Documents

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend MIAX Options Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism

Federal Register · Notice · May 5, 2017

mechanisms, the Securities and Exchange Commission (“SEC”) concluded that reducing the time periods was consistent with the Securities Exchange Act of 1934 (the “Act”). 7 3  The term “Member … The Commission notes that CBOE's proposed rule change to amend its auction response period was published in the Federal Register on April 14, 2017 and is subject to a public comment period expiring

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Period

Federal Register · Notice · Sep 13, 2023

The commenter states that Nasdaq did not describe how it determined the 5% of activity during that period to exclude from its analysis. 97 For example, the commenter states that it is not clear whether … the Act.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Section 802.01C of the NYSE Listed Company Manual

Federal Register · Notice · Mar 20, 2026

the original proposed rule change in its entirety. 4 On January 28, 2026, pursuant to Section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to take action on … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Establish the “Midpoint Extended Life Order + Continuous Book” as a New Order Type

Federal Register · Notice · Sep 17, 2019

consistent with the Act. … period during which no comments were received.

Public Company Accounting Oversight Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying Implementation Schedule of Rule 3523, Tax Services for Persons in Financial Reporting Oversight Roles

Federal Register · Notice · Jun 2, 2008

of Title I of the Act. … rule-comments@sec.gov .

Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of a Proposed Rule Change Amending Rule 476A-Imposition of Fines for Minor Violations of Rules

Federal Register · Notice · Aug 26, 2009

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 e-mail to rule-comments

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations

Federal Register · Notice · Aug 11, 2026

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 ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide

Federal Register · Notice · Jan 5, 2022

DTC filed the proposed rule change pursuant to Section 19(b)(3)(A) of the Act  3 and Rules 19b-4(f)(2) and (f)(4) thereunder. 4 The Commission is publishing this notice to solicit comments on … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Aug 24, 2017

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

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Related to Processing of Auction Responses and Length of Auction Timers

Federal Register · Notice · Jan 5, 2026

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 ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews

Federal Register · Proposed Rule · Mar 24, 2022

184 184   See, e.g., In the Matter of Clean Energy Capital LLC, Investment Advisers Act Release No. 3955 (Oct. 17, 2014) (settled action) (alleging that a private equity fund adviser … We request comments on the proposed transition period: • Do commenters agree that a one-year transition period following each rule's effective date if adopted is appropriate?

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4120

Federal Register · Notice · Feb 11, 2016

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

Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information

Federal Register · Rule · Jan 11, 2021

Several commenters asked the Commission to clarify the period over which the changes in estimates should be described ( i.e., most recent period or all periods presented, including interim periods). … Comment letters related to the Request for Comment on Earnings Releases and Quarterly Reports are available at https://www.sec.gov/comments/s7-26-18/s72618.htm. V. Paperwork Reduction Act A.

Delayed Pricing for Certain Registrants

Federal Register · Proposed Rule · Feb 28, 1997

reports for this period. … month period.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Periods

Federal Register · Notice · Apr 13, 2023

The proposed rule change was published for comment in the Federal Register on January 10, 2023. 3 On February 22, 2023, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … rule-comments@sec.gov.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Trade Options on S&P 500 Annual Dividend Index With an Applied Scaling Factor of 1

Federal Register · Notice · May 10, 2010

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 e-mail to rule-comments

Rules of Practice Governing Disapproval Proceedings for SRO Proposed Rule

Agency decision · Agency decision

(c) Conduct of hearings. (1) Initial comment period in writing. … (ii) At the end of the initial comment period, the NMS plan participants will be given an opportunity to respond to any comments received.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit a Longer Period of Time for Companies To Regain Compliance With the Bid Price and Market Value of Publicly Held Shares Continued Listing Requirements by Tolling the Compliance Periods Through and Including June 30, 2020

Federal Register · Notice · Apr 23, 2020

Nasdaq has filed this proposal under Exchange Act Rule 19b-4(f)(6)  3 and requests that the Commission waive the 30-day operative delay period contained in Exchange Act Rule 19b-4(f)(6)(iii). 4 … 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; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Price Improvement Mechanism Pilot Program

Federal Register · Notice · Jul 26, 2011

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 e-mail to rule-comments

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Price Improvement Mechanism Pilot Program

Federal Register · Notice · Jul 28, 2008

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 e-mail to rule-comments