Other Commission Orders, Notices, and Information

Commission orders, notices, and other information in miscellaneous categories such as whistleblower award claims, fee rates, and specific requests for public comment.

Release Number Issue Date File Number Details
34-105340 Order Granting Application of 24X National Exchange LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
34-105336 10-251 Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by Chicago Mercantile Exchange Inc.
See Also - Form 1-N Application and Exhibits
34-105335 4-897 Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: 21 days after publication in the Federal Register.
Submit a Comment on 4-897
34-105315 S7-2026-14 Staff Report on the Definitions of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant"
Comments Due: 60 days after publication in the Federal Register
Submit a Comment on S7-2026-14
IA-6961 Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940
34-105193 Notice pursuant to Rule 15c3-3a, Note H(b)(3) Regarding Application of the Customer Protection Rule Reserve Computations with Respect to U.S. Treasury Securities
34-105186 2026-16 Order Determining Whistleblower Award Claim
34-105185 2026-15 Order Determining Whistleblower Award Claim
34-105171 2026-14 Order Determining Whistleblower Award Claim
34-105170 2026-13 Order Determining Whistleblower Award Claim
34-105169 2026-12 Order Determining Whistleblower Award Claim
34-105168 2026-11 Order Determining Whistleblower Award Claim
34-105167 2026-10 Order Determining Whistleblower Award Claim
34-105166 2026-9 Order Determining Whistleblower Award Claim
34-105159 2026-8 Order Determining Whistleblower Award Claim
34-105154 2026-7 Order Determining Whistleblower Award Claim
34-105108 Order Regarding the Collateral Broker-Dealers May Pledge When Borrowing Customer Securities
IA-6955 Performance Based Investment Advisory Fees
Federal Register version
SIPA-186 SIPC-2026-01 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...
34-105050 2026-6 Order Determining Whistleblower Award Claim
34-104977 600-39 Notice of Filing of an Amendment to Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: April 6, 2026
View Received Comments
See Also - Form CA-1 Application and Exhibits
Submit a Comment on 600-39
33-11410, 34-104943 Order Regarding Review of FASB Accounting Support Fee for 2026 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-104909 Order Making Fiscal Year 2026 Annual Adjustments to Transaction Fee Rates
34-104896 2026-5 Order Determining Whistleblower Award Claim
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