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
33-10877, 34-90260 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 68378)
34-90246 S7-15-20 Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
Comments Due: 30 days after publication in the Federal Register
See Also - Press Release No. 2020-264
Federal Register version (85 FR 70536)
34-90247 2021-2 Order Determining Whistleblower Award Claim
34-90223 Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Allocations Pursuant to the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 67576)
34-90211 265-33 Asset Management Advisory Committee; Meeting
View Received Comments
Federal Register version (85 FR 67040)
34-90189 2021-1 Order Determining Whistleblower Award Claim
IA-5612 Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940
Federal Register version (85 FR 66590)
33-10873, 34-90131, IA-5610, IC-34047 S7-14-20 Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (86 FR 17040)
34-90112 S7-13-20 Notice of Proposed Exemptive Order Granting Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders
Comments Due: November 12, 2020
View Received Comments
See Also - Press Release 2020-248
Federal Register version (85 FR 64542)
IA-5602 Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940
Federal Register version (85 FR 63158)
33-10866 Salt Blockchain 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)
34-90059 2020-39 Order Determining Whistleblower Award Claim
34-90057 2020-38 Order Determining Whistleblower Award Claim
34-90054 2020-37 Order Determining Whistleblower Award Claim
34-90049 2020-36 Order Determining Whistleblower Award Claim
33-10864 Aegon N.V. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
34-90021 2020-35 Order Determining Whistleblower Award Claim
34-89996 2020-34 Order Determining Whistleblower Award Claim
34-89995 2020-33 Order Determining Whistleblower Award Claim
34-90001 SR-NYSE-2019-67 New York Stock Exchange LLC Regarding an Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Chapter One of the Listed Company Manual to Modify the Provisions Relating to Direct Listings (Order Granting Petition for Review, Scheduling Filing of Statements, and Denying New York Stock Exchange LLC's Motion to Lift the Stay)
See Also - 2020, 2020
34-89929 2020-32 Order Determining Whistleblower Award Claim

Last Reviewed or Updated: June 28, 2024