Other Commission Orders, Notices, and Information

Archive of other 申博体育网址 Orders, Notices and Information available include:

Fourth Quarter |  Third Quarter |  Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-87544 Nov. 15, 2019 Order Determining Whistleblower Award Claims
File No.: 2020-1
34-87503 Nov. 12, 2019 NYSE Arca, Inc. (Order Scheduling Filing of Statements on Review for an Order of Disapproval of Proposed Rule Change to List and Trade the Shares of Bitwise Bitcoin ETF Trust)
File No.: SR-NYSEArca-2019-01
34-87482 Nov. 7, 2019 Fixed Income Market Structure Advisory Committee (Notice of Federal Advisory Committee Renewal)
File No.: 265-30
Federal Register version (84 FR 61670)
33-10727 Nov. 7, 2019 Morgan Stanley and Morgan Stanley Finance LLC
See also: Administrative Proceedings, 33-10726
33-10724 Nov. 4, 2019 申博体育网址 Small Business Capital Formation Advisory Committee (Notice of Meeting)
File No.: 265-32
34-87436 Oct. 31, 2019 MEMX LLC (Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.: 10-237
Comments Due:  December 23, 2019
See Also: Form 1 Application and Exhibits
34-87415 Oct. 29, 2019 Long-Term Stock Exchange, Inc.; Order Declaring Effective a Minor Rule Violation Plan
File No.: 4-753
See also: Notice Rel. No. 34-87021
33-10721 Oct. 24, 2019 Investor Advisory Committee Meeting (Thursday, November 7, 2019)
Other Release No.: 34-87398
File No.: 265-28
Comments Due:  November 7, 2019
34-87288 Oct. 11, 2019 Order Determining Whistleblower Award Claim
File No.: 2019-12
34-87260 Oct. 9, 2019 Fixed Income Market Structure Advisory Committee (Notice of Meeting)
File No.: 265-30
34-87256 Oct. 8, 2019 Asset Management Advisory Committee (Notice of Federal Advisory Committee Establishment)
File No.: 265-33
Third Quarter
33-10716 Sep. 30, 2019 Nebulous, Inc. (Order Under Rule 506(d)(2)(ii) and Rule 262(b)(2) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) and Rule 262(a)(5)(ii) Disqualification Provisions)
33-10713 Sep. 30, 2019 Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 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(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, RULE 503(a)(4)(ii) of Regulation Crowdfunding, and Granting a Waiver From Being an Ineligible Issuer)
33-10712 Sep. 30, 2019 Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (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(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Rule 503(a)(4)(ii) of Regulation Crowdfunding)
33-10711 Sep. 27, 2019 BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Other Release No.: IA-5379
33-10708 Sep. 27, 2019 Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
Other Release No.: IA-5378
34-87039 Sep. 20, 2019 Order Determining Whistleblower Award Claim
File No.: 2019-11
IA-5360 Sep. 20, 2019 Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-87021 Sep. 19, 2019 Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan
File No.: 4-753
See also: Order Rel. No. 34-87415; Exhibit A
33-10690 Sep. 17, 2019 Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
File No.: 3-19464
Other Release Nos.: 34-86986, IA-5353
33-10685 Sep. 16, 2019 Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
Other Release No.: IA-5347
34-86902 Sep. 9, 2019 Order Determining Whistleblower Award Claim
File No.: 2019-10
34-86803 Aug. 29, 2019 Order Determining Whistleblower Award Claim
File No.: 2019-9
33-10676 Aug. 28, 2019 Investor Advisory Committee Meeting (Thursday, September 19, 2019 )
Other Release No.: 34-86785
File No.: 265-28
Comments Due:  September 19, 2019
33-10675 Aug. 23, 2019 Order Making Fiscal Year 2020 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-86750
33- 10674 Aug. 23, 2019 Regulatory Flexibility Agenda
Other Release Nos.: 34-86748, IA-5328, IC-33607
File No.: S7-12-19
Comments Due:  30 days after publication in the Federal Register
33-10670 Aug. 12, 2019 Investor Advisory Committee Meeting (Thursday, September 5, 2019)
Other Release No.: 34-86628
File No.: 265-28
IA-5317 Aug. 12, 2019 Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
IA-5315 Aug. 5, 2019 Order Granting Registration Pursuant to Section 203(c) of the Investment Advisers Act of 1940
File No.: 801-117067
33-10666 Aug. 2, 2019 Small Business Capital Formation Advisory Committee Meeting (Notice of Meeting - Tuesday, August 13, 2019)
File No.: 265-32
Other Release No.: 34-86552
Comments Due:  August 12, 2019
34-86431 Jul. 23, 2019 Order Determining Whistleblower Award Claim
File No.: 2019-8
33-10660 Jul. 3, 2019 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release Nos..: 34-86302, 39-2527, IA-5284, IC-33543
File No.: S7-10-19
Comments Due: 30 days after publication in the Federal Register
Comments received are available.
