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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
33-10758	Feb. 21, 2020		Wells Fargo & Company (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(A) Disqualification Provision)
34-88214	Feb. 14, 2020	SR-FINRA-2019-008	In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008); Order Granting Petition for Review and Scheduling Filing of Statements Federal Register version (85 FR 9887)
33-10753, 34-88137	Feb. 6, 2020		Order Regarding Review of FASB Accounting Support Fee for 2020 under Section 109 of the Sarbanes-Oxley Act of 2002
33-10752, 34-88113	Feb. 3, 2020	265-28	Investor Advisory Committee Meeting *Comments Due:* February 27, 2020 Submit a Comment on 265-28 Federal Register version (85 FR 6986)
SIPA-180A	Jan. 24, 2020		Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation; Correction *Comments Due:* February 20, 2020 View Received Comments Federal Register version (85 FR 5513)
SIPA-179A	Jan. 24, 2020		Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments; Correction *Comments Due:* February 20, 2020 View Received Comments Federal Register version (85 FR 5519)
33-10747, 34-88012	Jan. 22, 2020	265-32	SEC Small Business Capital Formation Advisory Committee View Received Comments Submit a Comment on 265-32 Federal Register version (85 FR 4752)
34-88015	Jan. 22, 2020	2020-6	Order Determining Whistleblower Award Claim
34-88014	Jan. 22, 2020	2020-5	Order Determining Whistleblower Award Claim
34-87956	Jan. 13, 2020	265-30	Fixed Income Market Structure Advisory Committee View Received Comments Submit a Comment on 265-30 Federal Register version (85 FR 3095)
34-87918	Jan. 9, 2020		Order Making Fiscal Year 2020 Annual Adjustments to Transaction Fee Rates Federal Register version (85 FR 2218)
33-10740, 34-87905, IA-5428, IC-33740	Jan. 8, 2020		Adjustments to Civil Monetary Penalty Amounts Federal Register version (85 FR 1833)
33-10739, 34-87874	Dec. 31, 2019	265-28	Investor Advisory Committee Meeting *Comments Due:* January 24, 2020 Submit a Comment on 265-28 Federal Register version (85 FR 534)
34-87828	Dec. 20, 2019	2020-4	Order Determining Whistleblower Award Claims
34-87835	Dec. 20, 2019	265-33	Asset Management Advisory Committee View Received Comments Federal Register version (84 FR 72085)
34-87781	Dec. 18, 2019		Order Designating Certain Jurisdictions as "Listed Jurisdictions" for Purposes of Applying the Security-Based Swap Dealer De Minimis Exception of Rule 3a71-3(d) Under the Exchange Act to Certain Cross-Border Security-Based Swap Transactions Federal Register version (85 FR 6355)
33-10735, 34-87785	Dec. 18, 2019		Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2020 Federal Register version (84 FR 71024)

Last Reviewed or Updated: June 28, 2024