Documents

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 2 to an Advance Notice, as Previously Modified by Amendment No. 1, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs

Federal Register · Notice · Jul 15, 2013

contained in the Advance Notice as proposed rule change SR-NSCC-2013-02 (“Proposed Rule Change”) under Section 19(b)(1) of the Securities and Exchange Act of 1934 (“Exchange Act”) and Rule 19b-4 thereunder … Clearing Supervision Act.

Delayed Pricing for Certain Registrants

Federal Register · Proposed Rule · Feb 28, 1997

reports for this period. … month period.

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; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 472-Equities, Which Addresses Communications With the Public, Adopting New Rule Text To Conform to the Changes Adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart Our Business Startups Act

Federal Register · Notice · Dec 11, 2012

The FAQs note that the JOBS Act makes no reference to quiet periods after a secondary offering or during a period of time after expiration, termination or waiver of a lock-up agreement. … 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

Mine Safety Disclosure

Federal Register · Proposed Rule · Dec 22, 2010

Request for Comment (7) Because the Act states that issuers must include the mine safety disclosure in each periodic report filed with the Commission, we are proposing to require the disclosure in each … Time Periods Covered Section 1503(a) of the Act states that each periodic report must include disclosure “for the time period covered by such report.”

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise the Description of the Stressed Period Used To Calculate the Value-at-Risk Charge and Make Other Changes

Federal Register · Notice · Mar 7, 2023

information from comment submissions. … 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 Regarding the Obvious Error Pilot Program

Federal Register · Notice · Oct 28, 2015

the pilot period for the Plan. 3  Securities Exchange Act Release No. 69341 (April 8, 2013), 78 FR 21996 (April 12, 2013) (SR-NASDAQ-2013-048). … 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 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

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount

Federal Register · Notice · Jan 6, 2021

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

Acceptance of Public Submissions Regarding the Study of Stable Value Contracts

Federal Register · Notice · Oct 2, 2012

ACTION: Request for comment; reopening of comment period. … The original comment period for the study closed on September 26, 2011.

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit

Federal Register · Notice · Aug 17, 2021

, 2021, pursuant to Section 19(b)(2) of the Act, 6 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether to approve or disapprove … Therefore, the commenter's arguments pursuant to Section 17A(b)(3)(F) of the Act are outside the scope of this Proposed Rule Change.

Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings

Federal Register · Proposed Rule · Jun 1, 2011

Uniform Look-Back Periods IV. General Request for Comment V. … Request for Comment (15) We note that certain regulatory orders and bars are required to have a ten-year look-back period under Section 926(2)(a)(ii) of the Dodd-Frank Act (discussed below).

Insider Trading Arrangements and Related Disclosures

Federal Register · Rule · Dec 29, 2022

The comment period closed on Apr. 1, 2022. We have considered all comments received since Dec. 15, 2021, and do not believe an extension of the comment period was necessary. … Many commenters opposed a cooling-off period for issuers, 71 largely due to issuers' use of Rule 10b5-1 plans in connection with share repurchase plans under Exchange Act Rule 10b-18. 72 One

Public Company Accounting Oversight Board; Notice of Filing of Proposed Changes Regarding Ethics and Independence Rule 3526, Communication With Audit Committees Concerning Independence, Amendment to Interim Independence Standards, and Amendment to Rule 3523, Tax Services for Persons in Financial Reporting Oversight Roles

Federal Register · Notice · Jul 14, 2008

, or as authorized under, Title II of th[e] Act.” … of Title I of the Act.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Regarding Ports

Federal Register · Notice · Jun 28, 2021

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 … All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions.

Conformed to Federal Register version

Agency decision · Agency decision

The comment period closed on Apr. 1, 2022. We have considered all comments received since Dec. 15, 2021, and do not believe an extension of the comment period was necessary. … period for issuers,71 largely due to issuers’ use of Rule 10b5-1 plans in connection with share repurchase plans under Exchange Act Rule 10b18.72 One of these commenters stated that Rule 10b5-1 plans

Regulation S-AM: Limitations on Affiliate Marketing

Federal Register · Rule · Aug 11, 2009

Exchange Act of 1934 (the “Exchange Act”), 2 the Investment Company Act of 1940 (the “Investment Company Act”), 3 and the Investment Advisers Act (the “Advisers Act”). 4 1  Public … time period would be viewed as a de facto minimum even though we had stated it would not. 260 Most commenters however, objected to informing the consumer that he or she has a specific period of time