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-5714 Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (86 FR 19050)
34-91477 Reopening of Comment Period for Order Proposing 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: May 3, 2021
View Received Comments
See Also - Form SDR Application and Exhibits
Federal Register version (86 FR 18341)
34-91476 S7-04-21 Notice of Substituted Compliance Application Submitted by the United Kingdom 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 United Kingdom; Proposed Order
View Received Comments
Federal Register version (86 FR 18378)
34-91427 2021-36 Order Determining Whistleblower Award Claim
34-91426 2021-35 Order Determining Whistleblower Award Claim
SIPA-184 SIPC-2021-01 Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation Not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount
Federal Register version (86 FR 16651)
IA-5708 Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-91397 In the Matter of Market Data Infrastructure: Order Denying Stay
See Also - Market Data Infrastructure , Motion for Stay
33-10905A Amendment to Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2021
See Also - 33-10905, Other Release Nos.: 34-90693A
33-10934, 34-91344, 39-2537, IA-5698, IC-34225 S7-02-21 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: April 26, 2021
View Received Comments
Submit a Comment on S7-02-21
Federal Register version (86 FR 15810)
34-91331 SBSDR-2021-01 Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
34-91332 2021-34 Order Determining Whistleblower Award Claim
34-91280 2021-33 Order Determining Whistleblower Award Claim
IA-5696 Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940
Federal Register version (86 FR 14169)
34-91253 2021-32 Order Determining Whistleblower Award Claim
34-91225 2021-31 Order Determining Whistleblower Award Claim
34-91214 265-33 Asset Management Advisory Committee
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 12501)
34-91207 2021-30 Order Determining Whistleblower Award Claim
34-91206 2021-29 Order Determining Whistleblower Award Claim
IA-5689 801-106576 Strategic Options, LLC (Order Denying a Request for Hearing and Cancelling the Registration of an Investment Advisor Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-91183 2021-28 Order Determining Whistleblower Award Claim
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Last Reviewed or Updated: June 28, 2024