Documents

Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Adoption of a Hybrid Agency Liaison System for Automated Handling of Inbound Orders That Are Not Automatically Executed

Federal Register · Notice · Dec 15, 2005

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.25(e) To Allow Users To Utilize the Exchange's Match Trade Prevention Functionality When Entering Periodic Auction Orders Onto the Exchange for Execution

Federal Register · Notice · Sep 25, 2024

In particular, the Commission seeks comment on the following: • Commenter's views on whether or not the Exchange has adequately described how the proposed functionality would handle incoming Periodic … 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.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1210 (Registration Requirements)

Federal Register · Notice · Jul 16, 2026

Those who commented on the 30-day waiting periods proposed shortening them to 15 days. … 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.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4702(b)(14) To Establish a Price Improvement Only Variation on the Midpoint Extended Life Order

Federal Register · Notice · May 23, 2018

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

Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)

Federal Register · Rule · Jan 31, 2019

Comment date: Comments regarding the collection of information requirements within the meaning of the Paperwork Reduction Act of 1995 should be received on or before March 4, 2019. … an email to rule-comments@sec.gov.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses

Federal Register · Notice · Jan 24, 2023

The proposed rule change was published for comment in the Federal Register on October 20, 2022. 3 On November 23, 2022, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … of the Act.

Self-Regulatory Organizations; Notice of Filing and Order Granting Partial Accelerated Approval of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to Specialist Retention Periods for Securities Traded on the Exchange

Federal Register · Notice · Oct 12, 1999

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange has not solicited or received written comments on the proposed … with the Act.

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

Federal Register · Notice · Dec 20, 2006

periods of time. … Title I of the Act.

Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend EDGX Rules 11.9 and 11.5

Federal Register · Notice · Dec 23, 2010

(the “Exchange” or “EDGX”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)  1 and Rule 19b-4 thereunder … 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.

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Amend the Mortgage-Backed Securities Division Stress Testing Methodology

Federal Register · Notice · Feb 27, 2020

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

Conformed to Federal Register version

Agency decision · Agency decision

Letter; ICI Comment Letter. … See rule 8b-16(b) under the Investment Company Act. 16 See 17 CFR 230.485(a)(1). 17 See ICI Comment Letter. 18 See IAA Comment Letter; ICI Comment Letter. 8 Conformed to Federal Register version

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change To Adopt New Section 811 of NYSE American Company Guide To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation

Federal Register · Notice · Mar 13, 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; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt New Section 303A.14 of the NYSE Listed Company Manual To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation

Federal Register · Notice · Mar 13, 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

Financial Statements and Periodic Reports for Related Issuers and Guarantors

Federal Register · Rule · Aug 24, 2000

Section 15(d) requires all Securities Act registrants to file Exchange Act periodic reports for at least the fiscal year during which the related Securities Act registration statement became effective. … For Exchange Act periodic reports: • If the reporting company was required to comply with amended Rule 3-10 in a Securities Act or Exchange Act registration statement, all Exchange Act periodic reports

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Rule 6530 To Clarify the Removal Process for Securities of OTCBB Issuers That Fail To Remain Current With OTCBB Reporting Requirements

Federal Register · Notice · Mar 29, 2006

reports for a one-year period. 5   See Securities Exchange Act Release No. 40878 (January 4, 1999), 64 FR 1255 (January 8, 1999) (SR-NASD-98-51). 6   See Securities Exchange Act … rule-comments@sec.gov.

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to Amendments to NASD Rule 6530 To Clarify the Review Process for OTCBB Eligibility Determinations and To Implement Fees for Such Review

Federal Register · Notice · Mar 31, 2006

such time as the issuer has timely filed complete required periodic reports for a one-year period. 11 10   See Securities Exchange Act Release No. 52786 (November 16, 2005), 70 FR 70907 … rule-comments@sec.gov.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.35 To Specify Order Handling for an IPO Auction

Federal Register · Notice · May 8, 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; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.47A To Reduce the Order Exposure Period from Three Seconds to One Second

Federal Register · Notice · Dec 18, 2008

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 foregoing, including whether the proposed rule change is consistent with the Act.

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) To Exchange Rule 1900, Registration Requirements, To Extend the Expiration Date of the Temporary Amendment Set Forth in SR-MIAX-2020-42 from April 30, 2021 to June 30, 2021

Federal Register · Notice · May 5, 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; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) to Exchange Rule 3100, Registration Requirements, To Extend The Expiration Date of The Temporary Amendment Set Forth in SR-PEARL-2020-36 from April 30, 2021 to June 30, 2021

Federal Register · Notice · May 5, 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