Other Commission Orders, Notices, and Information

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

Release Number SEC Issue Date File Number Details
34-102987 2025-27 Order Determining Whistleblower Award Claim
34-102901 2025-26 Order Determining Whistleblower Award Claim
34-102896 2025-25 Order Determining Whistleblower Claim Award
34-102889 600-44 CME Securities Clearing, Inc.; Order Instituting Proceedings to Determine Whether to Grant or Deny an Application for Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934
Comments Due: May 15, 2025
View Received Comments
34-102886 S7-35-10 Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) and Security-Based Swap Data Repository Rules; Extension
File Nos.: S7-34-10, S7-35-10 View Received Comments
Federal Register version
34-102886 S7-34-10 Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) and Security-Based Swap Data Repository Rules; Extension
File Nos.: S7-34-10, S7-35-10 View Received Comments
Federal Register version
33-11374 Aegon Ltd..: Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer
34-102853 10-244 Green Impact Exchange, LLC; Findings, Opinion, and Order of the Commission
View Received Comments
34-102806 2025-24 Order Determining Whistleblower Award Claim
34-102779 Order Making Fiscal Year 2025 Annual Adjustments to Transaction Fee Rates
34-102773 10-249 Texas Stock Exchange 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
View Received Comments
See Also - Form 1 Application and Exhibits
34-102770 2025-23 Order Determining Whistleblower Award Claim
34-102762 2025-22 Order Determining Whistleblower Award Claim
34-102746 2025-21 Order Determining Whistleblower Award Claim
34-102717 2025-20 Order Determining Whistleblower Award Claim
34-102650 10-247 In the Matter of the Application of MX2 LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
Comments Due: January 31, 2025
View Received Comments
Submit a Comment on 10-247
34-102541 Notice of Designation of Entity to Maintain and Operate the Lost and Stolen Securities Program
34-102535 10-244 Green Impact Exchange, LLC; Notice of Filing of Amendment No. 2 to an 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
34-102512 2025-19 Order Determining Whistleblower Award Claim
34-102484 010-00248 Dream Exchange Holdings, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934
Comments Due: April 17, 2025
See Also - Form 1 Application and Exhibits
34-102434 2025-17 Order Determining Whistleblower Award Claims
34-102433 2025-18 Order Determining Whistleblower Award Claim
34-102410 Order Granting Petition for Review and Scheduling Filing of Statements (File No. SR-NASDAQ-2024-016)
34-102339 2025-16 Order Determining Whistleblower Award Claim
34-102305 Order Granting Registration of Security-Based Swap Execution Facilities
34-102302 4-845 Self-Regulatory Organizations; MIAX Emerald, LLC; Order Declaring Effective a Minor Rule Violation Plan
View Received Comments
33-11360, 34-102235 Order Regarding Review of Financial Accounting Standards Board (“FASB”) Accounting Support Fee for 2025 Under Section 109 of the Sarbanes-Oxley Act of 2002
33-11360, 34-102235 Order Regarding Review of Financial Accounting Standards Board (“FASB”) Accounting Support Fee for 2025 Under Section 109 of the Sarbanes-Oxley Act of 2002
34-102232 2025-15 Order Determining Whistleblower Award Claim
34-102223 10-244 Green Impact Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange...
View Received Comments
34-102206 2025-14 Order Determining Whistleblower Award Claim
34-102200 600-44 CME Securities Clearing, Inc.; Notice of Filing of an Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: March 10, 2025
View Received Comments
See Also - Form CA-1 Application and Exhibits
34-102159 2025-13 Order Determining Whistleblower Award Claim
34-102158 2025-12 Order Determining Whistleblower Award Claim
33-11350, 34-102134, IA-6808, IC-35442 Adjustments to Civil Monetary Penalty Amounts
33-11350, 34-102134, IA-6808, IC-35442 Adjustments to Civil Monetary Penalty Amounts
33-11350, 34-102134, IA-6808, IC-35442 Adjustments to Civil Monetary Penalty Amounts
33-11350, 34-102134, IA-6808, IC-35442 Adjustments to Civil Monetary Penalty Amounts
34-102114 2025-11 Order Determining Whistleblower Award Claim
34-102023 2025-10 Order Determining Whistleblower Award Claim
34-101986 Omnibus Order Extending the Engagement of Two Tax Administrators for Appointment on a Case-By-Case Basis in Administrative Proceedings that Establish Distribution Funds
34-102004 2025-9 Order Determining Whistleblower Claim Award
33-11345, 34-101950 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2025
See Also - Press Release
33-11345, 34-101950 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2025
See Also - Press Release
34-101932 Amended and Restated 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 Compli
34-101915 2025-8 Order Determining Whistleblower Claim Award
34-101899 S7-30-22 Order Granting Partial Stay
View Received Comments
34-101884 10-247 MX2 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
Comments Due: January 31, 2025
View Received Comments
See Also - Form 1 Application and Exhibits
Submit a Comment on 10-247
34-101869 4-844 Order Declaring Effective a Minor Rule Violation Plan
Comments Due: 21 days after date of publication in the Federal Register.
