Documents

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

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 … Paper Comments: • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protections and Make Other Clarifying Changes

Federal Register · Notice · Oct 28, 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; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 6.65A(c), Obvious and Catastrophic Errors, Until October 23, 2015

Federal Register · Notice · Feb 25, 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. … rule-comments@sec.gov.

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), Obvious and Catastrophic Errors, Until October 23, 2015

Federal Register · Notice · Feb 25, 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 Amex LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 103B, Which Governs the Allocation of Securities to DMMs

Federal Register · Notice · Dec 30, 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 email to rule-comments

Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments

Federal Register · Rule · Oct 15, 2020

(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.

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.

Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program

Federal Register · Notice · Jan 26, 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; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Trade Single Stock Dividend Options

Federal Register · Notice · Jun 17, 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; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Reduce The Order Exposure Period on the NASDAQ Options Market

Federal Register · Notice · Feb 3, 2009

The Commission is considering granting accelerated approval of the proposed rule change at the end of a 15-day comment period. IV. … Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the proposal, including whether it is consistent with the Act.

Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934

Federal Register · Rule · Aug 23, 2011

Section 15(d) under certain limited circumstances. 16 As revised by the Act, Exchange Act Section 15(d) no longer provides for the automatic suspension of the duty to file periodic and other reports … , the issuer may immediately cease ongoing Exchange Act reporting. 24 In contrast, some commentators supported the timing of the assessment, 25 and one commentator recommended requiring an

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Federal Register · Proposed Rule · May 12, 2022

SUMMARY: The Securities and Exchange Commission (“Commission”) is extending the comment period for a release proposing amendments to its rules under the Securities Act of 1933 (“Securities Act”) and Securities … The comment period for the release was originally scheduled to close on May 20, 2022. The new comment period will end on June 17, 2022.

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Mar 31, 2021

Timetable:   Action Date FR Cite ANPRM 06/26/19 84 FR 30460 ANPRM Comment Period End 09/24/19 NPRM 03/31/20 85 FR 17956 NPRM Comment Period End 06/01/ … Timetable:   Action Date FR Cite ANPRM 10/01/15 80 FR 59083 ANPRM Comment Period End 11/30/15 NPRM 05/28/19 84 FR 24600 NPRM Comment Period End 07/29

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 Concerning Drill-Through Protection and Fat Finger Check

Federal Register · Notice · Oct 13, 2022

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

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Aug 26, 2020

Timetable:   Action Date FR Cite ANPRM 10/01/15 80 FR 59083 ANPRM Comment Period End 11/30/15 NPRM 05/28/19 84 FR 24600 NPRM Comment Period End 07/29/ … Timetable:   Action Date FR Cite ANPRM 06/26/19 84 FR 30460 ANPRM Comment Period End 09/24/19 NPRM 03/31/20 85 FR 17956 NPRM Comment Period End 06/01/20

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning the Adoption of a Minimum Margin Amount at GSD

Federal Register · Notice · May 20, 2024

All prospective commenters should follow the Commission's instructions on how to submit comments, available at www.sec.gov/regulatory-actions/how-to-submit-comments. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( 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 To Establish a Flexible 60-Day Trial Period for New Users of Correlix Latency Measurement Services

Federal Register · Notice · Nov 5, 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. … rule-comments@sec.gov.

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, 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

Amendments to Regulation SHO

Federal Register · Proposed Rule · Mar 30, 2007

ACTION: Notice of re-opening of comment period. … SUMMARY: The Securities and Exchange Commission is re-opening the comment period on the “Amendments to Regulation SHO” it proposed in Securities Exchange Act Release No. 54154 (July 14, 2006), 71 FR 41710

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Application of the Minimum Bid Price Rule in Situations Where a Security Does Not Maintain a Closing Bid Price of Greater Than $0.10 for Ten Consecutive Business Days

Federal Register · Notice · Dec 10, 2025

The proposed rule change was published for comment in the Federal Register on September 8, 2025. 3 On September 25, 2025, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … rule-comments@sec.gov .