33-10658 Jul. 3, 2019 Investor Advisory Committee Meeting (Thursday, July 25, 2019)
Other Release No.: 34-86289
File No.: 265-28
34-86253 Jul. 1, 2019 Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Monday, July 29, 2019 )
File No.: 265-30
Comments Due:  July 24, 2019
Second Quarter
33-10646 Jun. 13, 2019 Certain Existing Funds affiliated with Och-Ziff Capital Management Group LLC and OZ Management LP; Corrected Order Under Rule 506(d)(2)(ii) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iv)(B) And (v) Of Regulation D Disqualification Provisions
33-10644 Jun. 4, 2019 Deer Park Road Management Company, LP; Order Under Rule 506(d)(2)(ii) of the Securities Act Of 1933 Granting A Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision
34-86010 Jun. 3, 2019 Order Determining Whistleblower Award Claim
File No.: 2019-7
34-85936 May 24, 2019 Order Determining Whistleblower Award Claim
File No.: 2019-6
34-85906 May 21, 2019 Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks
File No.:S7-05-18
34-85895 May 20, 2019 Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Tuesday, June 11, 2019 )
File No.: 265-30
Comments Due:  June 6, 2019
34-85843 May 10, 2019 Merril Lynch, Pierce, Fenner & Smith Incorporated; Order Granting Accelerated Effectiveness of Notice Regarding Change of Method For Computing Deductions For Market and Credit Risk
34-85828 May 10, 2019 Long Term Stock Exchange, Inc. (Findings, Opinion, and Order of the Commission)
File No.: 10-234
See Also: Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
34-85793 May 7, 2019 Order Determining Whistleblower Award Claim
File No.: 2019-5
33-10634 Apr. 25, 2019 Small Business Capital Formation Advisory Committee Meeting (Notice of Meeting - Monday, May 6, 2019)
File No.: 265-32
Other Release No.: 34-85721
Comments Due:  May 6, 2019
34-85682 Apr. 17, 2019 Order Scheduling Filing of Statements on Review In the Matter of Cboe BZX Exchange, Inc. For an Order of Disapproval of Proposed Rule Change to Amend BZX Rule 14.11(c), Index Fund Shares (File No. SR-CboeBZX-2018-044)
34-85538 Apr. 8, 2019 Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) Of the Securities Exchange Act of 1934
First Quarter
34-85447 Mar. 28, 2019 Order Issuing Stay (In the Matter of Rule 610T of Regulation NMS)
File No.: 3-19124
See also: Final Rule (File No. S7-05-18): Release No. 34-84875
34-85412 Mar. 26, 2019 Order Determining Whistleblower Award Claim
File No.: 2019-4
33-10621 Mar. 25, 2019 Order Regarding Review of FASB Accounting Support Fee for 2019 under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-85402
33-10620 Mar. 22, 2019 Regulatory Flexibility Agenda
Other Release Nos.: 34-85401, IA-5207, IC-33428
File No.: S7-04-19
Comments Due:  30 days after publication in the Federal Register
Comments received are available.
34-85383 Mar. 21, 2019 Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Monday, April 15)
File No.: 265-30
Comments Due:  April 10, 2019
33-10616 Mar. 20, 2019 Wells Fargo Services, LLC (Order Under Rule 506(d)(2)(ii) and Rule 262(b)(2)of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) and Rule 262(a)(2) Disqualification Provisions)
34-85287 Mar. 11, 2019 Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates
33-10613 Mar. 11, 2019 Deutsche Bank Securities, Inc., RBC Capital Markets, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC (Order Under Rules 262(B)(2), 405, 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(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers)
File Nos.: 3-19100, 3-19101, 3-19102
33-10612 Mar. 11, 2019 Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 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(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers)
File Nos.: 3-19026, 3-19027, 3-19028, 3-19029, 3-19030, 3-19031, 3-19032, 3-19033, 3-19034, 3-19035, 3-19036, 3-19037, 3-19038, 3-19039, 3-19040, 3-19041, 3-19042, 3-19043, 3-19044, 3-19045, 3-19046, 3-19047, 3-19048, 3-19049, 3-19050, 3-19051, 3-19052, 3-19053, 3-19054, 3-19055, 3-19056, 3-19057, 3-19058, 3-19059, 3-19060, 3-19061, 3-19062, 3-19063, 3-19064, 3-19065, 3-19066, 3-19067, 3-19068, 3-19069, 3-19070, 3-19071, 3-19072, 3-19073, 3-19074, 3-19075, 3-19076, 3-19077, 3-19078, 3-19079, 3-19080, 3-19081, 3-19082, 3-19083, 3-19084, 3-19085, 3-19086, 3-19087, 3-19088, 3-19089, 3-19090, 3-19091, 3-19092, 3-19093, 3-19094, 3-19095, 3-19096, 3-19097, 3-19098, 3-19099, 3-19100, 3-19101, 3-19102
33-10611 Mar. 8, 2019 Investor Advisory Committee Meeting (Thursday, March 28, 2019)
Other Release No.: 34-85271
File No.: 265-28
34-85273 Mar. 8, 2019 Order Determining Whistleblower Award Claim
File No.: 2019-3
34-85227 Mar. 1, 2019 Notice of Intent to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
34-85174 Feb. 22, 2019 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
33-10604 Feb. 13, 2019 Adjustments to Civil Monetary Penalty Amounts
Release Nos.: 33-10604; 34-85118 ; IA-5111; IC-33373
34-84985 Jan. 15, 2019 Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting Cancellation - Monday, January 28)
File No.: 265-30