34-89355
July 21, 2020
2020-24
Order Determining Whistleblower Award Claim
34-89311
July 14, 2020
2020-23
Order Determining Whistleblower Award Claim
IA-5534
July 8, 2020
McDaniel Investments, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
33-10798
July 2, 2020
Franklin Resources, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
IC-33916
July 1, 2020
Allianz Life Insurance Co. of North America, et al. (Order Granting Hearing and Scheduling Filing of Statements)
34-89184
June 29, 2020
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)
34-89170
June 26, 2020
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)
34-89124
June 23, 2020
2020-22
Order Determining Whistleblower Award Claim
IC-33897
June 19, 2020
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
34-89102
June 19, 2020
2020-21
Order Determining Whistleblower Award Claim
34-89100
June 19, 2020
S7-14-11
Credit Risk Retention-Notification of Commencement of Review; Extension of Review Period Proposed Rule Release Nos. 34-70277 , 34-64603 , Credit Risk Retention Federal Register version (85 FR 39099)
34-89087
June 18, 2020
265-33
Asset Management Advisory Committee View Received Comments Federal Register version (85 FR 37705)
IA-5525
June 17, 2020
Cheswold Lane Asset Management, LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-89074
June 16, 2020
Order Granting a Temporary Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors Federal Register version (85 FR 37133)
34-89051
June 11, 2020
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, From Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Federal Register version (85 FR 36631)
SIPA-182
June 9, 2020
SIPC-2019-02
Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change Relating to SIPC Member Assessments Federal Register version (85 FR 35960)
SIPA-181
June 9, 2020
SIPC-2019-01
Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation Federal Register version (85 FR 35970)
34-89002
June 4, 2020
2020-20
Order Determining Whistleblower Award Claim
34-89003
June 4, 2020
8-66603
Brewer Financial Services, LLC (Order Cancelling Registration Under Section 15(b) of the Securities Exchange Act of 1934)
34-88973
May 29, 2020
2020-19
Order Determining Whistleblower Award Claim
34-88960
May 27, 2020
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 33234)
IA-5506
May 20, 2020
Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 Federal Register version (85 FR 31559)
IA-5504
May 18, 2020
Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 Federal Register version (85 FR 31245)
34-88884
May 15, 2020
Order Granting a Conditional Exemption From Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral Incoming Letter Federal Register version (85 FR 31019)
34-88866
May 14, 2020
Order Designating Financial Industry Regulatory Authority, Inc., To Receive Form X-17A-5 (FOCUS Report) From Certain Security-Based Swap Dealers and Major Security-Based Swap Participants Federal Register version (85 FR 29993)
