Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-94305 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
34-94021 2022-31 Order Determining Whistleblower Award Claim
34-94022 2022-30 Order Determining Whistleblower Award Claim
34-94019 2022-29 Order Determining Whistleblower Award Claim
34-93945 2022-26 Order Determining Whistleblower Award Claim
34-93946 2022-25 Order Determining Whistleblower Award Claim
34-93947 2022-27 Order Determining Whistleblower Award Claim
34-93948 2022-28 Order Determining Whistleblower Award Claim
34-93935 2022-23 Order Determining Whistleblower Award Claim
34-93936 2022-24 Order Determining Whistleblower Award Claim
34-93934 SR-NYSE-2020-96 New York Stock Exchange LLC; Order Granting Petition for Review and Scheduling Filing of Statements Regarding an Order Disapproving Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners
View Received Comments
Federal Register version (87 FR 2189)
34-93913 2022-22 Order Determining Whistleblower Award Claim
33-11021, 34-93925, IA-5938, IC-34466 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (87 FR 1808)
33-11021, 34-93925, IA-5938, IC-34466 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (87 FR 1808)
33-11021, 34-93925, IA-5938, IC-34466 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (87 FR 1808)
33-11021, 34-93925, IA-5938, IC-34466 Adjustments to Civil Monetary Penalty Amounts
Federal Register version (87 FR 1808)
34-93812 2022-21 Order Determining Whistleblower Award Claim
33-11014, 34-93785 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2022
See Also - Fact Sheet
Federal Register version (86 FR 72300)
33-11014, 34-93785 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2022
See Also - Fact Sheet
Federal Register version (86 FR 72300)
34-93768 S7-14-11 Credit Risk Retention-Notification of Determination of Review
See Also - 34-73407.pdf, Proposed Rule Release Nos. 34-70277, 34-64603, Credit Risk Retention
Federal Register version (86 FR 71810)
34-93726 2022-20 Order Determining Whistleblower Award Claim
34-93685 2022-19 Order Determining Whistleblower Award Claim
34-93648 2022-18 Order Determining Whistleblower Award Claim
PA-57A S7-14-21 Privacy Act of 1974; System of Records; Correction
Comments Due: December 29, 2021
View Received Comments
Submit a Comment on S7-14-21
Federal Register version (86 FR 71117)
34-93635 2022-17 Order Determining Whistleblower Award Claim
34-93636 2022-15 Order Determining Whistleblower Award Claim
34-93637 2022-16 Order Determining Whistleblower Award Claim
34-93604 2022-14 Order Determining Whistleblower Award Claim
33-11007, 34-93573 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 64569)
33-11007, 34-93573 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 64569)
34-93569 2022-13 Order Determining Whistleblower Award Claim
34-93547 2022-12 Order Determining Whistleblower Award Claim
34-93511 Financial Industry Regulatory Authority, Inc.
See Also - FBI Compact Officer Approval Letter, FINRA Incoming Fingerprint Plan Cover Letter
Federal Register version (86 FR 61801)
34-93475 Order Regarding Net Capital and Initial Margin Computations for Morgan Stanley Capital Services LLC
34-93476 Order Regarding Initial Margin Computation for Nomura Global Financial Products Inc.
34-93477 Order Regarding Initial Margin Computation for Goldman Sachs Financial Markets, L.P.
34-93478 Order Regarding Initial Margin Computation for Citigroup Global Markets Inc.
34-93479 Order Regarding Net Capital and Initial Margin Computations for Jefferies Financial Services, Inc.
34-93480 Order Regarding Initial Margin Computation for Goldman Sachs & Co. LLC
34-93483 Order Regarding Net Capital Computation for Nomura Global Financial Products Inc.
34-93485 Order Regarding Net Capital Computation for Goldman Sachs Financial Markets, L.P.
