IA-5622
Nov. 5, 2020
Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940
Federal Register version (85 FR 71707)
34-90346
Nov. 4, 2020
Public Availability of the Securities and Exchange Commission's FY 2016 and FY 2017 Service Contract Inventory
Federal Register version (85 FR 71705)
33-10885, 34-90338
Nov. 4, 2020
265-28
Investor Advisory Committee Meeting
View Received Comments
Federal Register version (85 FR 71365)
34-90317
Nov. 3, 2020
2021-4
Order Determining Whistleblower Award Claim
34-90284
Oct. 29, 2020
2021-3
Order Determining Whistleblower Award Claim
34-90276
Oct. 28, 2020
S7-13-12
Proposed Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Swaps and Security-Based Swaps That Are Credit Default Swaps
See Also -
Exemptive Order Rel. No. 2020-248
Federal Register version (85 FR 70657)
34-90275
Oct. 27, 2020
265-30
Fixed Income Market Structure Advisory Committee
Federal Register version (85 FR 69370)
33-10877, 34-90260
Oct. 23, 2020
265-32
SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 68378)
34-90246
Oct. 22, 2020
S7-15-20
Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
Comments Due: 30 days after publication in the Federal Register
See Also -
Press Release No. 2020-264
Federal Register version (85 FR 70536)
34-90247
Oct. 22, 2020
2021-2
Order Determining Whistleblower Award Claim
34-90223
Oct. 19, 2020
Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Allocations Pursuant to the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 67576)
34-90211
Oct. 16, 2020
265-33
Asset Management Advisory Committee; Meeting
View Received Comments
Federal Register version (85 FR 67040)
34-90189
Oct. 15, 2020
2021-1
Order Determining Whistleblower Award Claim
IA-5612
Oct. 15, 2020
Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940
Federal Register version (85 FR 66590)
33-10873, 34-90131, IA-5610, IC-34047
Oct. 8, 2020
S7-14-20
Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 17040)
34-90112
Oct. 7, 2020
S7-13-20
Notice of Proposed Exemptive Order Granting Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders
Comments Due: November 12, 2020
View Received Comments
See Also -
Press Release 2020-248
Federal Register version (85 FR 64542)
IA-5602
Sept. 30, 2020
Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940
Federal Register version (85 FR 63158)
33-10866
Sept. 30, 2020
Salt Blockchain 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)
34-90059
Sept. 30, 2020
2020-39
Order Determining Whistleblower Award Claim
34-90057
Sept. 30, 2020
2020-38
Order Determining Whistleblower Award Claim