Documents

Matria Healthcare, Inc.: No Action, Interpretive and/or Exemptive Letter of February 10, 2005

Agency decision · Agency decision

periods for Holdings Common Stock pursuant to Rule 144(d) under the Securities Act. … Air, Inc. (Available July 1, 1982); The Limited Stores, Inc. (available May 12, 1982); and Anheuser Busch, Incorporated (available April 16, 1979).

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Adopting FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook

Federal Register · Notice · Feb 2, 2011

retention period under the FINRA Rules or applicable Exchange Act rules. … there is no retention period specified under Exchange Act rules. 28  SIFMA. 29  CAI.

Conformed to Federal Register version

Agency decision · Agency decision

ACTION: Proposed rule; reopening of comment period. … Reopening of the comment period The Commission is reopening the comment period for the proposed rules so that commenters may consider whether there would be any effects of the Related Proposals that the

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E

Federal Register · Notice · Nov 29, 2019

and superseded the proposed rule change as originally filed. 4 On October 10, 2019, pursuant to Section 19(b)(2) of the Exchange Act, 5 the Commission designated a longer period within which … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Rule 11.25 To Permit Mid-Point Peg Orders Entered as Periodic Auction Eligible Orders To Contain an Instruction To Not Execute in a Locked Market

Federal Register · Notice · Feb 21, 2023

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Related to the 2x Long VIX Futures ETF and the -1x Short VIX Futures ETF

Federal Register · Notice · Aug 12, 2025

On June 16, 2025, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute … The Commission is publishing this order to solicit comments on the proposed rule change from interested persons and to institute proceedings under Section 19(b)(2)(B) of the Act  6 to determine whether

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility to Coincide with the Pilot Period for the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS

Federal Register · Notice · Oct 29, 2015

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 6.65A(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility To Coincide With the Pilot Period for the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS

Federal Register · Notice · Oct 29, 2015

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Rule 4120

Federal Register · Notice · Feb 7, 2013

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

PCAOB-2024-06, PCAOB-2024-07) January 14, 2025 Public Company Accounting Oversight Board; Extension of Comment Period and Notice of Designation of Longer Period for Commission Action on Proposed Rules … To accommodate the longer comment periods and consideration of such comments, the Commission finds it appropriate to also extend the time periods within which the Commission must take action on the proposed

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Longer Period for Listed Companies To Regain Compliance With Its $50 Million Market Capitalization/Stockholders' Equity and $1.00 Price Continued Listing Requirements by Tolling the Compliance Periods Through and Including June 30, 2020

Federal Register · Notice · Apr 27, 2020

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount

Federal Register · Notice · Jun 16, 2021

On December 30, 2020, the Commission published a notice designating a longer period of time for Commission action and a longer period for public comment on the Proposed Rule Change. … These comments generally relate to the proposal's impact on competition and its consistency with the Exchange Act.

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Voluntary Delistings by Listed Companies

Federal Register · Notice · Jul 27, 1999

(``NYSE'' or ``Exchange'') submitted to the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder … Waiting Period After Shareholder Notification At one end of the spectrum, five commenters stated that the proposed 45 to 60 day waiting period would be insufficient, in certain circumstances, to

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Apr 26, 2010

Period End 04/27/98 Second NPRM 03/08/99 64 FR 11124 Second NPRM Comment Period End 04/07/99 Second NPRM Comment Period Extended … Period End 04/12/04 NPRM Comment Period Extended 03/04/05 70 FR 10521 NPRM Comment Period End 04/04/05 Next Action Undetermined Regulatory Flexibility Analysis

Short Selling in Connection With a Public Offering

Federal Register · Proposed Rule · Dec 13, 2006

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Nancy M. … Exchange Act Release No. 26028 (Aug. 31, 1988), 53 FR 33455 (Aug. 31, 1988). The Commission proposed the rule for public comment in 1987.

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 1 and 2 Thereto Relating to Shareholder Approval of Stock Option Plans

Federal Register · Notice · Jun 11, 1999

Commission extended the comment period until January 25, 1999.\5\ The Commission received 19 comments on the proposal in response to both the regular and extended comment periods.\6\ On March 12, 1999, … Katz, Secretary, SEC, dated November 20, 1998 (``CII Comment Period Extension Request''). As originally noticed, the comment period expired on December 10, 1998.

Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps

Federal Register · Proposed Rule · May 23, 2013

ACTION: Reopening of comment periods. … The comment periods for the following actions are being reopened until July 22, 2013:  19 19  The comment periods for the Entity Definitions Rules, the Clearing Procedures Rules, the Product

Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV

Federal Register · Proposed Rule · Apr 17, 2000

Comments also may be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. … Thus, the current brochure that the adviser offers clients annually would be a “clean” document that incorporates the text from all existing stickers. We request comment on this proposal.

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jan 12, 2018

Timetable:   Action Date FR Cite NPRM 06/27/16 81 FR 41652 NPRM Comment Period End 08/26/16 NPRM Comment Period Extended 08/26/16 81 FR 58877 NPRM Comment … Timetable:   Action Date FR Cite NPRM 08/04/16 81 FR 51607 NPRM Comment Period Extended 09/29/16 81 FR 66898 NPRM Comment Period End 10/03/16 NPRM Comment

Insider Trades During Pension Fund Blackout Periods

Federal Register · Rule · Jan 28, 2003

Several commenters opposed expanding the definition of the term “blackout period” to encompass periods of three business days or less. … consistent with the rules under Section 306(b) of the Act adopted by the Department of Labor (the “DOL Rules”), so that issuers are not subject to different blackout period rules. 93 Two commenters