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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
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)
33-10737	Dec. 18, 2019		Blockchain of Things, 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)
34-87714	Dec. 10, 2019	S7-14-11	Credit Risk Retention-Notice of Commencement of Review *Comments Due:* February 3, 2020 View Received Comments See Also - 34-73407.pdf, Proposed Rule Release Nos. 34-70277, 34-64603, Credit Risk Retention Federal Register version (84 FR 70073)
34-87663	Dec. 5, 2019	2020-3	Order Determining Whistleblower Award Claims
34-87662	Dec. 5, 2019	2020-2	Order Determining Whistleblower Award Claims
33-10729, 34-87628	Nov. 26, 2019	265-32	SEC Small Business Capital Formation Advisory Committee; Meeting Federal Register version (84 FR 66028)
34-87544	Nov. 15, 2019	2020-1	Order Determining Whistleblower Award Claims
34-87503	Nov. 12, 2019	SR-NYSEArca-2019-01	NYSE Arca, Inc.; Order Scheduling Filing of Statements on Review for an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of Bitwise Bitcoin ETF Trust See Also - Letter from NYSE Arca withdrawing the proposed rule change Federal Register version (84 FR 63699)
33-10727	Nov. 7, 2019		Morgan Stanley and Morgan Stanley Finance LLC
34-87482	Nov. 7, 2019	265-30	Fixed Income Market Structure Advisory Committee Federal Register version (84 FR 61670)
33-10724	Nov. 4, 2019	265-32	SEC Small Business Capital Formation Advisory Committee Federal Register version (84 FR 60117)
34-87436	Oct. 31, 2019	10-237	MEMX LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 *Comments Due:* December 23, 2019 View Received Comments See Also - Form 1 Application and Exhibits Federal Register version (84 FR 59854)

Last Reviewed or Updated: June 28, 2024