34-100884
Aug. 30, 2024
10-242
24X National Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Grant or Deny an Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act
View Received Comments
34-100839
Aug. 27, 2024
10-242
24X National Exchange LLC; Notice of Filing of Amendment No. 1 to an Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
Comments Due: 21 days from publication in the Federal Register.
View Received Comments
See Also -
Form 1 Application and Exhibits
34-100818
Aug. 26, 2024
2024-38
Order Determining Whistleblower Award Claim
34-100815
Aug. 23, 2024
Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
34-100812
Aug. 23, 2024
2024-36
Order Determining Whistleblower Claim Award
34-100809
Aug. 23, 2024
2024-37
Order Determining Whistleblower Award Claim
33-11299, 34-100784
Aug. 20, 2024
Order Making Fiscal Year 2025 Annual Adjustments to Registration Fee Rates
33-11299, 34-100784
Aug. 20, 2024
Order Making Fiscal Year 2025 Annual Adjustments to Registration Fee Rates
34-100771
Aug. 19, 2024
2024-34
Order Determining Whistleblower Award Claim
34-100770
Aug. 19, 2024
2024-35
Order Determining Whistleblower Award Claim
33-11298
Aug. 14, 2024
Off-Channel Communications at Registered Entities
34-100725
Aug. 13, 2024
Order Extending the Effective Date of the Form BDW of Monmouth Capital Management LLC
34-100648
Aug. 5, 2024
2024-33
Order Determining Whistleblower Award Claim
34-100638
Aug. 2, 2024
SBSDR-2023-01
KOR Reporting, Inc.; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
Comments Due: 21 days after publication in the Federal Register
See Also -
SDR Applications and Exhibits
34-100614
July 29, 2024
2024-32
Order Determining Whistleblower Award Claim
34-100605
July 26, 2024
2024-31
Order Determining Whistleblower Award Claim
34-100547
July 17, 2024
10-244
Green Impact Exchange, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: September 6, 2024
View Received Comments
See Also -
Form 1 Application and Exhibits
34-100543
July 17, 2024
2024-30
Order Determining Whistleblower Award Claim
34-100539
July 15, 2024
10-240
In the Matter of the Application of MIAX Sapphire, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
View Received Comments
See Also -
Release No. 34-98746 , Form 1 Application and Exhibits
34-100509
July 12, 2024
Availability of SEC Online Comment Form Option
34-100498
July 11, 2024
2024-29
Order Determining Whistleblower Award Claim
34-100393
June 21, 2024
2024-28
Order Determining Whistleblower Award Claim
34-100392
June 21, 2024
2024-27
Order Determining Whistleblower Award Claim
34-100385
June 20, 2024
2024-26
Order Determining Whistleblower Award Claim
34-100358
June 17, 2024
2024-25
Order Determining Whistleblower Award Claim
PA-62
June 12, 2024
S7-2024-04
Privacy Act of 1974: Systems of Records
Comments Due: 30 Days After Date Of Publication In The Federal Register
34-100312
June 11, 2024
2024-24
Order Determining Whistleblower Award Claim
34-100309
June 11, 2024
2024-23
Order Determining Whistleblower Award Claim
34-100264
June 4, 2024
Notice: Public Availability of the Securities and Exchange Commission’s Fiscal Year (FY) 2021 Service Contract Inventory
34-100262
June 4, 2024
2024-21
Order Determining Whistleblower Award Claim
34-100259
June 3, 2024
2024-20
Order Determining Whistleblower Award Claim
34-100254
May 31, 2024
10-242
24X National Exchange LLC ; Order Instituting Proceedings to Determine Whether to Grant or Deny an Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
Comments Due: June 27, 2024
View Received Comments
34-100252
May 31, 2024
2024-19
Order Determining Whistleblower Award Claim
33-11287, 34-100157, IA-6605, IC-35194
May 16, 2024
S7-2024-03
