33-10938, 34-91583
April 16, 2021
265-32
SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (86 FR 20754)
34-91584
April 16, 2021
2021-40
Order Determining Whistleblower Award Claim
34-91568
April 15, 2021
2021-39
Order Determining Whistleblower Award Claim
34-91525
April 9, 2021
2021-38
Order Determining Whistleblower Award Claim
34-91520
April 9, 2021
2021-37
Order Determining Whistleblower Award Claim
34-91502
April 7, 2021
SR-CboeBZX-2020-070
Cboe BZX Exchange, Inc. (Order Scheduling Filing of Statements on Review)
34-91501
April 7, 2021
SR-CboeBZX-2020-053
Cboe BZX Exchange, Inc. (Order Scheduling Filing of Statements on Review)
IA-5714
April 6, 2021
Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (86 FR 19050)
34-91477
April 5, 2021
Reopening of Comment Period for Order Proposing Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic
Comments Due: May 3, 2021
View Received Comments
See Also -
Form SDR Application and Exhibits
Federal Register version (86 FR 18341)
34-91476
April 5, 2021
S7-04-21
Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection With Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order
View Received Comments
Federal Register version (86 FR 18378)
34-91427
March 29, 2021
2021-36
Order Determining Whistleblower Award Claim
34-91426
March 29, 2021
2021-35
Order Determining Whistleblower Award Claim
SIPA-184
March 26, 2021
SIPC-2021-01
Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation Not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount
Federal Register version (86 FR 16651)
IA-5708
March 26, 2021
Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-91397
March 24, 2021
In the Matter of Market Data Infrastructure: Order Denying Stay
See Also -
Market Data Infrastructure , Motion for Stay
33-10905A
March 19, 2021
Amendment to Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2021
See Also -
33-10905 , Other Release Nos.: 34-90693A
33-10934, 34-91344, 39-2537, IA-5698, IC-34225
March 17, 2021
S7-02-21
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Federal Register version (86 FR 15810)
34-91331
March 16, 2021
SBSDR-2021-01
Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
34-91332
March 16, 2021
2021-34
Order Determining Whistleblower Award Claim
34-91280
March 9, 2021
2021-33
Order Determining Whistleblower Award Claim