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
34-93475 Order Regarding Net Capital and Initial Margin Computations for Morgan Stanley Capital Services LLC
34-93485 Order Regarding Net Capital Computation for Goldman Sachs Financial Markets, L.P.
34-93483 Order Regarding Net Capital Computation for Nomura Global Financial Products Inc.
34-93465 2022-11 Order Determining Whistleblower Award Claim
34-93440 2022-9 Order Determining Whistleblower Award Claim
34-93441 2022-10 Order Determining Whistleblower Award Claim
PA-57 S7-14-21 Privacy Act of 1974; System of Records
View Received Comments
Submit a Comment on S7-14-21
Federal Register version (86 FR 60496)
34-93414 2022-8 Order Determining Whistleblower Award Claim
33-11002, 34-93402 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 59439)
34-93412 S7-09-21 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 Kingdom of Spain
View Received Comments
Federal Register version (86 FR 59776)
34-93411 S7-08-21 Amended and Restated 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; Amended Orders Addressing Non-U.S. Security-Based Swap Entities Subject to Regulation in the French Republic or the United Kingdom; and Order Extending the Time To Meet Certain Conditions Relating to Capital and Margin
Federal Register version (86 FR 59797)
34-93396 Public Availability of the Securities and Exchange Commission's FY 2019 Service Contract Inventory
Federal Register version (86 FR 59258)
34-93389 Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15b(C)(3) of the Securities Exchange Act of 1934
34-93391 265-33 Asset Management Advisory Committee; Meeting
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 59258)
34-93380 265-33 Asset Management Advisory Committee
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 58712)
34-93370 2022-7 Order Determining Whistleblower Award Claim
34-93340 2022-6 Order Determining Whistleblower Award Claim
34-93339 2022-5 Order Determining Whistleblower Award Claim
34-93335 Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap Dealers and Major Security-Based Swap Participants That Are Not U.S. Persons and Are Relying on Substituted Compliance Determinations With Respect to Rule 18a-7
Federal Register version (86 FR 59208)
34-93286 2022-4 Order Determining Whistleblower Award Claim
34-93284 S7-07-21 Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation
Federal Register version (86 FR 57455)
34-93275 2022-3 Order Determining Whistleblower Award Claim
34-93274 2022-2 Order Determining Whistleblower Award Claim
33-10995, 34-93258, IA-5885, IC-34393 S7-13-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-13-21
Federal Register version (87 FR 5382)
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Last Reviewed or Updated: June 28, 2024