33-10737
Dec. 18, 2019
Blockchain of Things, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
34-87714
Dec. 10, 2019
S7-14-11
Credit Risk Retention-Notice of Commencement of Review Comments Due: View Received Comments 34-73407.pdf , Proposed Rule Release Nos. 34-70277 , 34-64603 , Credit Risk Retention Federal Register version (84 FR 70073)
34-87663
Dec. 5, 2019
2020-3
Order Determining Whistleblower Award Claims
34-87662
Dec. 5, 2019
2020-2
Order Determining Whistleblower Award Claims
33-10729, 34-87628
Nov. 26, 2019
265-32
SEC Small Business Capital Formation Advisory Committee; Meeting Federal Register version (84 FR 66028)
34-87544
Nov. 15, 2019
2020-1
Order Determining Whistleblower Award Claims
34-87503
Nov. 12, 2019
SR-NYSEArca-2019-01
NYSE Arca, Inc.; Order Scheduling Filing of Statements on Review for an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of Bitwise Bitcoin ETF Trust Letter from NYSE Arca withdrawing the proposed rule change Federal Register version (84 FR 63699)
33-10727
Nov. 7, 2019
Morgan Stanley and Morgan Stanley Finance LLC
34-87482
Nov. 7, 2019
265-30
Fixed Income Market Structure Advisory Committee Federal Register version (84 FR 61670)
33-10724
Nov. 4, 2019
265-32
SEC Small Business Capital Formation Advisory Committee Federal Register version (84 FR 60117)
34-87436
Oct. 31, 2019
10-237
MEMX LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 Comments Due: View Received Comments Form 1 Application and Exhibits Federal Register version (84 FR 59854)
34-87415
Oct. 29, 2019
Comments Due: View Received Comments Federal Register version (84 FR 59427)
33-10721, 34-87398
Oct. 24, 2019
265-28
Investor Advisory Committee Meeting Comments Due: Federal Register version (84 FR 57921)
34-87288
Oct. 11, 2019
2019-12
Order Determining Whistleblower Award Claim
34-87260
Oct. 9, 2019
265-30
Fixed Income Market Structure Advisory Committee Federal Register version (84 FR 55191)
34-87256
Oct. 8, 2019
265-33
Asset Management Advisory Committee View Received Comments Federal Register version (84 FR 55190)
33-10716
Sept. 30, 2019
Nebulous, Inc. (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)(v)(B) and Rule 262(a)(5)(ii) Disqualification Provisions)
33-10713
Sept. 30, 2019
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 a Waiver From Being an Ineligible Issuer)
33-10712
Sept. 30, 2019
Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of RegulationCrowdfunding 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, and Rule 503(a)(4)(ii) of Regulation Crowdfunding)
33-10711, IA-5379
Sept. 27, 2019
BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-10708, IA-5378
Sept. 27, 2019
Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
