33-10968, 34-92783
Aug. 27, 2021
265-28
Investor Advisory Committee Meeting
View Received Comments
Federal Register version (86 FR 49067)
34-92767
Aug. 26, 2021
2021-84
Order Determining Whistleblower Award Claim
33-10965, 34-92720
Aug. 23, 2021
Order Making Fiscal Year 2022 Annual Adjustments to Registration Fee Rates
Federal Register version (86 FR 47696)
34-92711
Aug. 20, 2021
Order Granting Exemption from Section 16 of the Securities Exchange Act of 1934 for PG&E Fire Victim Trust
34-92716
Aug. 20, 2021
Notice of Substituted Compliance Application Submitted by the Spanish Financial Conduct Authority in Connection With Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain; Proposed Order
Comments Due:
View Received Comments
See Also -
Application
Federal Register version (86 FR 47668)
34-92708
Aug. 19, 2021
2021-83
Order Determining Whistleblower Award Claim
34-92647
Aug. 12, 2021
S7-08-21
Notice of Application for the Amendment of Substituted Compliance Determination Regarding Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Amendments to Order
View Received Comments
See Also -
Substituted Compliance Application
Federal Register version (86 FR 46500)
34-92623
Aug. 10, 2021
2021-82
Order Determining Whistleblower Award Claim
34-92622
Aug. 10, 2021
2021-81
Order Determining Whistleblower Award Claim
34-92621
Aug. 10, 2021
2021-80
Order Determining Whistleblower Award Claim
34-92632
Aug. 10, 2021
S7-07-21
Notice of Substituted Compliance Application Submitted by UBS AG and Credit Suisse AG in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation; Proposed Order
View Received Comments
See Also -
Substituted Compliance Application , Annex 1 , and Annex 2
Federal Register version (86 FR 45770)
34-92589
Aug. 6, 2021
2021-79
Order Determining Whistleblower Award Claim
34-92587
Aug. 6, 2021
2021-78
Order Determining Whistleblower Award Claim
34-92542
Aug. 2, 2021
2021-77
Order Determining Whistleblower Award Claim
34-92541
Aug. 2, 2021
2021-76
Order Determining Whistleblower Award Claim
34-92529
July 30, 2021
S7-04-21
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 United Kingdom
Federal Register version (86 FR 43318)
34-92530
July 30, 2021
Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
Federal Register version (86 FR 42957)
34-92484
July 23, 2021
S7-22-20
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 French Republic
Comments Due: 25 days after publication in the Federal Register
View Received Comments
See Also -
Release No. 34-90766
Federal Register version (86 FR 41612)
34-92456
July 21, 2021
2021-75
Order Determining Whistleblower Award Claim
34-92416
July 16, 2021
2021-74
Order Determining Whistleblower Award Claim
34-92413
July 15, 2021
2021-73
Order Determining Whistleblower Award Claim
34-92412
July 15, 2021
2021-72
Order Determining Whistleblower Award Claim
34-92411
July 15, 2021
2021-71
Order Determining Whistleblower Award Claim