Other Commission Orders, Notices, and Information

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

Fourth Quarter |  Third Quarter |  Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-84891 Dec. 20, 2018 MIAX EMERALD, LLC (Findings, Opinion, and Order of the Commission )
File No.: 10-233
See Also: Notice: Release no. 34-84313; Form 1 Application and Exhibits
33-10592 Dec. 19, 2018 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2019
Other Release No.: 34-84877
33-10589 Dec. 19, 2018 Capital States Capital Markets, LLC (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)
33-10588 Dec. 18, 2018 Request for Comment on Earnings Releases and Quarterly Reports  (Conformed to Federal Register version)
Other Release No.: 34-84842
File No.: S7-26-18
Comments Due: March 21, 2019
Comments received are available for this proposal.
34-84709 Nov. 30, 2018 Long-Term Stock Exchange, Inc. (Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.: 10-234
Comments Due:  45 days from publication in the Federal Register
See Also: Form 1 Application and Exhibits
34-84689 Nov. 29, 2018 Order Regarding Alternative Net Capital Computation for BofAML Securities, Inc.
33-10576 Nov. 21, 2018 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Other Release No.: 34-84640, 39-2523, IA-5067, IC-33298
File No.: S7-25-18
Comments Due: 30 days after publication in the Federal Register
Comments received are available.
34-84614 Nov. 16, 2018 BOX Exchange LLC (Order Granting Petition for Review and Scheduling Filing of Statements)
File No.: SR-BOX-2018-24
See also: Notice: Rel. No. 83728, Suspension of Order: Rel. No. 84168
33-10573 Nov. 9, 2018 Investor Advisory Committee Meeting (Notice of Meeting on Thursday, December 13, 2018)
Other Release No.: 34-84574
File No.: 265-28
34-84506 Oct. 30, 2018 Order Determining Whistleblower Award Claim
File No.: 2019-1
34-84503 Oct. 30, 2018 Order Determining Whistleblower Award Claim
File No.: 2019-2
34-84497 Oct. 29, 2018 Order Lifting the Automatic Stay of the Order Denying Applications by New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and NYSE National, Inc., Respectively, for Confidential Treatment Pursuant to Rule 24b-2 under the Exchange Act for Material Filed Pursuant to Rule 6a-2 under the Exchange Act
See Also: 34-83760
33-10568 Oct. 17, 2018 Investor Advisory Committee Meeting (Notice of Meeting on Wednesday, November 7, 2018)
Other Release No.: 34-84441
File No.: 265-28
34-84440 Oct. 16, 2018 Order concerning Hurricane Michael (Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder;
Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder)
Other Release No.: IC-33272
34-84370 Oct. 4, 2018 Corrected Order Scheduling Filing of Statements on Review In the Matter of NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (File No. SR-NYSEArca-2018-02)
34-84369 Oct. 4, 2018 Corrected Order Scheduling Filing of Statements on Review In the Matter of NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change to List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF (File No. SR-NYSEArca-2017-139)
34-84368 Oct. 4, 2018 Corrected 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 List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF (File No. SR-CboeBZX-2018-001)
34-84356 Oct. 4, 2018 Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Monday, October 29)
File No.: 265-30
Comments Due:  October 24, 2018
Third Quarter
34-84313 Sep. 28, 2018 MIAX EMERALD, LLC (Notice of Filing of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
File No.: 10-233
Comments Due:  November 19, 2018
See Also: Form 1 Application and Exhibits; Order: Release No. 34-84891
33-10563 Sep. 28, 2018 Walgreens Boots Alliance, Inc.
Other Release No.: 34-84307
34-84270 Sep. 24, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-13
34-84270 Sep. 24, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-13
34-84210 Sep. 19, 2018 Order concerning Hurricane Florence (Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder;
Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder)
Other Release No.: IC-33240
34-84125 Sep. 14, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-12
34-84046 Sep. 6, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-11
33-10538 Aug. 24, 2018 Order Making Fiscal Year 2019 Annual Adjustments to Registration Fee Rates
Other Release No.: 34-83935
33-10531 Aug. 17, 2018 Investor Advisory Committee Meeting (Notice of Meeting on Thursday, September 13, 2018)
Other Release No.: 34-83874
File No.: 265-28
34-83856 Aug. 15, 2018 Financial Industry Regulatory Authority, Inc. (Order Granting Petition for Review and Scheduling Filing of Statements)
File No.: SR-FINRA-2010-056
See also:   Statement of Support; Order: Rel. No. 34-63933; Notice: Rel No. 34-63316
33-10527 Aug. 9, 2018 Regulatory Flexibility Agenda
Other Release Nos.: 34-83787, IA-4978, IC-33194
File No.: S7-20-18
Comments Due:  30 days after publication in the Federal Register
Comments received are available.
34-83760 Aug. 3, 2018 Order Denying Applications by New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and NYSE National, Inc., Respectively, for Confidential Treatment Pursuant to Rule 24b-2 under the Exchange Act for Material Filed Pursuant to Rule 6a-2 under the Exchange Act
See Also: 34-84497
34-83723 Jul. 26, 2018 Bats BZX Exchange, Inc.; Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of the Winklevoss Bitcoin Trust
File No.: SR-BatsBZX-2016-30
34-83689 Jul. 23, 2018 Order Determining Whistleblower Award Claim
File No.: 2018-10
Second Quarter
34-83475 Jun. 20, 2018 Fixed Income Market Structure Advisory Committee Meeting (Notice of Meeting - Monday, July 16)
File No.: 265-30
Comments Due:  July 11, 2018
34-83463 Jun. 19, 2018 Draft 2018–2022 Strategic Plan for Securities and Exchange Commission 
Comments Due: 30 days from publication in the Federal Register
Comments received are available for this proposal.
*  Submit comments on Draft Strategic Plan
33-10505 Jun. 5, 2018 Request for Comments on the Processing Fees Charged by Intermediaries For Distributing Materials Other Than Proxy Materials to Fund Investors 
Other Release Nos.: 34-83379; IC-33114
File No.: S7-13-18
Comments Due: October 31, 2018
Comments received are available for this proposal.
34-83378 Jun. 5, 2018 Order Affirming Action by Delegated Authority Approving SR-NYSE-2016-55 and Discontinuing Stay
See also: Orders and Notices for SR-NYSE-2016-55
33-10503 Jun. 5, 2018 Request for Comment on Fund Retail Investor Experience and Disclosure 
Other Release Nos.: 34-83376; IC-33113
File No.: S7-12-18
See also: Fund Disclosure Feedback Flier
Comments Due: October 31, 2018
Comments received are available for this proposal.
34-83361 Jun. 1, 2018 Order Cancelling Registrations of Certain Transfer Agents
File Nos.: 084-06306, 084-06171, 084-06327, 084-06440, 084-06173, 084-06204, 084-01911, 084-06197, 084-05425, 084-06274, 084-6193, 084-06084, 084-06174, 084-06228, 084-06208, 084-05445, 084-01822, 084-06113, 084-01123, 084-01425, 084-05831, 084-06046, 084-06094, 084-06257, 084-06122, 084-06518, 084-06268, 084-05621, 084-06500, 084-06360, 084-05819, 084-6121, 084-01300, 084-06293, 084-05663, 084-00012, 084-06246
33-10499 May 23, 2018 Investor Advisory Committee Meeting (Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee - Thursday, June 14, 2018)
Other Release No.: 34-83308
File No.: 265-28
Comments Due:  June 14, 2018
Comments received are available.
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
Comments received are available.
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

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