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
33-11225; 34-98226; IA-6388; IC-34993, S7-14-23 Fall 2023 Regulatory Flexibility Agenda
Comments Due: March 11, 2024
View Received Comments
Submit a Comment on S7-14-23
Federal Register version
33-11224; 34-98223 Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates
34-98219 2023-79 Order Determining Whistleblower Award Claim
34-98220 2023-80 Order Determining Whistleblower Award Claim
34-98208 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-98198 2023-77 Order Determining Whistleblower Award Claim
34-98199 2023-78 Order Determining Whistleblower Award Claim
34-98196 2023-76 Order Determining Whistleblower Award Claims
34-98117 Order Extending the Effective Date of the Form BDW of Monmouth Capital Management LLC
33-11221 Certain Broker-Dealer Practices
34-98054 2023-75 Order Determining Whistleblower Award Claim
34-97879 2023-74 Order Determining Whistleblower Award Claim
IA-6339 Order Cancelling Registrations of Certain Investment Advisers Pursuant To Section 203(H) of the Investment Advisers Act of 1940
34-97838 2023-73 Order Determining Whistleblower Award Claim
34-97831 2023-72 Order Determining Whistleblower Award Claim
34-97826 2023-71 Order Determining Whistleblower Award Claim
34-97805 2023-70 Order Determining Whistleblower Award Claim
34-97804 2023-69 Order Determining Whistleblower Award Claim
34-97803 2023-68 Order Determining Whistleblower Award Claim
34-97728 2023-67 Order Determining Whistleblower Award Claim
34-97683 2023-66 Order Determining Whistleblower Award Claim
IA-6322 Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers Act of 1940
34-97612 2023-65 Order Determining Whistleblower Award Claim
34-97601 2023-64 Order Determining Whistleblower Award Claim
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Last Reviewed or Updated: June 28, 2024