34-93465 2022-11 Order Determining Whistleblower Award Claim
34-93440 2022-9 Order Determining Whistleblower Award Claim
34-93441 2022-10 Order Determining Whistleblower Award Claim
PA-57 S7-14-21 Privacy Act of 1974; System of Records
View Received Comments
Submit a Comment on S7-14-21
Federal Register version (86 FR 60496)
34-93414 2022-8 Order Determining Whistleblower Award Claim
33-11002, 34-93402 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 59439)
33-11002, 34-93402 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 59439)
34-93412 S7-09-21 Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain
View Received Comments
Federal Register version (86 FR 59776)
34-93411 S7-08-21 Amended and Restated Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Federal Republic of Germany; Amended Orders Addressing Non-U.S. Security-Based Swap Entities Subject to Regulation in the French Republic or the United Kingdom; and Order Extending the Time To Meet Certain Conditions Relating to Capital and Margin
Federal Register version (86 FR 59797)
34-93396 Public Availability of the Securities and Exchange Commission's FY 2019 Service Contract Inventory
Federal Register version (86 FR 59258)
34-93389 Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15b(C)(3) of the Securities Exchange Act of 1934
34-93391 265-33 Asset Management Advisory Committee; Meeting
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 59258)
34-93380 265-33 Asset Management Advisory Committee
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 58712)
34-93370 2022-7 Order Determining Whistleblower Award Claim
34-93339 2022-5 Order Determining Whistleblower Award Claim
34-93340 2022-6 Order Determining Whistleblower Award Claim
34-93335 Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap Dealers and Major Security-Based Swap Participants That Are Not U.S. Persons and Are Relying on Substituted Compliance Determinations With Respect to Rule 18a-7
Federal Register version (86 FR 59208)
34-93286 2022-4 Order Determining Whistleblower Award Claim
34-93284 S7-07-21 Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation
Federal Register version (86 FR 57455)
34-93274 2022-2 Order Determining Whistleblower Award Claim
34-93275 2022-3 Order Determining Whistleblower Award Claim
33-10995, 34-93258, IA-5885, IC-34393 S7-13-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-13-21
Federal Register version (87 FR 5382)
33-10995, 34-93258, IA-5885, IC-34393 S7-13-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-13-21
Federal Register version (87 FR 5382)
33-10995, 34-93258, IA-5885, IC-34393 S7-13-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-13-21
Federal Register version (87 FR 5382)
33-10995, 34-93258, IA-5885, IC-34393 S7-13-21 Regulatory Flexibility Agenda
Comments Due: on or before 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-13-21
Federal Register version (87 FR 5382)
34-93233 2022-1 Order Determining Whistleblower Award Claim
33-10993, 34-93204, 39-2541, IC-34392 S7-12-21 Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-12-21
Federal Register version (86 FR 55029)
33-10993, 34-93204, 39-2541, IC-34392 S7-12-21 Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-12-21
Federal Register version (86 FR 55029)
33-10993, 34-93204, 39-2541, IC-34392 S7-12-21 Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-12-21
Federal Register version (86 FR 55029)
33-10993, 34-93204, 39-2541, IC-34392 S7-12-21 Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Comments Due: The later of December 1, 2021 or 30 days after publication in the Federal Register
View Received Comments
Submit a Comment on S7-12-21
Federal Register version (86 FR 55029)
34-93142 2021-97 Order Determining Whistleblower Award Claim
34-93145 2021-98 Order Determining Whistleblower Award Claim
34-93118 2021-96 Order Determining Whistleblower Award Claim
34-93055 2021-95 Order Determining Whistleblower Award Claim
34-93049 2021-94 Order Determining Whistleblower Award Claim
33-10983, 34-93048 Order Approving The Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2021
33-10983, 34-93048 Order Approving The Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2021
34-93051 In the Matter of Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data: Order Denying Stay
34-93013 2021-92 Order Determining Whistleblower Award Claim
34-93016 2021-93 Order Determining Whistleblower Award Claim
34-92985 2021-91 Order Determining Whistleblower Award Claim
34-92969 2021-90 Order Determining Whistleblower Award Claim
34-92966 265-33 Asset Management Advisory Committee; Meeting
View Received Comments
Submit a Comment on 265-33
Federal Register version (86 FR 51943)
34-92929 2021-88 Order Determining Whistleblower Award Claim
34-92931 2021-89 Order Determining Whistleblower Award Claim
33-10976, 34-92872 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 50569)
33-10976, 34-92872 265-32 SEC Small Business Capital Formation Advisory Committee
View Received Comments
Submit a Comment on 265-32
Federal Register version (86 FR 50569)
34-92766, IA-5833 S7-10-21 Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice
Comments Due: October 1, 2021
View Received Comments
See Also - Press Release
Submit a Comment on S7-10-21
Federal Register version (86 FR 49067)
34-92766, IA-5833 S7-10-21 Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice
Comments Due: October 1, 2021
View Received Comments
See Also - Press Release
Submit a Comment on S7-10-21
Federal Register version (86 FR 49067)
34-92777 2021-85 Order Determining Whistleblower Award Claim
34-92778 2021-86 Order Determining Whistleblower Award Claim
34-92780 2021-87 Order Determining Whistleblower Award Claim
33-10968, 34-92783 265-28 Investor Advisory Committee Meeting
View Received Comments
Submit a Comment on 265-28
Federal Register version (86 FR 49067)
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