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-5638 Ann T. Coffey Wealth Management LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-90537 2021-11 Order Determining Whistleblower Award Claim
34-90506 2021-10 Order Determining Whistleblower Award Claim
IA-5633 Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 75391)
34-90468 2021-9 Order Determining Whistleblower Award Claim
34-90460 2021-8 Order Determining Whistleblower Award Claim
34-90429 Order Setting Aside the Order by Delegated Authority Approving SR-IEX-2018-06; In the Matter of Investors Exchange LLC, 3 World Trade Center 58th Floor, New York, NY 10007, File No. SR-IEX-2018-06
Federal Register version (85 FR 73835)
34-90430 Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2018-02; In the Matter of NYSE Arca, Inc., 11 Wall St., New York, NY 10005; File No. SR-NYSEArca-2018-02
Federal Register version (85 FR 73825)
34-90427 Securities Exchange Act of 1934
Federal Register version (85 FR 73825)
34-90428 Securities Exchange Act of 1934; In the Matter of: Cboe BZX Exchange, Inc., 400 South LaSalle Street, Chicago, IL 60605, File No. SR-CboeBZX-2018-044; Order Setting Aside the Order by Delegated Authority Disapproving SR-CboeBZX-2018-044
Federal Register version (85 FR 73829)
34-90431 Securities Exchange Act of 1934; In the Matter of: NYSE Area, Inc., 11 Wall St., New York, NY 10005, File No. SR-NYSEArca-2019-01; Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2019-01
Federal Register version (85 FR 73819)
34-90412 2021-7 Order Determining Whistleblower Award Claim
IA-5632 EF Hutton Investments LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-90378 Notice of Substituted Compliance Application Submitted by the Bundesanstalt fr Finanzdienstleistungsaufsicht in Connection With Certain Requirements Applicable to Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Order
Comments Due: December 8, 2020
View Received Comments
Federal Register version (85 FR 72726)
34-90376 265-33 Asset Management Advisory Committee
View Received Comments
Federal Register version (85 FR 72723)
34-90351 2021-6 Order Determining Whistleblower Award Claim
34-90350 2021-5 Order Determining Whistleblower Award Claim
IA-5622 Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940
Federal Register version (85 FR 71707)
34-90346 Public Availability of the Securities and Exchange Commission's FY 2016 and FY 2017 Service Contract Inventory
Federal Register version (85 FR 71705)
33-10885, 34-90338 265-28 Investor Advisory Committee Meeting
View Received Comments
Federal Register version (85 FR 71365)
34-90317 2021-4 Order Determining Whistleblower Award Claim
34-90284 2021-3 Order Determining Whistleblower Award Claim
34-90276 S7-13-12 Proposed Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Swaps and Security-Based Swaps That Are Credit Default Swaps
See Also - Exemptive Order Rel. No. 2020-248
Federal Register version (85 FR 70657)
34-90275 265-30 Fixed Income Market Structure Advisory Committee
Federal Register version (85 FR 69370)

Last Reviewed or Updated: June 28, 2024