19048, 3-19049, 3-19050, 3-19051, 3-19052, 3-19053, 3-19054, 3-19055, 3-19056, 3-19057, 3-19058, 3-19059, 3-19060, 3-19061, 3-19062, 3-19063, 3-19064, 3-19065, 3-19066, 3-19067, 3-19068, 3-19069, 3-19070, 3-19071, 3-19072, 3-19073, 3-19074, 3-19075, 3-19076, 3-19077, 3-19078, 3-19079, 3-19080, 3-19081, 3-19082, 3-19083, 3-19084, 3-19085, 3-19086, 3-19087, 3-19088, 3-19089, 3-19090, 3-19091, 3-19092, 3-19093, 3-19094, 3-19095, 3-19096, 3-19097, 3-19098, 3-19099, 3-19100, 3-19101, 3-19102
Release Number:34-85273	SEC Issue Date: March 8, 2019	File Number:2019-3	Details: Order Determining Whistleblower Award Claim
Release Number:33-10611, 34-85271	SEC Issue Date: March 8, 2019	File Number:265-28	Details: Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (84 FR 9189)
Release Number:33-10611, 34-85271	SEC Issue Date: March 8, 2019	File Number:265-28	Details: Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (84 FR 9189)
Release Number:34-85227	SEC Issue Date: March 1, 2019	File Number:	Details: Notice of Intent to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
Release Number:34-85174	SEC Issue Date: Feb. 22, 2019	File Number:	Details: Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
Release Number:33-10604	SEC Issue Date: Feb. 13, 2019	File Number:	Details: Adjustments to Civil Monetary Penalty Amounts Federal Register version (84 FR 5122)
Release Number:34-84985	SEC Issue Date: Jan. 15, 2019	File Number:265-30	Details: Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting Cancellation - Monday, January 28)
Release Number:34-84943	SEC Issue Date: Dec. 21, 2018	File Number:265-30	Details: Fixed Income Market Structure Advisory Committee *Comments Due:* January 23, 2019 View Received Comments Submit a Comment on 265-30 Federal Register version (83 FR 67396)
Release Number:34-84891	SEC Issue Date: Dec. 20, 2018	File Number:10-233	Details: In the Matter of the Application of MIAX EMERALD, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission See Also - Release no. 34-84313, Form 1 Application and Exhibits Federal Register version (83 FR 67421)
Release Number:33-10592, 34-84877	SEC Issue Date: Dec. 19, 2018	File Number:	Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2019
Release Number:33-10592, 34-84877	SEC Issue Date: Dec. 19, 2018	File Number:	Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2019
Release Number:33-10589	SEC Issue Date: Dec. 19, 2018	File Number:	Details: Capital States Capital Markets, LLC (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)
Release Number:33-10588, 34-84842	SEC Issue Date: Dec. 18, 2018	File Number:S7-26-18	Details: Request for Comment on Earnings Releases and Quarterly Reports *Comments Due:* March 21, 2019 View Received Comments Submit a Comment on S7-26-18 Federal Register version (83 FR 65601)
Release Number:33-10588, 34-84842	SEC Issue Date: Dec. 18, 2018	File Number:S7-26-18	Details: Request for Comment on Earnings Releases and Quarterly Reports *Comments Due:* March 21, 2019 View Received Comments Submit a Comment on S7-26-18 Federal Register version (83 FR 65601)
Release Number:34-84709	SEC Issue Date: Nov. 30, 2018	File Number:10-234	Details: Long-Term Stock Exchange, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 *Comments Due:* 45 days from publication in the Federal Register View Received Comments See Also - Findings, Opinion, and Order of the Commission, Form 1 Application and Exhibits, Letter Consenting to Extension of Initial Review Period Submit a Comment on 10-234 Federal Register version (83 FR 62941)
Release Number:34-84689	SEC Issue Date: Nov. 29, 2018	File Number:	Details: Order Regarding Alternative Net Capital Computation for BofAML Securities, Inc.
