Other Commission Orders, Notices, and Information

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

First Quarter

Additional Archives

Release No. Date Details
First Quarter
33-10034 Feb. 5, 2016 Advisory Committee on Small and Emerging Companies (Notice of Meeting)
Other Release No.: 34-77064
File No.:  265-27
Comments Due: February 23, 2016
33-10030 Feb. 2, 2016 Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Order Under Rules 262(b)(2), 405, 505(b)(2)(iii)(C), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 Granting Waivers of the Disqualification Provisions of Rules 262(a)(4)(ii), 505(b)(2)(iii), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Granting Waivers from Being Ineligible Issuers )
File Nos.: 3-17084; 3-17085; 3-17086; 3-17087; 3-17088; 3-17089; 3-17090; 3-17091; 3-17092; 3-17093; 3-17094; 3-17095; 3-17096 and 3-17097
See also: Orders, Release Nos. 33-10016, 33-10017, 33-10018, 33-10019, 33-10020, 33-10021, 33-10022, 33-10023, 33-10024, 33-10025, 33-10026, 33-10027, 33-10028, 33-10029
33-10012 Jan. 31, 2016 Barclays PLC and Barclays Bank PLC (Order Under Rule 405 of The Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
File No.: 3-17077
See also: Order, Release No. 33-10010
33-10011 Jan. 31, 2016 Barclays Capital Inc. (Order Under Rule 506(d) of The Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
File No.: 3-17077
See also: Order, Release No. 33-10010
34-76998 Jan. 29, 2016 ISE Mercury, LLC (In the Matter of the Application of ISE Mercury, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission)
File No.: 10-221
See also: Notice: Release No. 34-75884; Form 1 Application and Exhibits; Amendment No. 2
34-76921 Jan. 15, 2016 Order Determining Whistleblower Award Claim
File No.: 2016-2
34-76883 Jan. 13, 2016 Equity Market Structure Advisory Committee (Notice of Meeting)
File No.: 265-29
IA-4308 Jan. 8, 2016 Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
34-76848 Jan. 7, 2016 Order Making Fiscal Year 2016 Annual Adjustments to Transaction Fee Rates