34-90866
Jan. 7, 2021
2021-21
Order Determining Whistleblower Award Claim
34-90864
Jan. 7, 2021
2021-20
Order Determining Whistleblower Award Claim
33-10915
Dec. 23, 2020
Tierion, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
33-10916
Dec. 23, 2020
Prudential Financial, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
34-90765
Dec. 22, 2020
S7-16-20
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 Federal Republic of Germany Federal Register version (85 FR 85686)
34-90767
Dec. 22, 2020
2021-19
Order Determining Whistleblower Award Claim
34-90766
Dec. 22, 2020
S7-22-20
Notice of Substituted Compliance Application Submitted by the French Autorit des Marchs Financiers and the Autorit de Contrle Prudential et de Resolution 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; Proposed Order Comments Due: View Received Comments Federal Register version (85 FR 85720)
34-90768
Dec. 22, 2020
SR-NYSE-2019-67
New York Stock Exchange LLC; Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings Federal Register version (85 FR 85807)
PA-56
Dec. 21, 2020
S7-21-20
Privacy Act of 1974; System of Records Federal Register version (85 FR 84436)
PA-55
Dec. 21, 2020
S7-20-20
Privacy Act of 1974; System of Records Comments Due: Federal Register version (85 FR 85440)
34-90764
Dec. 21, 2020
10-133
OneChicago, LLC's Notice of Withdrawal of Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products Comments Due: Federal Register version (85 FR 85778)
34-90721
Dec. 18, 2020
2021-18
Order Determining Whistleblower Award Claim
34-90720
Dec. 18, 2020
2021-17
Order Determining Whistleblower Award Claim
34-90718
Dec. 18, 2020
2021-16
Order Determining Whistleblower Award Claim
34-90680
Dec. 16, 2020
Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, the United Kingdom, Norway, and Canada as Alternative Reporting Regimes that Satisfy the Transparency Objectives of Section 13(q) Under the Securities Exchange Act of 1934 Federal Register version (86 FR 4726)
33-10905
Dec. 16, 2020
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2021 33-10905A , Other Release No.: 34-90693
34-90656
Dec. 14, 2020
2021-15
Order Determining Whistleblower Award Claim
IA-5646
Dec. 14, 2020
Notice of Intention to Cancel Registration Pursuant to section 203(H) of the Investment Advisers Act of 1940 Federal Register version (85 FR 82010)
33-10898
Dec. 9, 2020
Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
34-90582
Dec. 7, 2020
2021-14
Order Determining Whistleblower Award Claim
34-90580
Dec. 7, 2020
2021-13
Order Determining Whistleblower Award Claim
34-90578
Dec. 7, 2020
2021-12
Order Determining Whistleblower Award Claim
33-10895
Dec. 7, 2020
BancWest Investment (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
33-10894
Dec. 3, 2020
Public Service Company of North Carolina, Incorporated (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii)(A) and (B) Disqualification Provisions)
33-10893
Dec. 3, 2020
Dominion Energy, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
