34-89002
June 4, 2020
2020-20
Order Determining Whistleblower Award Claim
34-89003
June 4, 2020
8-66603
Brewer Financial Services, LLC (Order Cancelling Registration Under Section 15(b) of the Securities Exchange Act of 1934)
34-88973
May 29, 2020
2020-19
Order Determining Whistleblower Award Claim
34-88960
May 27, 2020
Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder Federal Register version (85 FR 33234)
IA-5506
May 20, 2020
Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 Federal Register version (85 FR 31559)
IA-5504
May 18, 2020
Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 Federal Register version (85 FR 31245)
34-88884
May 15, 2020
Order Granting a Conditional Exemption From Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral Incoming Letter Federal Register version (85 FR 31019)
34-88866
May 14, 2020
Order Designating Financial Industry Regulatory Authority, Inc., To Receive Form X-17A-5 (FOCUS Report) From Certain Security-Based Swap Dealers and Major Security-Based Swap Participants Federal Register version (85 FR 29993)
33-10784
May 12, 2020
Morgan Stanley; and Morgan Stanley Finance LLC (Order Under Rule 405 of the Securities Act of 1933, Granting Waivers From Being Ineligible Issuers)
34-88842
May 8, 2020
265-30
Fixed Income Market Structure Advisory Committee View Received Comments Federal Register version (85 FR 28686)
34-88807
May 5, 2020
265-33
Asset Management Advisory Committee; Meeting View Received Comments Federal Register version (85 FR 27469)
34-88803
May 4, 2020
2020-18
Order Determining Whistleblower Award Claim
34-88806
May 4, 2020
10-237
In the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission Form 1 Application and Exhibits Federal Register version (85 FR 27451)
IA-5493
May 1, 2020
Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 Federal Register version (85 FR 27258)
33-10780, 34-88790
May 1, 2020
265-28
Investor Advisory Committee Meeting Comments Due: Federal Register version (85 FR 26998)
34-88759
April 28, 2020
2020-17
Order Determining Whistleblower Award Claim
33-10776, 34-88742
April 24, 2020
265-32
SEC Small Business Capital Formation Advisory Committee View Received Comments Federal Register version (85 FR 23875)
34-88703
April 20, 2020
Order Granting Limited 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, Related to Certain Introducing Brokers, From the Requirements of the National Market System Plan Governing the Consolidated Audit Trail Federal Register version (85 FR 23115)
34-88702
April 20, 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, From Sections 6.4, 6.7(a)(v) and 6.7(a)(vi) of the National Market System Plan Governing the Consolidated Audit Trail Federal Register version (85 FR 23075)
34-88689
April 20, 2020
2020-15
Order Determining Whistleblower Award Claim
34-88687
April 20, 2020
2020-16
Order Determining Whistleblower Award Claim
33-10774
April 17, 2020
Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers from Being Ineligible Issuers)
34-88667
April 16, 2020
2020-14
Order Determining Whistleblower Award Claim
