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
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
34-97600 2023-63 Order Determining Whistleblower Award Claim
34-97599 2023-62 Order Determining Whistleblower Award Claim
34-97598 2023-61 Order Determining Whistleblower Award Claim
34-97573 2023-60 Order Determining Whistleblower Award Claim
34-97529 2023-59 Order Determining Whistleblower Award Claim
34-97524 2023-58 Order Determining Whistleblower Award Claim
33-11182 Certain Broker-Dealer Practices: (Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act OF 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(a)(4), 506(d)(1)(iv), AND
34-97450 2023-57 Order Determining Whistleblower Award Claim
34-97449 2023-56 Order Determining Whistleblower Award Claim
34-97438 2023-55 Order Determining Whistleblower Award Claim
34-97408 2023-54 Order Determining Whistleblower Award Claim
34-97397 2023-53 Order Determining Whistleblower Award Claim
34-97396 2023-52 Order Determining Whistleblower Award Claim
34-97395 2023-51 Order Determining Whistleblower Award Claim
34-97295 2023-50 Order Determining Whistleblower Award Claim
33-11178, 34-97286, IA-6281, IC-34884 S7-09-23 Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
34-97285 2023-49 Order Determining Whistleblower Award Claim
34-97229 2023-48 Order Determining Whistleblower Award Claim
34-97228 2023-47 Order Determining Whistleblower Award Claim
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Last Reviewed or Updated: June 28, 2024