Other Commission Orders, Notices, and Information

Archive of other SEC Orders, Notices and Information available include:

Release Number SEC Issue Date File Number Details
34-98208 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-98198 2023-77 Order Determining Whistleblower Award Claim
34-98199 2023-78 Order Determining Whistleblower Award Claim
34-98196 2023-76 Order Determining Whistleblower Award Claims
34-98117 Order Extending the Effective Date of the Form BDW of Monmouth Capital Management LLC
33-11221 Certain Broker-Dealer Practices
34-98054 2023-75 Order Determining Whistleblower Award Claim
34-97879 2023-74 Order Determining Whistleblower Award Claim
IA-6339 Order Cancelling Registrations of Certain Investment Advisers Pursuant To Section 203(H) of the Investment Advisers Act of 1940
34-97838 2023-73 Order Determining Whistleblower Award Claim
34-97831 2023-72 Order Determining Whistleblower Award Claim
34-97826 2023-71 Order Determining Whistleblower Award Claim
34-97805 2023-70 Order Determining Whistleblower Award Claim
34-97804 2023-69 Order Determining Whistleblower Award Claim
34-97803 2023-68 Order Determining Whistleblower Award Claim
34-97728 2023-67 Order Determining Whistleblower Award Claim
34-97683 2023-66 Order Determining Whistleblower Award Claim
IA-6322 Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers Act of 1940
34-97612 2023-65 Order Determining Whistleblower Award Claim
34-97601 2023-64 Order Determining Whistleblower Award Claim
34-97600 2023-63 Order Determining Whistleblower Award Claim
34-97599 2023-62 Order Determining Whistleblower Award Claim
34-97598 2023-61 Order Determining Whistleblower Award Claim
34-97573 2023-60 Order Determining Whistleblower Award Claim
34-97529 2023-59 Order Determining Whistleblower Award Claim
34-97524 2023-58 Order Determining Whistleblower Award Claim
33-11182 Certain Broker-Dealer Practices: (Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act OF 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(a)(4), 506(d)(1)(iv), AND
34-97450 2023-57 Order Determining Whistleblower Award Claim
34-97449 2023-56 Order Determining Whistleblower Award Claim
34-97438 2023-55 Order Determining Whistleblower Award Claim
34-97408 2023-54 Order Determining Whistleblower Award Claim
34-97397 2023-53 Order Determining Whistleblower Award Claim
34-97396 2023-52 Order Determining Whistleblower Award Claim
34-97395 2023-51 Order Determining Whistleblower Award Claim
34-97295 2023-50 Order Determining Whistleblower Award Claim
33-11178, 34-97286, IA-6281, IC-34884 S7-09-23 Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
33-11178, 34-97286, IA-6281, IC-34884 S7-09-23 Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
33-11178, 34-97286, IA-6281, IC-34884 S7-09-23 Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
33-11178, 34-97286, IA-6281, IC-34884 S7-09-23 Regulatory Flexibility Agenda
View Received Comments
Federal Register version (88 FR 48694)
34-97285 2023-49 Order Determining Whistleblower Award Claim
34-97226 2023-45 Order Determining Whistleblower Award Claim
34-97227 2023-46 Order Determining Whistleblower Award Claim
34-97228 2023-47 Order Determining Whistleblower Award Claim
34-97229 2023-48 Order Determining Whistleblower Award Claim
34-97222 2023-44 Order Determining Whistleblower Award Claim
34-97202 2023-42 Order Determining Whistleblower Award Claim
34-97205 2023-43 Order Determining Whistleblower Award Claim
34-97051 2023-41 Order Determining Whistleblower Award Claim
34-97043 10-239 24X National Exchange LLC; Notice of Withdrawal of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Federal Register version (88 FR 14663)
34-97015 2023-40 Order Determining Whistleblower Award Claim
34-96983 2023-39 Order Determining Whistleblower Award Claim
34-96970 2023-37 Order Determining Whistleblower Award Claim
34-96971 2023-38 Order Determining Whistleblower Award Claim
34-96923 2023-36 Order Determining Whistleblower Award Claim
34-96887 2023-35 Order Determining Whistleblower Award Claim
33-11155, 34-96851 Order Regarding Review of FASB Accounting Support Fee for 2023 under Section 109 of the Sarbanes-Oxley Act of 2002
