Other Orders and Notices
- Investor Advisory Committee Meeting
Nov 15, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Nov 12, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Nov 10, 2021 | 8:00 EST
- Financial Industry Regulatory Authority, Inc.
Nov 2, 2021 | 8:00 EST
- Order Regarding Net Capital Computation for Goldman Sachs Financial Markets, L.P.
Oct 29, 2021 | 8:00 EST
- Order Regarding Net Capital Computation for Nomura Global Financial Products Inc.
Oct 29, 2021 | 8:00 EST
- Order Regarding Initial Margin Computation for Goldman Sachs & Co. LLC
Oct 29, 2021 | 8:00 EST
- Order Regarding Net Capital and Initial Margin Computations for Jefferies Financial Services, Inc.
Oct 29, 2021 | 8:00 EST
- Order Regarding Initial Margin Computation for Citigroup Global Markets Inc.
Oct 29, 2021 | 8:00 EST
- Order Regarding Initial Margin Computation for Goldman Sachs Financial Markets, L.P.
Oct 29, 2021 | 8:00 EST
- Order Regarding Initial Margin Computation for Nomura Global Financial Products Inc.
Oct 29, 2021 | 8:00 EST
- Order Regarding Net Capital and Initial Margin Computations for Morgan Stanley Capital Services LLC
Oct 29, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 29, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 28, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 28, 2021 | 8:00 EST
- System of Records
Oct 27, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 25, 2021 | 8:00 EST
- SEC Small Business Capital Formation Advisory Committee: Notice of Meeting
Oct 22, 2021 | 8:00 EST
- 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
Oct 22, 2021 | 8:00 EST
- 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
Oct 22, 2021 | 8:00 EST
- Public Availability of the Securities and Exchange Commission's FY2019 Service Contract Inventory
Oct 21, 2021 | 8:00 EST
- Asset Management Advisory Committee
Oct 20, 2021 | 8:00 EST
- Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15b(C)(3) of the Securities Exchange Act of 1934
Oct 20, 2021 | 8:00 EST
- Asset Management Advisory Committee
Oct 19, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 18, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 15, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 15, 2021 | 8:00 EST
- 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
Oct 14, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 12, 2021 | 8:00 EST
- 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
Oct 8, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 8, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 8, 2021 | 8:00 EST
- Regulatory Flexibility Agenda
Oct 5, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Oct 1, 2021 | 8:00 EST
- Request for Comment on Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
Sep 30, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 28, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 28, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 24, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 20, 2021 | 8:00 EST
- In the Matter of Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data: Order Denying Stay
Sep 17, 2021 | 8:00 EST
- Order Approving The Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2021
Sep 17, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 17, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 16, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 16, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 15, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 14, 2021 | 8:00 EST
- Asset Management Advisory Committee
Sep 13, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 10, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Sep 10, 2021 | 8:00 EST
- SEC Small Business Capital Formation Advisory Committee: Notice of Meeting
Sep 2, 2021 | 8:00 EST
- Investor Advisory Committee Meeting
Aug 27, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 27, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 27, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 27, 2021 | 8:00 EST
- 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
Aug 27, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 26, 2021 | 8:00 EST
- Order Making Fiscal Year 2022 Annual Adjustments to Registration Fee Rates
Aug 23, 2021 | 8:00 EST
- Notice of Substituted Compliance Application Submitted by the Spanish Financial Conduct Authority in Connection with Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain; Proposed Order
Aug 20, 2021 | 8:00 EST
- Order Granting Exemption from Section 16 of the Securities Exchange Act of 1934 for PG&E Fire Victim Trust
Aug 20, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 19, 2021 | 8:00 EST
- Notice of Application for the Amendment of Substituted Compliance Determination Regarding Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Amendments to Order
Aug 12, 2021 | 8:00 EST
- Notice of Substituted Compliance Application Submitted by UBS AG and Credit Suisse AG in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation; Proposed Order
Aug 10, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 10, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 10, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 10, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 6, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 6, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 2, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Aug 2, 2021 | 8:00 EST
- Notice Of Intention To Cancel Registration Of Certain Municipal Advisors Pursuant To Section 15b(c)(3) Of The Securities Exchange Act Of 1934
Jul 30, 2021 | 8:00 EST
- 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 United Kingdom
Jul 30, 2021 | 8:00 EST
- 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 French Republic
Jul 23, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jul 21, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jul 16, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jul 15, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jul 15, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jul 15, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jul 12, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jul 9, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jul 9, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jul 9, 2021 | 8:00 EST
- Public Availability of the Securities and Exchange Commission's FY2018 Service Contract Inventory
Jul 7, 2021 | 8:00 EST
- Credit Risk Retention-Notification of Extension of Review Period
Jul 6, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 24, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 24, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 24, 2021 | 8:00 EST
- FINRA OTC Reporting Facility
Jun 21, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 21, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 21, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 21, 2021 | 8:00 EST
- Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940
Jun 17, 2021 | 8:00 EST
- ICE Trade Vault, LLC
Jun 16, 2021 | 8:00 EST
- Asset Management Advisory Committee
Jun 15, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 14, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 14, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 3, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 3, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 3, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 3, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jun 2, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Ma 28, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Ma 28, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Ma 27, 2021 | 8:00 EST
- Investor Advisory Committee Meeting
Ma 26, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Ma 19, 2021 | 8:00 EST
- Regulatory Flexibility Agenda
Ma 17, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Ma 17, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Ma 17, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Ma 14, 2021 | 8:00 EST
- Order Granting Application by Nasdaq PHLX LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act from the Rule Filing Requirements of Section 19(b) of the Exchange Act with Respect to Certain Rules Incorporated by Reference
Ma 12, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Ma 12, 2021 | 8:00 EST
- Performance Based Investment Advisory Fees
Ma 10, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Ma 10, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Ma 10, 2021 | 8:00 EST
- DTCC Data Repository (U.S.), LLC
Ma 7, 2021 | 8:00 EST
- Baomap Advisors Limited, et al.
