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
33-10942, 34-91852, IA-5734, IC-34269 S7-06-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-06-21
Federal Register version (86 FR 41372)
34-91903 2021-49 Order Determining Whistleblower Award Claim
34-91902 2021-48 Order Determining Whistleblower Award Claim
34-91896 2021-47 Order Determining Whistleblower Award Claim
34-91877 Order Granting Application by Nasdaq PHLX LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
Federal Register version (86 FR 26997)
34-91854 2021-46 Order Determining Whistleblower Award Claim
IA-5733 S7-05-21 Performance-Based Investment Advisory Fees
Federal Register version (86 FR 26685)
34-91808 2021-45 Order Determining Whistleblower Award Claim
34-91805 2021-44 Order Determining Whistleblower Award Claim
34-91798 SBSDR-2020-01 Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository
See Also - Form SDR Application and Exhibits, Rel No. 34-91071
Federal Register version (86 FR 26115)
IA-5730 Baomap Advisors Limited, et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-91651 2021-43 Order Determining Whistleblower Award Claim
34-91650 2021-42 Order Determining Whistleblower Award Claim
34-91649 2021-41 Order Determining Whistleblower Award Claim
33-10938, 34-91583 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 20754)
34-91584 2021-40 Order Determining Whistleblower Award Claim
34-91568 2021-39 Order Determining Whistleblower Award Claim
34-91525 2021-38 Order Determining Whistleblower Award Claim
34-91520 2021-37 Order Determining Whistleblower Award Claim
34-91502 SR-CboeBZX-2020-070 Cboe BZX Exchange, Inc. (Order Scheduling Filing of Statements on Review)
34-91501 SR-CboeBZX-2020-053 Cboe BZX Exchange, Inc. (Order Scheduling Filing of Statements on Review)
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Last Reviewed or Updated: June 28, 2024