Other Commission Orders, Notices, and Information

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

Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Second Quarter
34-83057 Apr. 17, 2018 Order Making Fiscal Year 2018 Annual Adjustments to Transaction Fee Rates
34-83037 Apr. 12, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-9
34-82996 Apr. 5, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-8
33-10476 Apr. 5, 2018 Order Regarding Review of FASB Accounting Support Fee for 2018 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-82997
IA-4873 Apr. 2, 2018 Order Granting Hearing on Cancellation and Scheduling Filing of Statements
See also: Notice, Rel. No. IA-4576
First Quarter
33-10475 Mar. 30, 2018 Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer
33-10474 Mar. 30, 2018 Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934
Other Release Nos.: 34-82971
34-82955 Mar. 27, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-7
34-82897 Mar. 19, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-6
34-82896 Mar. 16, 2018 Order Granting Motion for Extension of Time
File No.: SR-BatsBZX-2017-34
See also: Other Notices, Orders, and Additional Materials for SR-BatsBZX-2017-34
34-82884 Mar. 15, 2018 Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Monday, April 9, 2018)
File No.: 265-30
Comments Due:  April 9, 2018
33-10470 Mar. 14, 2018 Regulatory Flexibility Agenda
Other Release Nos.: 34-82869, IA-4869
File No.: S7-06-18
Comments Due:  30 days after publication in the Federal Register
IA-4867 Mar. 8, 2018 Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
33-10466 Mar. 8, 2018 Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Order Under Rule 506(d)(2)(ii) of ohe Securities Act of 1933 Granting A Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
33-10464 Mar. 6, 2018 Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
34-82807 Mar. 6, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-5
34-82794 Mar. 1, 2018 Bats BZX Exchange, Inc. (Order Granting Petitions for Review and Scheduling Filing of Statements)
File No.: SR-BatsBZX-2017-34
See also: Other Notices, Orders, and Additional Materials for SR-BatsBZX-2017-34
34-82787 Feb. 27, 2018 Order Granting an Extension of Time to File Audited Financial Statements of DBRS Ratings Limited in Accordance With Exchange Act Rule 17g-3(a)(1)
33-10456A Feb. 22, 2018 Investor Advisory Committee Meeting (Correction: Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - Thursday, March 8, 2018)
Other Release No.: 34-82656A
File No.: 265-28
See also: Meeting Notice
PA-54 Feb. 9, 2018 Systems of Records (Rescindment of System of Records Notice)
File No.: S7-02-18
PA-53 Feb. 9, 2018 Systems of Records (Notice of new and modified system of records)
File No.: S7-01-18
Comments Due:  30 days after publication in the Federal Register
33-10456 Feb. 7, 2018 Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - Thursday, March 8, 2018)
Other Release No.: 34-82656
File No.: 265-28
Comments Due:  March 8, 2018
Comments received are available.
See also: Meeting Notice Correction
33-10455 Feb. 5, 2018 Wedbush Securities Inc. (Order Under Rule 262(b)(2) and Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 262(a)(4)(ii) and Rule 506(d)(1)(iv)(B) Disqualification Provisions)
See also: Enforcement Order and Summary
IA-4849 Jan. 26, 2018 Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisors Act of 1940
34-82562 Jan. 22, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-4
33-10453 Jan. 10, 2018 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2018
Other Release No.: 34-82483
33-10451 Jan. 8, 2018 Adjustments to Civil Monetary Penalty Amounts
Other Release Nos.: 34-82455; IA-4842; IC-32963