34-88658
April 16, 2020
2020-13
Order Determining Whistleblower Award Claim
IC-33837
April 8, 2020
Order Under Sections 6(c), 17(d), 38(a), and 57(i) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder
34-88608
April 8, 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 to Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Granularity of Timestamps Specified in Section 6.8(b) and Appendix D, Section 3 of the National Market System Plan Governing the Consolidated Audit Trail Federal Register version (85 FR 20743)
34-88547
April 3, 2020
2020-12
Order Determining Whistleblower Award Claim
33-10769, 34-88531, IA-5470, IC-33833
March 31, 2020
S7-06-20
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (85 FR 52861)
34-88507
March 30, 2020
2020-11
Order Determining Whistleblower Award Claim
34-88491
March 26, 2020
Order Under Section 15b of The Securities Exchange Act of 1934 Granting an Exemption for Municipal Advisors From Specified Provisions of The Securities Exchange Act and Rule 15ba1-5(A)(1) Thereunder Federal Register version (85 FR 18299)
IA-5469
March 25, 2020
Order Under Section 206a of the Investment Advisers Act of 1940 Granting Exemptions From Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder Federal Register version (85 FR 17609)
34-88465
March 25, 2020
Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public Companies Federal Register version (85 FR 17610)
IC-33824
March 25, 2020
Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery Federal Register version (85 FR 17611)
34-88478
March 25, 2020
Order Granting Application by The Financial Information Forum and Security Traders Association for a Temporary Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act in Response to the Effects of COVID-19 Federal Register version (85 FR 17927)
34-88462
March 24, 2020
2020-9
Order Determining Whistleblower Award Claim
34-88464
March 24, 2020
2020-10
Order Determining Whistleblower Award Claim
IC-33821
March 23, 2020
Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) AND 38(a) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response
34-88449
March 23, 2020
2020-8
Order Determining Whistleblower Award Claim
34-88448
March 20, 2020
Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder Federal Register version (85 FR 17122)
34-88393
March 17, 2020
Order Granting Conditional Exemptive Relief, Pursuant to Section 36 and Rule 608(e) of the Securities Exchange Act of 1934, From Section 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the National Market System Plan Governing the Consolidated Audit Trail Federal Register version (85 FR 16152)
IA-5463
March 13, 2020
Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
IC-33817
March 13, 2020
Order under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
34-88318
March 4, 2020
Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder Federal Register version (85 FR 13680)
IC-33809
March 2, 2020
S7-04-20
Request for Comments on Fund Names View Received Comments Federal Register version (85 FR 13221)
34-88299
Feb. 28, 2020
2020-7
Order Determining Whistleblower Award Claim
