Documents

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

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; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Increase the Minimum Required Fund Deposit for GSD Netting Members and Sponsoring Members, and Make Other Changes

Federal Register · Notice · Sep 22, 2022

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; 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

Self-Regulatory Organizations; Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan

Federal Register · Notice · Jun 26, 2018

of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 concerning enhanced and new tools for recovery scenarios. 3 The Proposed Rule Change was published for comment in the Federal Register … Payment, Clearing, and Settlement Supervision Act of 2010 and Rule 19b-4(n)(1)(i) under the Act (“Advance Notice”). 12 U.S.C. 5465(e)(1) and 17 CFR 240.19b-4(n)(1)(i), respectively.

Trading Practices Rules Concerning Securities Offerings

Federal Register · Proposed Rule · Apr 18, 1996

DATES: The comment period will expire on June 17, 1996. ADDRESSES: Comments should be submitted in triplicate to Jonathan G. … Restricted Periods In the Concept Release, the Commission requested comment on whether the Rule 10b-6 cooling-off periods, and the criteria used to determine such periods, should be revised.

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Shorten the Time Period Before a Letter of Acceptance, Waiver, and Consent Under Rule 9216 and an Uncontested Offer of Settlement Under Rule 9270(f) Becomes Final

Federal Register · Notice · Dec 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; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of a Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares

Federal Register · Notice · Mar 14, 2018

The proposed rule change was published for comment in the Federal Register on December 11, 2017. 3 On January 22, 2018, the Commission extended the time period within which to approve the proposed … Such results are only applicable for each full 12-month period from one Roll Date to the next Roll Date, and the Index may not return such results for shorter or longer periods.

Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to Procedures Applicable to Continued Listing Evaluation and Follow-Up

Federal Register · Notice · Mar 10, 2004

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposal, as amended, is consistent with the Act. … Comments may also be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. SR-Amex-2003-110.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 by the National Association of Securities Dealers, Inc. Relating to an Exemption From NASD Conduct Rule 2710 for Closed-End Management Companies That Make Periodic Repurchases of Their Securities Under Rule 23c-3(b) of the Investment Company Act of 1940

Federal Register · Notice · Apr 7, 2000

Act that: (i) makes periodic repurchase offers pursuant to Rule 23c-3(b) under the Investment Company Act of 1940; and (ii) offers its shares on a continuous basis pursuant to Rule 415(a)(1) … 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.

Options Price Reporting Authority

Federal Register · Notice · May 10, 2000

In addition to the requests for comments throughout the release, the Commission seeks comment on whether a capacity allocation formula to allocate OPRA systems capacity during peak periods is necessary … periods.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .70 Under NYSE Rule 345A

Federal Register · Notice · Jun 25, 2024

second period instead of enrolling during the first period. … 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; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .09 under NYSE National Rule 2.2

Federal Register · Notice · Jun 25, 2024

second period instead of enrolling during the first period. … 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 NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120

Federal Register · Notice · Mar 29, 2012

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; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks

Federal Register · Notice · Aug 16, 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. … rule-comments@sec.gov.

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.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 4120(c)(7) To Modify the Parameters for Releasing IPO Securities for Trading Pursuant to the IPO Halt Cross Under NASDAQ Rule 4753

Federal Register · Notice · Jul 8, 2013

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; Nasdaq PHLX LLC; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Options on a Nasdaq-100 Volatility Index

Federal Register · Notice · May 11, 2021

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

Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period

Federal Register · Proposed Rule · Oct 3, 2013

ACTION: Proposed rule; reopening of comment period. … Re-Opening of Comment Period The proposed amendments have generated a large amount of public interest.