Regulatory Flexibility Agenda
Comments Due: September 16, 2024
See Also -
Federal Register Version
33-11287, 34-100157, IA-6605, IC-35194
May 16, 2024
S7-2024-03
Regulatory Flexibility Agenda
Comments Due: September 16, 2024
See Also -
Federal Register Version
33-11287, 34-100157, IA-6605, IC-35194
May 16, 2024
S7-2024-03
Regulatory Flexibility Agenda
Comments Due: September 16, 2024
See Also -
Federal Register Version
33-11287, 34-100157, IA-6605, IC-35194
May 16, 2024
S7-2024-03
Regulatory Flexibility Agenda
Comments Due: September 16, 2024
See Also -
Federal Register Version
34-100068
May 7, 2024
2024-18
Order Determining Whistleblower Award Claim
34-100025
April 25, 2024
2024-17
Order Determining Whistleblower Award Claim
34-99973
April 17, 2024
Order Making Fiscal Year 2024 Annual Adjustments to Transaction Fee Rates
34-99939
April 11, 2024
2024-16
Order Determining Whistleblower Award Claim
34-99929
April 9, 2024
2024-15
Order Determining Whistleblower Award Claim
34-99920
April 8, 2024
2024-14
Order Determining Whistleblower Award Claim
34-99916
April 8, 2024
2024-13
Order Determining Whistleblower Award Claim
34-99915
April 8, 2024
Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013
34-99914
April 8, 2024
2024-12
Order Determining Whistleblower Award Claim
33-11280, 34-99908
April 4, 2024
S7-10-22
In the Matter of the Enhancement and Standardization of Climate-Related Disclosures for Investors (Order Issuing Stay)
View Received Comments
Federal Register version
33-11280, 34-99908
April 4, 2024
S7-10-22
In the Matter of the Enhancement and Standardization of Climate-Related Disclosures for Investors (Order Issuing Stay)
View Received Comments
Federal Register version
34-99892
April 4, 2024
Order Cancelling Registration of Certain Municipal Securities Dealers Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-99890
April 3, 2024
2024-11
Order Determining Whistleblower Award Claim
34-99671
March 5, 2024
Notice of Intention to Cancel Registration of Certain Municipal Securities Dealers Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-99670
March 5, 2024
2024-10
Order Determining Whistleblower Award Claim
34-99669
March 5, 2024
2024- 9
Order Determining Whistleblower Award Claim
34-99657
March 1, 2024
J.P. Morgan Securities LLC (“JPMS LLC”) and JPMorgan Chase Bank, N.A.
34-99614
Feb. 27, 2024
10-242
24X National Exchange LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: April 18, 2024
View Received Comments
See Also -
Form 1 Application and Exhibits
Federal Register version ((89 FR 15621))
33-11273, 34-99583
Feb. 22, 2024
Order Regarding Review of FASB Accounting Support Fee For 2024 Under Section 109 of The Sarbanes-Oxley Act of 2002
33-11273, 34-99583
Feb. 22, 2024
Order Regarding Review of FASB Accounting Support Fee For 2024 Under Section 109 of The Sarbanes-Oxley Act of 2002
33-11270
Feb. 9, 2024
Certain Broker-Dealer Practices
34-99313
Jan. 11, 2024
2024-8
Order Determining Whistleblower Award Claim
34-99312
Jan. 11, 2024
2024-7
Order Determining Whistleblower Award Claim
34-99331
Jan. 11, 2024
Order Granting FINRA’s Application For Relief From Certain Statutory Disqualification
33-11263, 34-99276, IA-6521, IC-35085
Jan. 5, 2024
Adjustments to Civil Monetary Penalty Amounts
33-11263, 34-99276, IA-6521, IC-35085
Jan. 5, 2024
Adjustments to Civil Monetary Penalty Amounts
33-11263, 34-99276, IA-6521, IC-35085
Jan. 5, 2024
Adjustments to Civil Monetary Penalty Amounts
33-11263, 34-99276, IA-6521, IC-35085
Jan. 5, 2024
Adjustments to Civil Monetary Penalty Amounts
34-99230
Dec. 22, 2023
2024-6
Order Determining Whistleblower Award Claim
34-99229
Dec. 22, 2023
2024-5
Order Determining Whistleblower Award Claim
