Other Commission Orders, Notices, and Information

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
34-93636 2022-15 Order Determining Whistleblower Award Claim
34-93635 2022-17 Order Determining Whistleblower Award Claim
34-93604 2022-14 Order Determining Whistleblower Award Claim
33-11007, 34-93573 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 64569)
34-93569 2022-13 Order Determining Whistleblower Award Claim
34-93547 2022-12 Order Determining Whistleblower Award Claim
34-93511 Financial Industry Regulatory Authority, Inc.
See Also - FBI Compact Officer Approval Letter, FINRA Incoming Fingerprint Plan Cover Letter
Federal Register version (86 FR 61801)
34-93478 Order Regarding Initial Margin Computation for Citigroup Global Markets Inc.
34-93480 Order Regarding Initial Margin Computation for Goldman Sachs & Co. LLC
34-93477 Order Regarding Initial Margin Computation for Goldman Sachs Financial Markets, L.P.
34-93476 Order Regarding Initial Margin Computation for Nomura Global Financial Products Inc.
34-93479 Order Regarding Net Capital and Initial Margin Computations for Jefferies Financial Services, Inc.
34-93475 Order Regarding Net Capital and Initial Margin Computations for Morgan Stanley Capital Services LLC
34-93485 Order Regarding Net Capital Computation for Goldman Sachs Financial Markets, L.P.
34-93483 Order Regarding Net Capital Computation for Nomura Global Financial Products Inc.
34-93465 2022-11 Order Determining Whistleblower Award Claim
34-93440 2022-9 Order Determining Whistleblower Award Claim
34-93441 2022-10 Order Determining Whistleblower Award Claim
PA-57 S7-14-21 Privacy Act of 1974; System of Records
View Received Comments
Submit a Comment on S7-14-21
Federal Register version (86 FR 60496)
34-93414 2022-8 Order Determining Whistleblower Award Claim
33-11002, 34-93402 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 59439)
34-93412 S7-09-21 Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain
View Received Comments
Federal Register version (86 FR 59776)
34-93411 S7-08-21 Amended and Restated Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Federal Republic of Germany; Amended Orders Addressing Non-U.S. Security-Based Swap Entities Subject to Regulation in the French Republic or the United Kingdom; and Order Extending the Time To Meet Certain Conditions Relating to Capital and Margin
Federal Register version (86 FR 59797)
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Last Reviewed or Updated: June 28, 2024