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
IA-5696
March 9, 2021
Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940
Federal Register version (86 FR 14169)
34-91253
March 4, 2021
2021-32
Order Determining Whistleblower Award Claim
34-91225
March 1, 2021
2021-31
Order Determining Whistleblower Award Claim
34-91214
Feb. 26, 2021
265-33
Asset Management Advisory Committee
View Received Comments
Federal Register version (86 FR 12501)
34-91207
Feb. 25, 2021
2021-30
Order Determining Whistleblower Award Claim
34-91206
Feb. 25, 2021
2021-29
Order Determining Whistleblower Award Claim
IA-5689
Feb. 24, 2021
801-106576
Strategic Options, LLC (Order Denying a Request for Hearing and Cancelling the Registration of an Investment Advisor Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-91183
Feb. 23, 2021
2021-28
Order Determining Whistleblower Award Claim
IA-5688
Feb. 22, 2021
801-80706
Atlantis Asset Management International Corp., et al. (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 11569)
34-91165
Feb. 19, 2021
2021-27
Order Determining Whistleblower Award Claim
34-91164
Feb. 19, 2021
2021-26
Order Determining Whistleblower Award Claim
34-91163
Feb. 19, 2021
2021-25
Order Determining Whistleblower Award Claim
33-10927, 34-91150
Feb. 17, 2021
265-28
Investor Advisory Committee Meeting
View Received Comments
Federal Register version (86 FR 11040)
34-91128
Feb. 12, 2021
Order Extending the Annual Reports Filing Deadline for Certain Smaller Broker-Dealers
Federal Register version (86 FR 10372)
34-91117
Feb. 11, 2021
10-133
OneChicago, LLC's Request To Withdraw From Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products
Federal Register version (86 FR 10140)
34-91071
Feb. 5, 2021
Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
Comments Due: March 3, 2021
View Received Comments
See Also -
Form SDR Application and Exhibits
Federal Register version (86 FR 8977)
IC-34188
Feb. 4, 2021
S7-01-21
Request for Comment on Potential Money Market Fund Reform Measures in President's Working Group Report
Comments Due: April 12, 2021
View Received Comments
See Also -
Press Release No. 2021-25
Federal Register version (86 FR 8938)
33-10923, 34-91004
Jan. 28, 2021
Order Regarding Review of FASB Accounting Support Fee for 2021 Under Section 109 of the Sarbanes-Oxley Act of 2002
SIPA-183
Jan. 27, 2021
SIPC-2021-01
Securities Investor Protection Corporation; Determination
Comments Due: within 15 days of publication in the Federal Register
Federal Register version (86 FR 7900)
IA-5673
Jan. 22, 2021
801-10369
Trevor Stewart Burton & Jacobsen Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)