34-90932
Jan. 15, 2021
Order Making Fiscal Year 2021 Annual Adjustments to Transaction Fee Rates
Federal Register version (86 FR 6694)
34-90922
Jan. 14, 2021
2021-24
Order Determining Whistleblower Award Claim
IA-5669
Jan. 14, 2021
801-110022
Family Office Partners, Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
33-10919, 34-90882
Jan. 11, 2021
265-32
SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (86 FR 3216)
33-10918, 34-90874, IA-5664, IC-34166
Jan. 8, 2021
Adjustments to Civil Monetary Penalty Amounts
Federal Register version (86 FR 2716)
34-90872
Jan. 7, 2021
2021-23
Order Determining Whistleblower Award Claim
34-90867
Jan. 7, 2021
2021-22
Order Determining Whistleblower Award Claim
34-90866
Jan. 7, 2021
2021-21
Order Determining Whistleblower Award Claim
34-90864
Jan. 7, 2021
2021-20
Order Determining Whistleblower Award Claim
33-10915
Dec. 23, 2020
Tierion, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
33-10916
Dec. 23, 2020
Prudential Financial, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
34-90765
Dec. 22, 2020
S7-16-20
Order Granting 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 Federal Republic of Germany
Federal Register version (85 FR 85686)
34-90767
Dec. 22, 2020
2021-19
Order Determining Whistleblower Award Claim
34-90766
Dec. 22, 2020
S7-22-20
Notice of Substituted Compliance Application Submitted by the French Autorit des Marchs Financiers and the Autorit de Contrle Prudential et de Resolution 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; Proposed Order
Comments Due: 25 days after publication in the Federal Register
View Received Comments
Federal Register version (85 FR 85720)
34-90768
Dec. 22, 2020
SR-NYSE-2019-67
New York Stock Exchange LLC; Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings
Federal Register version (85 FR 85807)
PA-56
Dec. 21, 2020
S7-21-20
Privacy Act of 1974; System of Records
Federal Register version (85 FR 84436)
PA-55
Dec. 21, 2020
S7-20-20
Privacy Act of 1974; System of Records
Comments Due: 30 days after publication in the Federal Register
Federal Register version (85 FR 85440)
34-90764
Dec. 21, 2020
10-133
OneChicago, LLC's Notice of Withdrawal of Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products
Comments Due: January 19, 2021
Federal Register version (85 FR 85778)
34-90721
Dec. 18, 2020
2021-18
Order Determining Whistleblower Award Claim
34-90720
Dec. 18, 2020
2021-17
Order Determining Whistleblower Award Claim
34-90718
Dec. 18, 2020
2021-16
Order Determining Whistleblower Award Claim