34-98902
Nov. 9, 2023
4-809
Order Granting ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
See Also -
ICEU CA Withdrawal Request Letter
PA-61
Oct. 26, 2023
S7-19-23
Privacy Act of 1974: Systems of Records
Comments Due: November 30, 2023
Federal Register version (88 FR 74550)
34-98746
Oct. 13, 2023
10-240
MIAX Sapphire, LLC; Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
Comments Due: December 4, 2023
View Received Comments
See Also -
Form 1 Application and Exhibits
34-98736
Oct. 13, 2023
2024-1
Order Determining Whistleblower Award Claim
33-11252, 34-98699, IA-6454, IC-35030
Oct. 6, 2023
S7-17-23
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
34-98689
Oct. 5, 2023
PCAOB-2023-02
Notice of Filing of Proposed Rules on the Auditor’s Use of Confirmation, and Other Amendments to Related PCAOB Standards
Comments Due: November 7, 2023
View Received Comments
34-98680
Oct. 3, 2023
Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-98672
Oct. 2, 2023
Public Availability of the Security and Exchange Commission's FY 2020 Service Contract Inventory
34-98668
Sept. 29, 2023
Order Regarding Net Capital Computation for Jefferies Financial Services, Inc.
34-98642
Sept. 29, 2023
Order Scheduling Filing of Statements of Review for SR-FINRA-2022-032
34-98655
Sept. 29, 2023
2023-84
Order Determining Whistleblower Award Claim
33-11249
Sept. 29, 2023
Certain Broker-Dealer Practices
34-98590
Sept. 28, 2023
Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
34-98488
Sept. 22, 2023
Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc.
See Also -
FINRA Incoming Fingerprint Plan Cover Letter
34-98340
Sept. 11, 2023
2023-83
Order Determining Whistleblower Award Claim
34-98331
Sept. 8, 2023
4-809
Notice of Filing and Request for Comment on ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
Comments Due: October 5, 2023
34-98236
Aug. 29, 2023
2023-82
Order Determining Whistleblower Award Claim
34-98235
Aug. 29, 2023
2023-81
Order Determining Whistleblower Award Claim
33-11225; 34-98226; IA-6388; IC-34993,
Aug. 28, 2023
S7-14-23
Fall 2023 Regulatory Flexibility Agenda
Comments Due: March 11, 2024
View Received Comments
Federal Register version
33-11224; 34-98223
Aug. 25, 2023
Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates
34-98219
Aug. 25, 2023
2023-79
Order Determining Whistleblower Award Claim