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)
33-10877, 34-90260
Oct. 23, 2020
265-32
SEC Small Business Capital Formation Advisory Committee View Received Comments Federal Register version (85 FR 68378)
34-90246
Oct. 22, 2020
S7-15-20
Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps Comments Due: Press Release No. 2020-264 Federal Register version (85 FR 70536)
34-90247
Oct. 22, 2020
2021-2
Order Determining Whistleblower Award Claim
34-90223
Oct. 19, 2020
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
Oct. 16, 2020
265-33
Asset Management Advisory Committee; Meeting View Received Comments Federal Register version (85 FR 67040)
34-90189
Oct. 15, 2020
2021-1
Order Determining Whistleblower Award Claim
IA-5612
Oct. 15, 2020
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
Oct. 8, 2020
S7-14-20
Regulatory Flexibility Agenda Comments Due: View Received Comments Federal Register version (86 FR 17040)
34-90112
Oct. 7, 2020
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: View Received Comments Press Release 2020-248 Federal Register version (85 FR 64542)
IA-5602
Sept. 30, 2020
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
Sept. 30, 2020
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
Sept. 30, 2020
2020-39
Order Determining Whistleblower Award Claim
34-90057
Sept. 30, 2020
2020-38
Order Determining Whistleblower Award Claim
34-90054
Sept. 30, 2020
2020-37
Order Determining Whistleblower Award Claim
34-90049
Sept. 30, 2020
2020-36
Order Determining Whistleblower Award Claim
33-10864
Sept. 30, 2020
Aegon N.V. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
34-90021
Sept. 28, 2020
2020-35
Order Determining Whistleblower Award Claim
34-89996
Sept. 25, 2020
2020-34
Order Determining Whistleblower Award Claim
