Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-96218 10-239 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: November 30, 2022
View Received Comments
See Also - Form 1 Application and Exhibits
Federal Register version (87 FR 67725)
34-96178 2023-07 Order Determining Whistleblower Award Claim
33-11127 333-266967 Electropremium (Order Denying Application to Withdraw Registration Statement Under the Securities Act of 1933)
34-96128 2023-05 Order Determining Whistleblower Award Claim
34-96129 2023-06 Order Determining Whistleblower Award Claim
34-96119 2023-04 Order Determining Whistleblower Award Claim
34-96075 2023-02 Order Determining Whistleblower Award Claim
34-96076 2023-03 Order Determining Whistleblower Award Claim
33-11118, 34-96009, IA-6165, IC-34725 S7-24-22 Regulatory Flexibility Agenda
Comments Due: 30 days from publication in the Federal Register
View Received Comments
Submit a Comment on S7-24-22
Federal Register version (88 FR 11376)
33-11118, 34-96009, IA-6165, IC-34725 S7-24-22 Regulatory Flexibility Agenda
Comments Due: 30 days from publication in the Federal Register
View Received Comments
Submit a Comment on S7-24-22
Federal Register version (88 FR 11376)
33-11118, 34-96009, IA-6165, IC-34725 S7-24-22 Regulatory Flexibility Agenda
Comments Due: 30 days from publication in the Federal Register
View Received Comments
Submit a Comment on S7-24-22
Federal Register version (88 FR 11376)
33-11118, 34-96009, IA-6165, IC-34725 S7-24-22 Regulatory Flexibility Agenda
Comments Due: 30 days from publication in the Federal Register
View Received Comments
Submit a Comment on S7-24-22
Federal Register version (88 FR 11376)
34-96012 2023-01 Order Determining Whistleblower Award Claim
33-11109 Certain Broker-Dealer Practices (Waiver Order)
34-95931 Order Cancelling Registration of Certain Municipal Advisor Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-95834 2022-86 Order Determining Whistleblower Award Claim
34-95840 2022-87 Order Determining Whistleblower Award Claim
34-95855 Notice of Intention To Cancel Registrations of Certain Transfer Agents
Federal Register version (87 FR 58590)
34-95802 2022-85 Order Determining Whistleblower Award Claim
34-95748 2022-83 Order Determining Whistleblower Award Claim
34-95753 2022-84 Order Determining Whistleblower Award Claim
34-95711 2022-79 Order Determining Whistleblower Award Claim
34-95712 2022-80 Order Determining Whistleblower Award Claim
34-95713 2022-81 Order Determining Whistleblower Award Claim
34-95714 2022-82 Order Determining Whistleblower Award Claim
34-95672 2022-78 Order Determining Whistleblower Award Claim
34-95651 10-239 In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; 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: 21 days from publication in the Federal Register
View Received Comments
Federal Register version (87 FR 54736)
33-11095, 34-95597 Order Making Fiscal Year 2023 Annual Adjustments to Registration Fee Rates
Federal Register version (87 FR 53030)
33-11095, 34-95597 Order Making Fiscal Year 2023 Annual Adjustments to Registration Fee Rates
Federal Register version (87 FR 53030)
34-95588 Draft 2022-2026 Strategic Plan for Securities and Exchange Commission
Comments Due: September 29, 2022
View Received Comments
See Also - Draft Strategic Plan, Press Release Nos. 2022-148
Federal Register version (87 FR 53040)
34-95537 2022-77 Order Determining Whistleblower Award Claim
34-95483 2022-71 Order Determining Whistleblower Award Claim
34-95484 2022-72 Order Determining Whistleblower Award Claim
34-95485 2022-73 Order Determining Whistleblower Award Claim
34-95486 2022-74 Order Determining Whistleblower Award Claim
34-95489 2022-75 Order Determining Whistleblower Award Claim
34-95490 2022-76 Order Determining Whistleblower Award Claim
34-95496 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-95470 Order Determining That the Financial Industry Regulatory Authority Conditionally May Access Certain Security-Based Swap Data Obtained by Security-Based Swap Data Repositories
See Also - Confidentiality Agreement between SEC and FINRA, Incoming Letter from FINRA to SEC
Federal Register version (87 FR 50655)
34-95443 2022-70 Order Determining Whistleblower Award Claim
34-95408 2022-69 Order Determining Whistleblower Award Claim
34-95384 2022-68 Order Determining Whistleblower Award Claim
34-95309 2022-67 Order Determining Whistleblower Award Claim
34-95304 2022-66 Order Determining Whistleblower Award Claim
34-95291 2022-64 Order Determining Whistleblower Award Claim
34-95292 2022-65 Order Determining Whistleblower Award Claim
34-95247 2022-63 Order Determining Whistleblower Award Claim
34-95243 Order Granting Registration of Demotech, Inc. as a Nationally Recognized Statistical Rating Organization
34-95221 2022-61 Order Determining Whistleblower Award Claim
34-95222 2022-62 Order Determining Whistleblower Award Claim
34-95235 In the Matter of the: Order Granting Temporary 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 Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail; In the Matter of the: Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Exchange Act and Rule 608(e) of Regulation NMS Under the Exchange Act, From Section 8.1.1 and Section 8.1.2 of Appendix D of the National Market System Plan Governing the Consolidated Audit Trail; Order Denying Stay
See Also - Motion for Partial Stay of Order 34-90688, Motion for Partial Stay of Order 34-90689, Appendix Vol. 1, Appendix Vol. 2
Federal Register version (87 FR 42242)
34-95198 2022-60 Order Determining Whistleblower Award Claim
