33-10846
Sept. 18, 2020
Northern Trust Corporation (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver From Being Ineligible Issuer)
34-89912
Sept. 17, 2020
2020-31
Order Determining Whistleblower Award Claim
34-89868
Sept. 15, 2020
265-30
Fixed Income Market Structure Advisory Committee; Meeting View Received Comments Federal Register version (85 FR 58404)
34-89850
Sept. 14, 2020
2020-30
Order Determining Whistleblower Award Claim
34-89836
Sept. 11, 2020
MEMX, LLC; Order Declaring Effective a Minor Rule Violation Plan Comments Due: View Received Comments Exhibit A Federal Register version (85 FR 58081)
34-89780
Sept. 8, 2020
2020-29
Order Determining Whistleblower Award Claim
IA-5568
Sept. 2, 2020
Europa Investment Bank Inc. (Order Cancelling Registration Pursuant to SECTION 203(h) of the Investment Advisers Act of 1940)
34-89721
Sept. 1, 2020
2020-28
Order Determining Whistleblower Award Claim
34-89712
Aug. 31, 2020
2020-27
Order Determining Whistleblower Award Claim
33-10830, 34-89713
Aug. 31, 2020
265-28
Investor Advisory Committee Meeting Comments Due: View Received Comments Federal Register version (85 FR 55039)
34-89693
Aug. 27, 2020
265-33
Asset Management Advisory Committee View Received Comments Federal Register version (85 FR 54451)
33-10826, 34-89671
Aug. 26, 2020
Order Making Fiscal Year 2021 Annual Adjustments to Registration Fee Rates Federal Register version (85 FR 53890)
33-10823
Aug. 26, 2020
Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status Federal Register version (85 FR 64234)
34-89659
Aug. 25, 2020
TP-20-02
Order Granting Exemptions From Certain Rules Related to the Sale and Delivery of Physical Securities Under Regulation SHO Related to COVID-19 Federal Register version (85 FR 53888)
IA-5565
Aug. 25, 2020
803-00250
Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order Under Section 206A of the Investment Advisers Act of 1940 Granting an Exemption from Section 205 of the Act and Rule 205-1 Thereunder)
34-89551
Aug. 13, 2020
2020-26
Order Determining Whistleblower Award Claim
34-89485
Aug. 5, 2020
MEMX LLC; Notice of Filing of Proposed Minor Rule Violation Plan Comments Due: View Received Comments Exhibit A Federal Register version (85 FR 48577)
33-10808
July 28, 2020
American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
33-10807
July 28, 2020
American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
IA-5549
July 27, 2020
Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 Federal Register version (85 FR 46197)
33-10804, 34-89353
July 21, 2020
265-32
SEC Small Business Capital Formation Advisory Committee View Received Comments Federal Register version (85 FR 44947)
34-89354
July 21, 2020
2020-25
Order Determining Whistleblower Award Claim
