Documents

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Dec 22, 2014

Timetable:   Action Date FR Cite NPRM 07/24/13 78 FR 44806 NPRM Comment Period End 09/23/13 NPRM Comment Period Reopened 10/03/13 78 FR 61222 NPRM Comment … Timetable:   Action Date FR Cite NPRM 05/06/11 76 FR 26550 NPRM Comment Period End 07/05/11 Final Action 01/08/14 79 FR 1522 Final Action Effective 07

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the Automated Improvement Mechanism and the Solicitation Auction Mechanism

Federal Register · Notice · Apr 14, 2017

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 of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Continued Listing Requirement

Federal Register · Notice · Jun 25, 2026

Comments received on the proposed rule change are available at: https://www.sec.gov/rules-regulations/public-comments/sr-nasdaq-2026-004. 4   See Securities Exchange Act Release No. 104968 … 1, is consistent with the Act.

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.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Free Period for the Limit Up/Limit Down Band Lookup Add-On Service to TradeInfo Under Rule 7015(f)

Federal Register · Notice · Apr 30, 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

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

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

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

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; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports)

Federal Register · Notice · Aug 22, 2019

The proposed rule change was published for comment in the Federal Register on July 8, 2019. 4 The public comment period closed on July 29, 2019. … Under Rule 2241, quiet periods for both research reports and public appearances are the same, and FINRA believes elimination of both quiet periods would advance the policy objectives of the FAIR Act.

Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act

Federal Register · Proposed Rule · Apr 20, 2009

ACTION: Proposed rule; reopening of comment period. … of 2006 (the “Act”), enacted on October 13, 2006. 2 The proposal was published on March 29, 2007, and the comment period closed on May 29, 2007.

OTC Derivatives Dealers, Net Capital Rule

Federal Register · Proposed Rule · Mar 6, 1998

'') is extending the comment periods for two releases proposing rules and rule amendments under the Securities Exchange Act of 1934 (Release Nos. 34- 39454 and 34-39455) and one concept release (Release … Therefore, the comment period for Release No. 34- 39454 (OTC Derivatives Dealers) is extended from March 2, 1998 to April 6, 1998, and the comment periods for Release Nos. 34-39455 (Net Capital Rule--Interest

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility

Federal Register · Notice · Oct 21, 2019

the Act. … Instead, it removes one aspect of the proposed rule change that does not alter remaining aspects of the proposal, which was subject to a full notice and comment period during which no comments were

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Federal Register · Notice · May 12, 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

Rules of PracticeExtension of Comment Period

Federal Register · Uncategorized Document · Jan 11, 1994

, 1994 to February 4, 1994 the comment period for Securities Exchange Act Release No. 34-33163 (58 FR 61732 [Nov. 22, 1993]), which proposed comprehensive revisions to the Commission's Rules of Practice … comment period is appropriate.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to per Share Estimated Valuations for Unlisted DPP and REIT Securities

Federal Register · Notice · Feb 19, 2014

Solicitation of Comments Two commenters requested that the Commission provide a 90-day comment period for the proposal, arguing that the rule was complex and technical. … In light of this statutory deadline, the Commission is not extending the comment period at this time.

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Federal Register · Notice · Jun 28, 2013

reporting period, and total distributions for the most recent semi-annual reporting period … Implementation Period and Reporting Deadline In terms of the implementation period and lag time for reporting information, two commenters suggest that the one year implementation period is too short

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons as Provided Under Exchange Rule 3.33.01

Federal Register · Notice · Sep 11, 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; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants

Federal Register · Notice · Jul 21, 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

Delayed Pricing for Certain Registrants

Federal Register · Proposed Rule · Feb 28, 1997

reports for this period. … month period.