IA-5638
Dec. 3, 2020
Ann T. Coffey Wealth Management LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-90537
Dec. 1, 2020
2021-11
Order Determining Whistleblower Award Claim
34-90506
Nov. 24, 2020
2021-10
Order Determining Whistleblower Award Claim
IA-5633
Nov. 20, 2020
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
Nov. 20, 2020
2021-9
Order Determining Whistleblower Award Claim
34-90460
Nov. 19, 2020
2021-8
Order Determining Whistleblower Award Claim
34-90429
Nov. 13, 2020
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
Nov. 13, 2020
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
Nov. 13, 2020
Securities Exchange Act of 1934 Federal Register version (85 FR 73825)
34-90428
Nov. 13, 2020
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
Nov. 13, 2020
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
Nov. 13, 2020
2021-7
Order Determining Whistleblower Award Claim
IA-5632
Nov. 13, 2020
EF Hutton Investments LLC (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-90378
Nov. 9, 2020
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: View Received Comments Federal Register version (85 FR 72726)
34-90376
Nov. 9, 2020
265-33
Asset Management Advisory Committee View Received Comments Federal Register version (85 FR 72723)
34-90351
Nov. 5, 2020
2021-6
Order Determining Whistleblower Award Claim
34-90350
Nov. 5, 2020
2021-5
Order Determining Whistleblower Award Claim
IA-5622
Nov. 5, 2020
Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940 Federal Register version (85 FR 71707)
34-90346
Nov. 4, 2020
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
Nov. 4, 2020
265-28
Investor Advisory Committee Meeting View Received Comments Federal Register version (85 FR 71365)
34-90317
Nov. 3, 2020
2021-4
Order Determining Whistleblower Award Claim
34-90284
Oct. 29, 2020
2021-3
Order Determining Whistleblower Award Claim
34-90276
Oct. 28, 2020
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 Exemptive Order Rel. No. 2020-248 Federal Register version (85 FR 70657)
34-90275
Oct. 27, 2020
265-30
Fixed Income Market Structure Advisory Committee Federal Register version (85 FR 69370)
