SEC.gov | Other Commission Orders, Notices, and Information

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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
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
34-85906	May 21, 2019	S7-05-18	Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks Federal Register version (84 FR 24563)
34-85895	May 20, 2019	265-30	Fixed Income Market Structure Advisory Committee *Comments Due:* June 6, 2019 Submit a Comment on 265-30 Federal Register version (84 FR 23814)
34-85843	May 10, 2019		Merril Lynch, Pierce, Fenner & Smith Incorporated; Order Granting Accelerated Effectiveness of Notice Regarding Change of Method For Computing Deductions For Market and Credit Risk
34-85828	May 10, 2019	10-234	In the Matter of the Application of Long Term Stock Exchange, Inc.; for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission See Also - Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934 Federal Register version (84 FR 21841)
34-85793	May 7, 2019	2019-5	Order Determining Whistleblower Award Claim
33-10634, 34-85721	April 25, 2019	265-32	Small Business Capital Formation Advisory Committee *Comments Due:* May 6, 2019 Federal Register version (84 FR 18620)
34-85682	April 17, 2019	SR-CboeBZX-2018-044	Cboe BZX Exchange, Inc.; Order Scheduling Filing of Statements on Review Federal Register version (84 FR 18098)
34-85538	April 8, 2019		Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) Of the Securities Exchange Act of 1934

Last Reviewed or Updated: June 28, 2024