SEC Commission Orders and Notices
Summary
The SEC has published various commission orders and notices for March 2026, including applications for registration as a clearing agency, adjustments to transaction fee rates, and whistleblower award claims. These notices provide information on ongoing regulatory processes and decisions.
What changed
The Securities and Exchange Commission (SEC) has issued a series of notices and orders related to its regulatory activities in March 2026. These include a notice of filing for an amendment to an application for registration as a clearing agency by Paxos Securities Settlement Company, LLC, and an order granting registration to ICE Clear Credit LLC as a clearing agency. Additionally, the SEC published an order making fiscal year 2026 annual adjustments to transaction fee rates and orders determining whistleblower award claims. Other notices cover applications for exemption and waivers from disqualification provisions.
Regulated entities, particularly those involved in clearing and settlement operations, should review these notices for any potential impact on their operations or compliance obligations. For the Paxos application and the Fixed Income Clearing Corporation/Chicago Mercantile Exchange Inc. exemption, comments are due within 21 days of publication in the Federal Register or by March 5, 2026, respectively. While most of these are informational, entities should be aware of the ongoing processes and decisions impacting the securities market infrastructure.
What to do next
- Review SEC notices and orders for potential impact on operations.
- Submit comments by the specified deadlines for relevant applications and exemptions.
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Other Commission Orders, Notices, and Information
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| Release Number | Issue Date | File Number | Details |
| --- | --- | --- | --- |
| 34-104977 |
March 11, 2026
| 600-39 | Notice of Filing of an Amendment to Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Comments Due: 21 days after publication in the Federal Register.
View Received Comments
See Also - Form CA-1 Application and Exhibits
Submit a Comment on 600-39 |
| 33-11410, 34-104943 |
March 6, 2026
| | Order Regarding Review of FASB Accounting Support Fee for 2026 Under Section 109 of the Sarbanes-Oxley Act of 2002 |
| 34-104909 |
Feb. 27, 2026
| | Order Making Fiscal Year 2026 Annual Adjustments to Transaction Fee Rates |
| 34-104896 |
Feb. 26, 2026
| 2026-5 | Order Determining Whistleblower Award Claim |
| 34-104895 |
Feb. 26, 2026
| 2026-4 | Order Determining Whistleblower Award Claim |
| 34-104846 |
Feb. 13, 2026
| | Order Granting Petition for Review and Scheduling Filing of Statements (File No. SR-OCC-2025-018) |
| 34-104762 |
Jan. 30, 2026
| 600-45 | ICE Clear Credit LLC; Order Granting an Application for Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934
View Received Comments |
| 34-104757 |
Jan. 30, 2026
| 600-39 | Paxos Securities Settlement Company, 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 Clearing Agency under Section 17A of the Securities...
Comments Due: 21 days after publication in the Federal Register.
View Received Comments
Submit a Comment on 600-39 |
| 34-104748 |
Jan. 30, 2026
| S7-2026-03 | Notice of an Application of the Fixed Income Clearing Corporation and Chicago Mercantile Exchange Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 in Connection with the Cross-Margining of U.S. Treasury Securities and Re
Comments Due: March 5, 2026
Submit a Comment on S7-2026-03 |
| 33-11405, 34-104698 |
Jan. 27, 2026
| | Archer-Daniels-Midland Company; 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... |
| 33-11404 |
Jan. 27, 2026
| | Archer-Daniels- Midland Company; Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer |
| 34-104678 |
Jan. 23, 2026
| | Order Regarding Initial Margin Computation for Nearwater Capital Markets, LTD |
| 33-11401, 34-104653 |
Jan. 22, 2026
| | Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Fiscal Year 2026 |
| 34-104616 |
Jan. 15, 2026
| 2026-3 | Order Determining Whistleblower Award Claim |
| 34-104615 |
Jan. 15, 2026
| 2026-2 | Order Determining Whistleblower Award Claim |
| 34-104614 |
Jan. 15, 2026
| 2026-1 | Order Determining Whistleblower Award Claim |
| SIPA-185 |
Jan. 14, 2026
| SIPC-2026-01 | Securities Investor Protection Corporation; Notice of Inflation Adjustment Determination
Comments Due: 15 days after date of publication in the Federal Register.
Submit a Comment on SIPC-2026-01 Federal Register version |
| 33-11399, 34-104555, IA-6936, IC-35865 |
Jan. 7, 2026
| S7-2026-02 | List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
Comments Due: 30 days after publication in the Federal Register
Submit a Comment on S7-2026-02 |
| 34-104540 |
Jan. 5, 2026
| | Order Granting Registration of Clasificadora de Riesgo Pacific Credit Rating S.A.C. as a Nationally Recognized Statistical Rating Organization |
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