33-10758
Feb. 21, 2020
Wells Fargo & Company (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(A) Disqualification Provision)
34-88214
Feb. 14, 2020
SR-FINRA-2019-008
In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008); Order Granting Petition for Review and Scheduling Filing of Statements
Federal Register version (85 FR 9887)
33-10753, 34-88137
Feb. 6, 2020
Order Regarding Review of FASB Accounting Support Fee for 2020 under Section 109 of the Sarbanes-Oxley Act of 2002
33-10752, 34-88113
Feb. 3, 2020
265-28
Investor Advisory Committee Meeting
Comments Due: February 27, 2020
Federal Register version (85 FR 6986)
SIPA-180A
Jan. 24, 2020
Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation; Correction
Comments Due: February 20, 2020
View Received Comments
Federal Register version (85 FR 5513)
SIPA-179A
Jan. 24, 2020
Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments; Correction
Comments Due: February 20, 2020
View Received Comments
Federal Register version (85 FR 5519)
33-10747, 34-88012
Jan. 22, 2020
265-32
SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 4752)
34-88015
Jan. 22, 2020
2020-6
Order Determining Whistleblower Award Claim
34-88014
Jan. 22, 2020
2020-5
Order Determining Whistleblower Award Claim
34-87956
Jan. 13, 2020
265-30
Fixed Income Market Structure Advisory Committee
View Received Comments
Federal Register version (85 FR 3095)
34-87918
Jan. 9, 2020
Order Making Fiscal Year 2020 Annual Adjustments to Transaction Fee Rates
Federal Register version (85 FR 2218)
33-10740, 34-87905, IA-5428, IC-33740
Jan. 8, 2020
Adjustments to Civil Monetary Penalty Amounts
Federal Register version (85 FR 1833)
33-10739, 34-87874
Dec. 31, 2019
265-28
Investor Advisory Committee Meeting
Comments Due: January 24, 2020
Federal Register version (85 FR 534)
34-87828
Dec. 20, 2019
2020-4
Order Determining Whistleblower Award Claims
34-87835
Dec. 20, 2019
265-33
Asset Management Advisory Committee
View Received Comments
Federal Register version (84 FR 72085)
34-87781
Dec. 18, 2019
Order Designating Certain Jurisdictions as "Listed Jurisdictions" for Purposes of Applying the Security-Based Swap Dealer De Minimis Exception of Rule 3a71-3(d) Under the Exchange Act to Certain Cross-Border Security-Based Swap Transactions
Federal Register version (85 FR 6355)
33-10735, 34-87785
Dec. 18, 2019
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2020
Federal Register version (84 FR 71024)