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
34-92766, IA-5833 S7-10-21 Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice
Comments Due: October 1, 2021
View Received Comments
See Also - Press Release
Submit a Comment on S7-10-21
Federal Register version (86 FR 49067)
34-92780 2021-87 Order Determining Whistleblower Award Claim
34-92778 2021-86 Order Determining Whistleblower Award Claim
34-92777 2021-85 Order Determining Whistleblower Award Claim
33-10968, 34-92783 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 49067)
34-92767 2021-84 Order Determining Whistleblower Award Claim
33-10965, 34-92720 Order Making Fiscal Year 2022 Annual Adjustments to Registration Fee Rates
Federal Register version (86 FR 47696)
34-92711 Order Granting Exemption from Section 16 of the Securities Exchange Act of 1934 for PG&E Fire Victim Trust
34-92716 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 2021-83 Order Determining Whistleblower Award Claim
34-92647 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 2021-82 Order Determining Whistleblower Award Claim
34-92622 2021-81 Order Determining Whistleblower Award Claim
34-92621 2021-80 Order Determining Whistleblower Award Claim
34-92632 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
Submit a Comment on S7-07-21
Federal Register version (86 FR 45770)
34-92589 2021-79 Order Determining Whistleblower Award Claim
34-92587 2021-78 Order Determining Whistleblower Award Claim
34-92542 2021-77 Order Determining Whistleblower Award Claim
34-92541 2021-76 Order Determining Whistleblower Award Claim
34-92529 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 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 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)
Displaying 376 - 400 of 2326

Last Reviewed or Updated: June 28, 2024