34-100025
April 25, 2024
2024-17
Order Determining Whistleblower Award Claim
34-99973
April 17, 2024
Order Making Fiscal Year 2024 Annual Adjustments to Transaction Fee Rates
34-99939
April 11, 2024
2024-16
Order Determining Whistleblower Award Claim
34-99929
April 9, 2024
2024-15
Order Determining Whistleblower Award Claim
34-99920
April 8, 2024
2024-14
Order Determining Whistleblower Award Claim
34-99916
April 8, 2024
2024-13
Order Determining Whistleblower Award Claim
34-99915
April 8, 2024
Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013
34-99914
April 8, 2024
2024-12
Order Determining Whistleblower Award Claim
33-11280, 34-99908
April 4, 2024
S7-10-22
In the Matter of the Enhancement and Standardization of Climate-Related Disclosures for Investors (Order Issuing Stay)
View Received Comments
Federal Register version
34-99892
April 4, 2024
Order Cancelling Registration of Certain Municipal Securities Dealers Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-99890
April 3, 2024
2024-11
Order Determining Whistleblower Award Claim
34-99671
March 5, 2024
Notice of Intention to Cancel Registration of Certain Municipal Securities Dealers Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-99670
March 5, 2024
2024-10
Order Determining Whistleblower Award Claim
34-99669
March 5, 2024
2024- 9
Order Determining Whistleblower Award Claim
34-99657
March 1, 2024
J.P. Morgan Securities LLC (“JPMS LLC”) and JPMorgan Chase Bank, N.A.
34-99614
Feb. 27, 2024
10-242
24X National Exchange LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: April 18, 2024
View Received Comments
See Also -
Form 1 Application and Exhibits
Federal Register version ((89 FR 15621))
33-11273, 34-99583
Feb. 22, 2024
Order Regarding Review of FASB Accounting Support Fee For 2024 Under Section 109 of The Sarbanes-Oxley Act of 2002
33-11270
Feb. 9, 2024
Certain Broker-Dealer Practices
34-99313
Jan. 11, 2024
2024-8
Order Determining Whistleblower Award Claim
34-99312
Jan. 11, 2024
2024-7
Order Determining Whistleblower Award Claim
34-99331
Jan. 11, 2024
Order Granting FINRA’s Application For Relief From Certain Statutory Disqualification
33-11263, 34-99276, IA-6521, IC-35085
Jan. 5, 2024
Adjustments to Civil Monetary Penalty Amounts