Release Number:33-10576, 34-84640, 39-2523, IA-5067, IC-33298	SEC Issue Date: Nov. 21, 2018	File Number:S7-25-18	Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-25-18 Federal Register version (83 FR 60791)
Release Number:33-10576, 34-84640, 39-2523, IA-5067, IC-33298	SEC Issue Date: Nov. 21, 2018	File Number:S7-25-18	Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-25-18 Federal Register version (83 FR 60791)
Release Number:33-10576, 34-84640, 39-2523, IA-5067, IC-33298	SEC Issue Date: Nov. 21, 2018	File Number:S7-25-18	Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-25-18 Federal Register version (83 FR 60791)
Release Number:33-10576, 34-84640, 39-2523, IA-5067, IC-33298	SEC Issue Date: Nov. 21, 2018	File Number:S7-25-18	Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-25-18 Federal Register version (83 FR 60791)
Release Number:33-10576, 34-84640, 39-2523, IA-5067, IC-33298	SEC Issue Date: Nov. 21, 2018	File Number:S7-25-18	Details: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-25-18 Federal Register version (83 FR 60791)
Release Number:34-84614	SEC Issue Date: Nov. 16, 2018	File Number:SR-BOX-2018-24	Details: BOX Exchange LLC (Order Granting Petition for Review and Scheduling Filing of Statements) See Also - Rel. No. 83728, Rel. No. 84168, Rel. No. 85184
Release Number:33-10573, 34-84574	SEC Issue Date: Nov. 9, 2018	File Number:265-28	Details: Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (83 FR 57786)
Release Number:33-10573, 34-84574	SEC Issue Date: Nov. 9, 2018	File Number:265-28	Details: Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (83 FR 57786)
Release Number:34-84503	SEC Issue Date: Oct. 30, 2018	File Number:2019-2	Details: Order Determining Whistleblower Award Claim
Release Number:34-84506	SEC Issue Date: Oct. 30, 2018	File Number:2019-1	Details: Order Determining Whistleblower Award Claim
Release Number:34-84497	SEC Issue Date: Oct. 29, 2018	File Number:	Details: Order Lifting the Automatic Stay of the Order Denying Applications by New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and NYSE National, Inc., Respectively, for Confidential Treatment Pursuant to Rule 24b-2 under the Exchange Act for Material Filed Pursuant to Rule 6a-2 under the Exchange Act
Release Number:33-10568, 34-84441	SEC Issue Date: Oct. 17, 2018	File Number:265-28	Details: Investor Advisory Committee Meeting Federal Register version (83 FR 53337)
Release Number:33-10568, 34-84441	SEC Issue Date: Oct. 17, 2018	File Number:265-28	Details: Investor Advisory Committee Meeting Federal Register version (83 FR 53337)
Release Number:34-84440, IC-33272	SEC Issue Date: Oct. 16, 2018	File Number:	Details: Order concerning Hurricane Michael (Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder)
Release Number:34-84440, IC-33272	SEC Issue Date: Oct. 16, 2018	File Number:	Details: Order concerning Hurricane Michael (Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder)
Release Number:34-84356	SEC Issue Date: Oct. 4, 2018	File Number:265-30	Details: Fixed Income Market Structure Advisory Committee Federal Register version (83 FR 51026)
Release Number:34-84368	SEC Issue Date: Oct. 4, 2018	File Number:SR-CboeBZX-2018-001	Details: In the Matter of the Cboe BZX Exchange, Inc.; For an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF (File No. SR-CboeBZX-2018-001); Order Scheduling Filing of Statements on Review View Received Comments Federal Register version (83 FR 51520)
Release Number:34-84369	SEC Issue Date: Oct. 4, 2018	File Number:SR-NYSEArca-2017-139	Details: Securities Exchange Act of 1934 Federal Register version (83 FR 51520)
Release Number:34-84370	SEC Issue Date: Oct. 4, 2018	File Number:SR-NYSEArca-2018-02	Details: In the Matter of the NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change Relating To Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (File No. SR-NYSEArca-2018-02); Order Scheduling Filing of Statements on Review Federal Register version (83 FR 51531)
Release Number:33-10563, 34-84307	SEC Issue Date: Sept. 28, 2018	File Number:	Details: Walgreens Boots Alliance, Inc.
Release Number:33-10563, 34-84307	SEC Issue Date: Sept. 28, 2018	File Number:	Details: Walgreens Boots Alliance, Inc.