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
34-92355 2021-67 Order Determining Whistleblower Award Claim
34-92332 Public Availability of the Securities and Exchange Commission's FY2018 Service Contract Inventory
Federal Register version (86 FR 36589)
34-92251 2021-65 Order Determining Whistleblower Award Claim
34-92248 2021-66 Order Determining Whistleblower Award Claim
34-92247 2021-64 Order Determining Whistleblower Award Claim
34-92214 2021-63 Order Determining Whistleblower Award Claim
34-92212 2021-62 Order Determining Whistleblower Award Claim
34-92210 2021-61 Order Determining Whistleblower Award Claim
Letter FINRA OTC Reporting Facility (Designation of the FINRA OTC Reporting Facility, Together with Any Interdealer Quotation System that Meets Specific Requirements, as an Automated Interdealer Quotation System for the Purposes of the Definition of "Penny Stock" in Exchange Act Rule 3a51-1, and as a Qualifying Electronic Quotation System for Purposes of the Penny Stock Rules)
IA-5756 Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940
34-92189 SBSDR-2021-01 Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository
Comments Due: April 9, 2021
View Received Comments
See Also - Form SDR Application and Exhibits
Federal Register version (86 FR 32703)
34-92179 265-33 Asset Management Advisory Committee; Meeting
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 33392)
34-92164 2021-60 Order Determining Whistleblower Award Claim
34-92163 2021-59 Order Determining Whistleblower Award Claim
34-92102 2021-58 Order Determining Whistleblower Award Claim
34-92101 2021-57 Order Determining Whistleblower Award Claim
34-92100 2021-56 Order Determining Whistleblower Award Claim
34-92099 2021-55 Order Determining Whistleblower Award Claim
34-92086 2021-54 Order Determining Whistleblower Award Claim
34-92067 2021-53 Order Determining Whistleblower Award Claim
34-92065 2021-52 Order Determining Whistleblower Award Claim
34-92037 2021-51 Order Determining Whistleblower Award Claim
33-10944, 34-92018 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 29312)
34-91933 2021-50 Order Determining Whistleblower Award Claim
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Last Reviewed or Updated: June 28, 2024