33-11073, 34-95122, IC-34619 S7-19-22 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: August 23, 2022
See Also - Notice of Completion of 2012 Rule Reviews
Federal Register version (87 FR 37772)
33-11074 333-259603 American CryptoFed DAO LLC (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933)
33-11073, 34-95122, IC-34619 S7-19-22 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: August 23, 2022
See Also - Notice of Completion of 2012 Rule Reviews
Federal Register version (87 FR 37772)
33-11073, 34-95122, IC-34619 S7-19-22 List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: August 23, 2022
See Also - Notice of Completion of 2012 Rule Reviews
Federal Register version (87 FR 37772)
IA-6050, IC-34618 S7-18-22 Request for Comment on Certain Information Providers Acting as Investment Advisers
Comments Due: August 16, 2022
View Received Comments
See Also - Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments
Federal Register version (87 FR 37254)
IA-6050, IC-34618 S7-18-22 Request for Comment on Certain Information Providers Acting as Investment Advisers
Comments Due: August 16, 2022
View Received Comments
See Also - Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments
Federal Register version (87 FR 37254)
34-95032 2022-57 Order Determining Whistleblower Award Claim
34-95033 2022-58 Order Determining Whistleblower Award Claim
34-95038 2022-59 Order Determining Whistleblower Award Claim
34-95007 10-239 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
View Received Comments
See Also - Form 1 Application and Exhibits
Federal Register version (87 FR 34333)
34-94946 2022-56 Order Determining Whistleblower Award Claim
34-94896 Data Collection Initiation Date and Contingent Phase-In Termination Date for the De Minimis Notional Thresholds of Security-Based Swap Dealing
See Also - 34-66868.pdf, 34-87780.pdf
Federal Register version (87 FR 29986)
34-94860 2022-55 Order Determining Whistleblower Award Claim
34-94797 2022-54 Order Determining Whistleblower Award Claim
33-11054, 34-94793, IA-6002, IC-34570 S7-15-22 Regulatory Flexibility Agenda
Comments Due: September 7, 2022
View Received Comments
Submit a Comment on S7-15-22
Federal Register version (87 FR 48424)
33-11054, 34-94793, IA-6002, IC-34570 S7-15-22 Regulatory Flexibility Agenda
Comments Due: September 7, 2022
View Received Comments
Submit a Comment on S7-15-22
Federal Register version (87 FR 48424)
33-11054, 34-94793, IA-6002, IC-34570 S7-15-22 Regulatory Flexibility Agenda
Comments Due: September 7, 2022
View Received Comments
Submit a Comment on S7-15-22
Federal Register version (87 FR 48424)
33-11054, 34-94793, IA-6002, IC-34570 S7-15-22 Regulatory Flexibility Agenda
Comments Due: September 7, 2022
View Received Comments
Submit a Comment on S7-15-22
Federal Register version (87 FR 48424)
34-94789 2022-53 Order Determining Whistleblower Award Claim
34-94767 2022-52 Order Determining Whistleblower Award Claim
34-94736 2022-48 Order Determining Whistleblower Award Claim
34-94737 2022-49 Order Determining Whistleblower Award Claim
34-94738 2022-50 Order Determining Whistleblower Award Claim
34-94743 2022-51 Order Determining Whistleblower Award Claim
34-94724 Financial Industry Regulatory Authority, Inc. (Order Granting Petition for Review and Scheduling Filing of Statements) Comments received for SR-FINRA-2021-010
View Received Comments
34-94644 Order Making Fiscal Year 2022 Annual Adjustments to Transaction Fee Rates
Federal Register version (87 FR 21931)
34-94647 2022-47 Order Determining Whistleblower Award Claim
34-94651 Order Cancelling Registration of Municipal Advisor Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-94589 2022-46 Order Determining Whistleblower Award Claim
34-94519 2022-45 Order Determining Whistleblower Award Claim
34-94458 2022-41 Order Determining Whistleblower Award Claim
34-94459 2022-42 Order Determining Whistleblower Award Claim
34-94460 2022-43 Order Determining Whistleblower Award Claim
34-94461 2022-44 Order Determining Whistleblower Award Claim
34-94442 2022-40 Order Determining Whistleblower Award Claim
33-11041 DF Growth REIT II, LLC (Order Pursuant To Rule 262(b)(2) Of The Securities Act Of 1933 Denying A Waiver Of The Rule 262(a)(7) Disqualification Provision Of Regulation A)
34-94397 2022-37 Order Determining Whistleblower Award Claim
34-94398 2022-38 Order Determining Whistleblower Award Claim
34-94399 2022-39 Order Determining Whistleblower Award Claim
34-94375 2022-36 Order Determining Whistleblower Award Claim
34-94366 2022-35 Order Determining Whistleblower Award Claim
34-94305 Securities Exchange Act of 1934; Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(C)(3) of the Securities Exchange Act of 1934
Federal Register version (87 FR 11779)
34-94288 2022-34 Order Determining Whistleblower Award Claim
34-94282 2022-33 Order Determining Whistleblower Award Claim
34-94242 In the Matter of New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Order Granting Petition for Review and Scheduling Filing of Statements Regarding an Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees
Federal Register version (87 FR 9404)
33-11027, 34-94187 Order Regarding Review of FASB Accounting Support Fee for 2022 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-11027, 34-94187 Order Regarding Review of FASB Accounting Support Fee for 2022 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-94020 2022-32 Order Determining Whistleblower Award Claim
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