Other Commission Orders, Notices, and Information

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
34-85447 3-19124 Order Issuing Stay (In the Matter of Rule 610T of Regulation NMS)
File Nos.: 3-19124, S7-05-18
34-85412 2019-4 Order Determining Whistleblower Award Claim
33-10621, 34-85402 Order Regarding Review of FASB Accounting Support Fee for 2019 under Section 109 of the Sarbanes-Oxley Act of 2002
33-10620, 34-85401, IA-5207, IC-33428 S7-04-19 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-04-19
Federal Register version (84 FR 29783)
34-85383 265-30 Fixed Income Market Structure Advisory Committee
Comments Due: April 10, 2019
Submit a Comment on 265-30
Federal Register version (84 FR 11371)
33-10616 Wells Fargo Services, LLC (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)(ii) and Rule 262(a)(2) Disqualification Provisions)
34-85287 Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates
Federal Register version (84 FR 9576)
33-10613 3-19100 Deutsche Bank Securities, Inc., RBC Capital Markets, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC (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 Waivers From Being Ineligible Issuers)
33-10612 3-19026 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 Waivers From Being Ineligible Issuers)
File Nos.: 3-19026, 3-19027, 3-19028, 3-19029, 3-19030, 3-19031, 3-19032, 3-19033, 3-19034, 3-19035, 3-19036, 3-19037, 3-19038, 3-19039, 3-19040, 3-19041, 3-19042, 3-19043, 3-19044, 3-19045, 3-19046, 3-19047, 3-19048, 3-19049, 3-19050, 3-19051, 3-19052, 3-19053, 3-19054, 3-19055, 3-19056, 3-19057, 3-19058, 3-19059, 3-19060, 3-19061, 3-19062, 3-19063, 3-19064, 3-19065, 3-19066, 3-19067, 3-19068, 3-19069, 3-19070, 3-19071, 3-19072, 3-19073, 3-19074, 3-19075, 3-19076, 3-19077, 3-19078, 3-19079, 3-19080, 3-19081, 3-19082, 3-19083, 3-19084, 3-19085, 3-19086, 3-19087, 3-19088, 3-19089, 3-19090, 3-19091, 3-19092, 3-19093, 3-19094, 3-19095, 3-19096, 3-19097, 3-19098, 3-19099, 3-19100, 3-19101, 3-19102
34-85273 2019-3 Order Determining Whistleblower Award Claim
33-10611, 34-85271 265-28 Investor Advisory Committee Meeting
Submit a Comment on 265-28
Federal Register version (84 FR 9189)
34-85227 Notice of Intent to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-85174 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
33-10604 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (84 FR 5122)
34-84985 265-30 Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting Cancellation - Monday, January 28)
34-84943 265-30 Fixed Income Market Structure Advisory Committee
Comments Due: January 23, 2019
View Received Comments
Submit a Comment on 265-30
Federal Register version (83 FR 67396)
34-84891 10-233 In the Matter of the Application of MIAX EMERALD, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
See Also - Release no. 34-84313, Form 1 Application and Exhibits
Federal Register version (83 FR 67421)
33-10592, 34-84877 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2019
33-10589 Capital States Capital Markets, LLC (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)
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Last Reviewed or Updated: June 28, 2024