33-11258, 34-99150
Dec. 13, 2023
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2024
See Also -
Press Release
33-11258, 34-99150
Dec. 13, 2023
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2024
See Also -
Press Release
34-99079
Dec. 5, 2023
2024-4
Order Determining Whistleblower Award Claim
34-99070
Dec. 4, 2023
2024-3
Order Determining Whistleblower Award Claim
34-99060
Dec. 1, 2023
PCAOB-2023-02
Order Granting Approval of Auditing Standard Governing the Auditor’s Use of Confirmation
34-99011
Nov. 22, 2023
S7-21-21
In the Matter of Share Repurchase Disclosure Modernization (Order Issuing Stay)
34-98985
Nov. 20, 2023
2024-2
Order Determining Whistleblower Award Claim
34-98902
Nov. 9, 2023
4-809
Order Granting ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
See Also -
ICEU CA Withdrawal Request Letter
PA-61
Oct. 26, 2023
S7-19-23
Privacy Act of 1974: Systems of Records
Comments Due: November 30, 2023
Federal Register version (88 FR 74550)
34-98746
Oct. 13, 2023
10-240
MIAX Sapphire, LLC; Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
Comments Due: December 4, 2023
View Received Comments
See Also -
Form 1 Application and Exhibits
34-98736
Oct. 13, 2023
2024-1
Order Determining Whistleblower Award Claim
33-11252, 34-98699, IA-6454, IC-35030
Oct. 6, 2023
S7-17-23
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
33-11252, 34-98699, IA-6454, IC-35030
Oct. 6, 2023
S7-17-23
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
33-11252, 34-98699, IA-6454, IC-35030
Oct. 6, 2023
S7-17-23
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
33-11252, 34-98699, IA-6454, IC-35030
Oct. 6, 2023
S7-17-23
List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Federal Register version
34-98689
Oct. 5, 2023
PCAOB-2023-02
Notice of Filing of Proposed Rules on the Auditor’s Use of Confirmation, and Other Amendments to Related PCAOB Standards
Comments Due: November 7, 2023
View Received Comments
34-98680
Oct. 3, 2023
Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-98672
Oct. 2, 2023
Public Availability of the Security and Exchange Commission's FY 2020 Service Contract Inventory
34-98668
Sept. 29, 2023
Order Regarding Net Capital Computation for Jefferies Financial Services, Inc.
34-98642
Sept. 29, 2023
Order Scheduling Filing of Statements of Review for SR-FINRA-2022-032
34-98655
Sept. 29, 2023
2023-84
Order Determining Whistleblower Award Claim
33-11249
Sept. 29, 2023
Certain Broker-Dealer Practices
34-98590
Sept. 28, 2023
Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
34-98488
Sept. 22, 2023
Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc.
See Also -
FINRA Incoming Fingerprint Plan Cover Letter
34-98340
Sept. 11, 2023
2023-83
Order Determining Whistleblower Award Claim
34-98331
Sept. 8, 2023
4-809
Notice of Filing and Request for Comment on ICE Clear Europe Limited’s Request to Withdraw from Registration as a Clearing Agency
Comments Due: October 5, 2023
34-98236
Aug. 29, 2023
2023-82
Order Determining Whistleblower Award Claim
34-98235
Aug. 29, 2023
2023-81
Order Determining Whistleblower Award Claim
33-11225; 34-98226; IA-6388; IC-34993,
Aug. 28, 2023
S7-14-23
Fall 2023 Regulatory Flexibility Agenda
Comments Due: March 11, 2024
View Received Comments
Federal Register version
33-11225; 34-98226; IA-6388; IC-34993,
Aug. 28, 2023
S7-14-23
Fall 2023 Regulatory Flexibility Agenda
Comments Due: March 11, 2024
View Received Comments
Federal Register version
33-11224; 34-98223
Aug. 25, 2023
Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates
34-98219
Aug. 25, 2023
2023-79
Order Determining Whistleblower Award Claim
34-98220
Aug. 25, 2023
2023-80
Order Determining Whistleblower Award Claim