33-11155, 34-96851 Order Regarding Review of FASB Accounting Support Fee for 2023 under Section 109 of the Sarbanes-Oxley Act of 2002
34-96788 SR-MEMX-2021-10 In the Matter of the MEMX LLC Regarding an Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program (File No. SR-MEMX-2021-10); Order Scheduling Filing of Statements on Review
Federal Register version (88 FR 8008)
34-96765 2023-33 Order Determining Whistleblower Award Claim
34-96767 2023-34 Order Determining Whistleblower Award Claim
34-96739 2023-32 Order Determining Whistleblower Award Claim
34-96724 Order Making Fiscal Year 2023 Annual Adjustments to Transaction Fee Rates
Federal Register version (88 FR 5051)
34-96705 2023-30 Order Determining Whistleblower Award Claim
34-96708 2023-31 Order Determining Whistleblower Award Claim
34-96669 2023-29 Order Determining Whistleblower Award Claim
34-96656 2023-25 Order Determining Whistleblower Award Claim
34-96657 2023-26 Order Determining Whistleblower Award Claim
34-96658 2023-27 Order Determining Whistleblower Award Claim
34-96667 2023-28 Order Determining Whistleblower Award Claim
34-96641 2023-23 Order Determining Whistleblower Award Claim
34-96642 2023-24 Order Determining Whistleblower Award Claim
34-96604 2023-22 Order Determining Whistleblower Award Claim
33-11143, 34-96605, IA-6212, IC-34797 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
33-11143, 34-96605, IA-6212, IC-34797 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
33-11143, 34-96605, IA-6212, IC-34797 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
33-11143, 34-96605, IA-6212, IC-34797 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (88 FR 1614)
33-11142, 34-96577 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023
33-11142, 34-96577 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023
34-96541 Order Scheduling Filing of Statements on Review; In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008)
View Received Comments
Federal Register version (87 FR 79014)
34-96527 2023-21 Order Determining Whistleblower Award Claim
34-96474 2023-20 Order Determining Whistleblower Award Claim
PA-58 S7-28-22 Privacy Act of 1974; System of Records
Comments Due: January 6, 2023
Submit a Comment on S7-28-22
Federal Register version (87 FR 76097)
34-96439 2023-19 Order Determining Whistleblower Award Claim
34-96399 2023-18 Order Determining Whistleblower Award Claim
33-11136, 34-96386, IC-34765 S7-27-22 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 3, 2023
See Also - Staff Summaries of 2013 Rule Reviews
Federal Register version (87 FR 74057)
34-96381 2023-17 Order Determining Whistleblower Award Claim
33-11136, 34-96386, IC-34765 S7-27-22 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 3, 2023
See Also - Staff Summaries of 2013 Rule Reviews
Federal Register version (87 FR 74057)
33-11136, 34-96386, IC-34765 S7-27-22 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 3, 2023
See Also - Staff Summaries of 2013 Rule Reviews
Federal Register version (87 FR 74057)
34-96366 2023-16 Order Determining Whistleblower Award Claim
34-96354 Order Cancelling Registrations of Certain Transfer Agents
Federal Register version (87 FR 72577)
34-96364 10-239 In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; 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 of 1934
See Also - Form 1 Application and Exhibits
Federal Register version (87 FR 72553)
34-96337 10-239 24X National Exchange LLC; Notice of Filing of Amendment No. 2 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: December 13, 2022
View Received Comments
See Also - Form 1 Application and Exhibits
Federal Register version (87 FR 71388)
34-96324 2023-15 Order Determining Whistleblower Award Claim
34-96227 2023-09 Order Determining Whistleblower Award Claim
34-96228 2023-10 Order Determining Whistleblower Award Claim
34-96229 2023-11 Order Determining Whistleblower Award Claim
34-96230 2023-12 Order Determining Whistleblower Award Claim
34-96231 2023-13 Order Determining Whistleblower Award Claim
34-96232 2023-14 Order Determining Whistleblower Award Claim
34-96214 2023-08 Order Determining Whistleblower Award Claim
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