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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
33- 10674, 34-86748, IA-5328, IC-33607	Aug. 23, 2019	S7-12-19	Regulatory Agenda; Semiannual Regulatory Agenda *Comments Due:* 30 days after publication in the Federal Register Submit a Comment on S7-12-19 Federal Register version (84 FR 71285)
33-10675, 34-86750	Aug. 23, 2019		Order Making Fiscal Year 2020 Annual Adjustments to Registration Fee Rates Federal Register version (84 FR 45601)
IA-5317	Aug. 12, 2019		Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
33-10670, 34-86628	Aug. 12, 2019	265-28	Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (84 FR 42027)
IA-5315	Aug. 5, 2019	801-117067	Order Granting Registration Pursuant to Section 203(c) of the Investment Advisers Act of 1940
33-10666, 34-86552	Aug. 2, 2019	265-32	SEC Small Business Capital Formation Advisory Committee *Comments Due:* August 12, 2019 Submit a Comment on 265-32 Federal Register version (84 FR 38688)
34-86431	July 23, 2019	2019-8	Order Determining Whistleblower Award Claim
33-10660, .: 34-86302, 39-2527, IA-5284, IC-33543	July 3, 2019	S7-10-19	List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act *Comments Due:* 30 days after publication in the Federal Register View Received Comments Submit a Comment on S7-10-19 Federal Register version (84 FR 33024)
33-10658, 34-86289	July 3, 2019	265-28	Investor Advisory Committee Meeting Submit a Comment on 265-28 Federal Register version (84 FR 32805)
34-86253	July 1, 2019	265-30	Fixed Income Market Structure Advisory Committee *Comments Due:* July 24, 2019 Submit a Comment on 265-30 Federal Register version (84 FR 32237)
33-10646	June 13, 2019		Certain Existing Funds affiliated with Och-Ziff Capital Management Group LLC and OZ Management LP; Corrected Order Under Rule 506(d)(2)(ii) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iv)(B) And (v) Of Regulation D Disqualification Provisions
33-10644	June 4, 2019		Deer Park Road Management Company, LP; Order Under Rule 506(d)(2)(ii) of the Securities Act Of 1933 Granting A Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision
34-86010	June 3, 2019	2019-7	Order Determining Whistleblower Award Claim
34-85936	May 24, 2019	2019-6	Order Determining Whistleblower Award Claim

Last Reviewed or Updated: June 28, 2024