Documents

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 24, 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

Revision of Holding Period Requirements in Rules 144 and 145

Federal Register · Rule · Feb 28, 1997

At the suggestion of commenters, the Commission also is adopting parallel changes to the holding period provisions included in Securities Act Rule 145(d),12 which governs the resale of securities received … At the suggestion of commenters, the Commission is soliciting comment on further changes to the holding periods in the companion proposing release.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Reduce the Waiting Period for the Release of Information Reported on Form U5

Federal Register · Notice · Nov 12, 2015

According to FINRA, this 15-day waiting period was established to give brokers on whose behalf the Form U5 was submitted an opportunity to comment on the disclosure event either through a Form U4, or by … submitting a comment directly to FINRA to be included on BrokerCheck. 7 6   See Notice, supra note 3, at 59216. 7   See Securities Exchange Act Release No. 55127 (January

Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Federal Register · Rule · Jan 26, 2011

Comments on the Proposed Amendments 3. Final Rule C. Disclosure Requirements for NRSROs 1. Proposed New Rule 17g-7 2. Comments on the Proposed Rule 3. Final Rule III. Transition Period IV. … Comments regarding the proposal to provide repurchase history for an initial five-year look back period were mixed.

17 CFR Part 249

Federal Register · Uncategorized Document · Apr 26, 1994

Comment is requested regarding the appropriateness of accepting the provisions of IAS 22 with respect to the amortization period of goodwill and negative goodwill. … Cost-Benefit Analysis To evaluate fully the costs and benefits associated with the proposed amendment to Form 20-F under the Exchange Act, the Commission requests comments to provide views and empirical

Revisions to Rule 144 and Rule 145 to Shorten Holding Period for Affiliates and Non-Affiliates

Federal Register · Proposed Rule · Jul 5, 2007

Twelve commenters recommended that we further reduce the holding period to six months. 48 Two other commenters thought that we should maintain the holding periods adopted in 1997. 49 Eight commenters … Eleven commenters supported the proposal, 86 while seven commenters opposed it. 87 Commenters who opposed the proposal noted that brokers act as gatekeepers to ensure selling shareholders are

Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Adopt CMESC Margin Policy

Federal Register · Notice · Aug 7, 2026

CMESC filed the proposed rule change pursuant to Section 19(b)(3)(A) of the Act. 3 The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. … Specifically, historical returns from a rolling lookback period of at least 5 years and additional stress periods from history that extend beyond the rolling lookback period are used in the SVaR component

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Temporarily Lower Its Average Global Market Capitalization Continued Listing Standard

Federal Register · Notice · Jan 30, 2009

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; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to the Required Fund Deposit Calculation in the Government Securities Division Rulebook

Federal Register · Notice · Mar 20, 2018

On March 7, 2018, the Commission extended its review period of the Advance Notice for an additional 60 days pursuant to Section 806(e)(1)(H) of the Clearing Supervision Act. … period for review and public comment for the Proposed Rule Change associated with this proposal through this Order and has also extended the period for review and public comment on the Advanced Notice

Certain Broker-Dealers Deemed Not To Be Investment Advisers

Federal Register · Proposed Rule · Aug 20, 2004

ACTION: Proposed rule; reopening of comment period. … SUMMARY: The Securities and Exchange Commission is reopening the period for public comment on a rule proposal under the Investment Advisers Act of 1940 that would address the application of the Advisers

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Feb 9, 2024

Period Extended End 01/13/12 NPRM Comment Period Extended 01/03/12 77 FR 24 NPRM Comment Period Extended End 02/13/12 Second NPRM 02/14/23 88 FR 9678 Second NPRM Comment … 04/18/22 NPRM Comment Period Reopened 05/12/22 87 FR 29059 NPRM Comment Period Reopened End 06/13/22 NPRM Comment Period Reopened 05/05/23 88 FR 29448 NPRM Comment

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; 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 Nos. 69140 (March 15, 2013), 78 FR 17255 (March 20, 2013); and 69343 (April 8, 2013), 78 FR 21982 (April 12, 2013) (SR-BX-2013- … 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; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program

Federal Register · Notice · Apr 13, 2018

rule-comments@sec.gov. … 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.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change as Modified by Amendment No. 1 To Modify Rule 4770 To Enhance Trading in the NASDAQ Crossing Network

Federal Register · Notice · Aug 21, 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; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 952NY To Provide an Option for ATP Holders To Instruct the Exchange To Cancel Marketable Orders if a Series Is Not Opened Within a Specified Time Period

Federal Register · Notice · Aug 19, 2021

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; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System

Federal Register · Notice · Feb 24, 2020

Summary of Comments Received and MSRB's Responses to Comments As noted previously, the Commission received five comment letters on the proposed rule change, as well as the MSRB Response Letter. A. … practices, and is therefore consistent with Section 15B(b)(2)(C) of the Act.

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule To Extend the Sunset Period for the Step-Added Liquidity Rebate

Federal Register · Notice · Nov 3, 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. … rule-comments@sec.gov.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated To Extend a Pilot Program and Eliminate the Rule Prohibiting Electronically Generated and Communicated Orders

Federal Register · Notice · Jan 24, 2005

rule change under Section 19(b)(3)(C) of the Act, the Commission considers that period to commence on January 7, 2005, the date the Exchange filed Amendment No. 1 to the proposed rule change. … rule-comments@sec.gov.

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Regarding Procedures for Denying Listing on Nasdaq

Federal Register · Notice · Sep 2, 2005

One commenter noted that the 90-day and 60-day exception periods are based on the date of the applicable decision, which is not a fixed date. 13 As such, the commenter expressed concern that the proposed … Lastly, the Commission notes that Amendment No. 2 addresses the commenter's concern that the exception periods are imprecise and provide insufficient guidance to issuers (because the time periods may vary

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge

Federal Register · Notice · Mar 24, 2023

NSCC uses a look-back period of not less than ten years plus a one-year stress period, and if the one-year stress period overlaps with the look-back period, only the non-overlapping period would be combined … with the look-back period.