Submit a Comment on 4-844
34-101866 SR-NYSEAMER-2024-63 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee (ORF)
Comments Due: by February 20, 2025. Rebuttal comments should be submitted by March 6, 2025.
See Also - Exhibit 5
Submit a Comment on SR-NYSEAMER-2024-63
34-101777 10-242 In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange, Findings, Opinion, and Order of the Commission
View Received Comments
33-11330, 34-101769, 39-2558 S7-2024-08 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 9, 2025
Federal Register version (89 FR 99175)
See Also - Staff Summaries of 2015 Rule Reviews
33-11330, 34-101769, 39-2558 S7-2024-08 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 9, 2025
Federal Register version (89 FR 99175)
See Also - Staff Summaries of 2015 Rule Reviews
33-11330, 34-101769, 39-2558 S7-2024-08 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: January 9, 2025
Federal Register version (89 FR 99175)
See Also - Staff Summaries of 2015 Rule Reviews
34-101759 4-845 Notice of Filing of Proposed Minor Rule Violation Plan
View Received Comments
34-101729 Notice pursuant to Rule 15c3-3a, Note H(b)(3)
Federal Register version
34-101721 2025-7 Order Determining Whistleblower Award Claim
34-101692 Order Granting FINRA’s Application for Relief From Certain Statutory Disqualification
34-101511 SBSDR-2023-01 Security-Based Swap Data Repositories; KOR Reporting, Inc.; Order Approving Application for Registration as a Security-Based Swap Data Repository
See Also - Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
34-101506 2025-6 Order Determining Whistleblower Award Claim
34-101451 2025-5 Order Determining Whistleblower Award Claim
34-101431 10-242 Notice of Filing of Amendment No. 2 to an 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
34-101397 10-244 Green Impact Exchange, LLC; 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
View Received Comments
33-11319, 34-101375, IC-35361 S7-2024-06 Regulatory Agenda; Semiannual Regulatory Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-2024-06
33-11319, 34-101375, IC-35361 S7-2024-06 Regulatory Agenda; Semiannual Regulatory Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-2024-06
33-11319, 34-101375, IC-35361 S7-2024-06 Regulatory Agenda; Semiannual Regulatory Agenda
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-2024-06
34-101351 2025-4 Order Determining Whistleblower Award Claim
34-101299 2025-3 Order Determining Whistleblower Award Claim
34-101280 2025-2 Order Determining Whistleblower Award Claim
34-101283 4-844 Notice of Filing of Proposed Minor Rule Violation Plan
Comments Due: 21 days after date of publication in the Federal Register.
Submit a Comment on 4-844
34-101222 2025-1 Order Determining Whistleblower Award Claim
34-101211 2024-39 Order Determining Whistleblower Award Claim
34-101207 Order Cancelling Registration of Municipal Advisor, Development & Public Finance, LLC, Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
33-11308 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(a)(4)(II), 506(d)(i)(IV)(b), And 602(c)(3) of the Securities
34-100884 10-242 24X National Exchange LLC; Notice of Designation of a Longer Period for Commission Action on 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
View Received Comments
34-100839 10-242 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: 21 days from publication in the Federal Register.
View Received Comments
See Also - Form 1 Application and Exhibits
34-100818 2024-38 Order Determining Whistleblower Award Claim
34-100815 Notice of Intention to Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
34-100812 2024-36 Order Determining Whistleblower Claim Award
34-100809 2024-37 Order Determining Whistleblower Award Claim
33-11299, 34-100784 Order Making Fiscal Year 2025 Annual Adjustments to Registration Fee Rates
33-11299, 34-100784 Order Making Fiscal Year 2025 Annual Adjustments to Registration Fee Rates
34-100771 2024-34 Order Determining Whistleblower Award Claim
34-100770 2024-35 Order Determining Whistleblower Award Claim
33-11298 Off-Channel Communications at Registered Entities
34-100725 Order Extending the Effective Date of the Form BDW of Monmouth Capital Management LLC
34-100648 2024-33 Order Determining Whistleblower Award Claim
34-100638 SBSDR-2023-01 KOR Reporting, Inc.; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
Comments Due: August 28, 2024
See Also - SDR Applications and Exhibits
34-100614 2024-32 Order Determining Whistleblower Award Claim
34-100605 2024-31 Order Determining Whistleblower Award Claim
34-100547 10-244 Green Impact 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
34-100543 2024-30 Order Determining Whistleblower Award Claim
34-100539 10-240 In the Matter of the Application of MIAX Sapphire, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
View Received Comments
See Also - Release No. 34-98746, Form 1 Application and Exhibits
34-100509 Availability of SEC Online Comment Form Option
34-100498 2024-29 Order Determining Whistleblower Award Claim
34-100393 2024-28 Order Determining Whistleblower Award Claim
34-100392 2024-27 Order Determining Whistleblower Award Claim
34-100385 2024-26 Order Determining Whistleblower Award Claim
34-100358 2024-25 Order Determining Whistleblower Award Claim
PA-62 S7-2024-04 Privacy Act of 1974: Systems of Records
Comments Due: 30 Days After Date Of Publication In The Federal Register
Submit a Comment on S7-2024-04
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