Ma 4, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Apr 23, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Apr 23, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Apr 23, 2021 | 8:00 EST
- SEC Small Business Capital Formation Advisory Committee: Notice of Meeting
Apr 16, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Apr 16, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Apr 15, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Apr 9, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Apr 9, 2021 | 8:00 EST
- Cboe BZX Exchange, Inc.
Apr 7, 2021 | 8:00 EST
- Cboe BZX Exchange, Inc.
Apr 7, 2021 | 8:00 EST
- Baomap Advisors Limited, et al.
Apr 6, 2021 | 8:00 EST
- Reopening of Comment Period for Order Proposing 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 French Republic
Apr 5, 2021 | 8:00 EST
- Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection with Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order
Apr 5, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Mar 29, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Mar 29, 2021 | 8:00 EST
- Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
Mar 26, 2021 | 8:00 EST
- Securities Investor Protection Corporation
Mar 26, 2021 | 8:00 EST
- In the Matter of Market Data Infrastructure: Order Denying Stay
Mar 24, 2021 | 8:00 EST
- Amendment to Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2021
Mar 19, 2021 | 8:00 EST
- List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Mar 17, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Mar 16, 2021 | 8:00 EST
- ICE Trade Vault, LLC
Mar 16, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Mar 9, 2021 | 8:00 EST
- BWM Advisory LLC
Mar 9, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Mar 4, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Mar 1, 2021 | 8:00 EST
- Asset Management Advisory Committee
Feb 26, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Feb 25, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Feb 25, 2021 | 8:00 EST
- Strategic Options, LLC
Feb 24, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Feb 23, 2021 | 8:00 EST
- Atlantis Asset Management International Corp., et al.
Feb 22, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Feb 19, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Feb 19, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Feb 19, 2021 | 8:00 EST
- Investor Advisory Committee Meeting
Feb 17, 2021 | 8:00 EST
- Order Extending the Annual Reports Filing Deadline for Certain Smaller Broker-Dealers
Feb 12, 2021 | 8:00 EST
- OneChicago, LLC
Feb 11, 2021 | 8:00 EST
- OneChicago, LLC
Feb 11, 2021 | 8:00 EST
- DTCC Data Repository (U.S.), LLC
Feb 5, 2021 | 8:00 EST
- Request for Comment on Potential Money Market Fund Reform Measures in President’s Working Group Report
Feb 4, 2021 | 8:00 EST
- Order Regarding Review of FASB Accounting Support Fee for 2021 Under Section 109 of the Sarbanes-Oxley Act of 2002
Jan 28, 2021 | 8:00 EST
- Securities Investor Protection Corporation
Jan 27, 2021 | 8:00 EST
- Trevor Stewart Burton & Jacobsen Inc.
Jan 22, 2021 | 8:00 EST
- Order Making Fiscal Year 2021 Annual Adjustments to Transaction Fee Rates
Jan 15, 2021 | 8:00 EST
- Family Office Partners, Inc.
Jan 14, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jan 14, 2021 | 8:00 EST
- SEC Small Business Capital Formation Advisory Committee: Notice of Meeting
Jan 11, 2021 | 8:00 EST
- Adjustments to Civil Monetary Penalty Amounts
Jan 8, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jan 7, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jan 7, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jan 7, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Jan 7, 2021 | 8:00 EST