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
34-90932 Order Making Fiscal Year 2021 Annual Adjustments to Transaction Fee Rates
Federal Register version (86 FR 6694)
34-90922 2021-24 Order Determining Whistleblower Award Claim
IA-5669 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 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 3216)
33-10918, 34-90874, IA-5664, IC-34166 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (86 FR 2716)
34-90872 2021-23 Order Determining Whistleblower Award Claim
34-90867 2021-22 Order Determining Whistleblower Award Claim
34-90866 2021-21 Order Determining Whistleblower Award Claim
34-90864 2021-20 Order Determining Whistleblower Award Claim
33-10915 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 Prudential Financial, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
34-90765 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 2021-19 Order Determining Whistleblower Award Claim
34-90766 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 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 S7-21-20 Privacy Act of 1974; System of Records
Submit a Comment on S7-21-20
Federal Register version (85 FR 84436)
PA-55 S7-20-20 Privacy Act of 1974; System of Records
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-20-20
Federal Register version (85 FR 85440)
34-90764 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
Submit a Comment on 10-133
Federal Register version (85 FR 85778)
34-90721 2021-18 Order Determining Whistleblower Award Claim
34-90720 2021-17 Order Determining Whistleblower Award Claim
34-90718 2021-16 Order Determining Whistleblower Award Claim
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Last Reviewed or Updated: June 28, 2024