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Other Commission Orders, Notices, and Information
Archive of older SEC Commission Orders, Notices and Information available include:
First Quarter
Additional Archives
2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
| Release No. |
Date |
Details |
| First Quarter |
| 34-61698 |
Mar. 12, 2010 |
In the Matter of the Applications of EDGX Exchange, Inc., and EDGA Exchange, Inc. for Registration as National Securities Exchanges (Findings, Opinion, and Order of the Commission)
File Nos.: 10-194 and 10-196
See also: EDGX Amendment No. 2 and EDGA Amendment No. 2
|
| 34-61662 |
Mar. 5, 2010 |
ICE Trust U.S. LLC (Order Extending Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request of ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments)
File No.: S7-05-09
Comments received are available.
Submit comments on S7-05-09
See also: ICE Request Letter
|
| 34-61651 |
Mar. 5, 2010 |
Policy Statement on Obtaining and Retaining Beneficial Ownership Information for Anti-Money Laundering Purposes
See also: Joint Release - Guidance on Obtaining and Retaining Beneficial Ownership Information
|
| 34-61605 |
Mar. 1, 2010 |
Order Making Fiscal Year 2010 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
|
| PA-41 |
Feb. 25, 2010 |
Privacy Act of 1974: Systems of Records
File No.: S7-05-10
Comments Due: April 5, 2010
 Submit comments on S7-05-10
Federal Register version
|
| 33-9109 |
Feb. 24, 2010 |
Commission Statement in Support of Convergence and Global Accounting Standards
Other Release No.: 34-61578
Federal Register version
|
| 33-9105 |
Feb. 2, 2010 |
Order Regarding Review of FASB Accounting Support Fee for 2010 Under Section 109 of the Sarbanes-Oxley Act of 2002
Other Release No.: 34-61468
|
| 33-9104 |
Feb. 2, 2010 |
Notice of Meeting of SEC Investor Advisory Committee
Other Release No.: 34-61462
File No.: 265-25-03
Comments Due: February 16, 2010
Comments received are available.
Submit comments on 265-25-03
|
| 33-9103 |
Jan. 27, 2010 |
TD Ameritrade, Inc. (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 No.: 34-61428
File No.: 3-13557
|
| 34-61400 |
Jan. 22, 2010 |
BATS Y-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.: 10-198
Comments Due: 45 days after publication in the Federal Register
See also: Form 1 Application and Exhibits
Submit comments on 10-198
|
| 34-61366 |
Jan. 15, 2010 |
Full Value Advisors, LLC (Stay Order)
See also: Order Denying Application for Exemption
|
| 34-61328 |
Jan. 11, 2010 |
Full Value Advisors, LLC (Order Pursuant to Sections 13(f)(3) and 13(f)(4) of the Securities Exchange Act of 1934 Denying Requests for Confidential Treatment of Information Required to be Filed Pursuant to Section 13(f)(1) of the Securities Echange Act of 1934)
|
| 34-61327 |
Jan. 11, 2010 |
Full Value Advisors, LLC (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Securities Exchange Act of 1934)
See also: Stay Order
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http://www.sec.gov/rules/other.shtml
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