Documents

Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)

Federal Register · Rule · Apr 20, 2015

' ongoing reports under Regulation A to satisfy the issuer's Exchange Act reporting obligations for a phase-in period. 193 One commenter recommended at least allowing for 2,000 holders of record ( … time period after an offering statement is qualified. 712 Separately, two commenters recommended that Regulation A issuers that become Exchange Act reporting companies be considered “emerging growth

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Rollout of the New Options Floor Broker Management System Until September 1, 2014

Federal Register · Notice · May 15, 2014

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

Executive Compensation Disclosure

Federal Register · Rule · Dec 29, 2006

FAS 123R defines a requisite service period as the period or periods over which an employee is required to provide service in exchange for a share-based payment. … Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Nancy M.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Accelerated Approval to Proposed Rule Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) To Permit FINRA To Halt Trading by FINRA Members Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Conditions

Federal Register · Notice · Jun 16, 2010

(“FINRA”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1)  1 of the Securities Exchange Act of 1934 (“Act”), 2 and Rule 19b-4 thereunder, 3 … 10  Any such rule proposals would be published for public comment in accordance with Section 19(b) of the Act.

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending 303A.00 of the Exchange's Listed Company Manual To Provide a One-Year Transition Period To Comply With the Internal Audit Requirement of Section 303A.07(c) for Companies Listing in Connection With an Initial Public Offering, or by Means of a Carve-Out or Spin-Off Transaction

Federal Register · Notice · Aug 28, 2013

The proposed rule change was published for comment in the Federal Register on July 8, 2013. 5 The Commission received one comment letter on the proposal. 6 This order approves the proposed … Comments The Commission received one comment letter on the proposed change from The Institute of Internal Auditors (“the IIA”). 10 Given the important role of a robust internal audit function,

Inline XBRL Filing of Tagged Data

Federal Register · Rule · Aug 16, 2018

Paperwork Reduction Act A. Background B. Summary of Comment Letters and Revisions to Proposals C. Reporting and Cost Burden Estimates 1. Registration Statement and Periodic Reporting 2. … Two commenters supported the Commission's proposal to eliminate the 15 business day filing period. 130 These commenters noted that the elimination of the 15 business day filing period would allow

Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend EDGA Rules 11.9(b)(1)(C) and 11.5(c)(7) Regarding Step-Up Orders

Federal Register · Notice · Dec 23, 2010

(the “Exchange” or “EDGA”) 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; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. to Extend the 30-Day Free Trial Period for Broker Volume

Federal Register · Notice · Nov 26, 2003

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants or Others The Exchange has not solicited, and does not intend to solicit, comments … Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposal is consistent with 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 To Adopt Transition Pricing To Support the Introduction of Ports That Connect to the Exchange Using Pillar Technology

Federal Register · Notice · Jul 17, 2019

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.

Self-Regulatory Organizations; Notice of Extension of the Comment Period for the Proposed Rule Change by the National Association of Securities Dealers, Inc.; Relating to Nasdaq's Proposed Separation From the NASD and the Establishment of the NASD Alternative Display Facility

Federal Register · Notice · Jan 23, 2002

The Commission has decided to extend the comment period pursuant to section 19(b)(2) of the Act. 4 Accordingly, the comment period shall be extending until January 24, 2002. 5 1  15 U.S.C … orginially had intended to provide for the full 21-day comment period.

Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 15(d) of the Securities Exchange Act of 1934

Federal Register · Proposed Rule · Dec 30, 2005

Comment Solicited We solicit comment on the proposed Exchange Act reporting requirement. … Comment Solicited We solicit comment on proposed Rule 12h-6's Exchange Act reporting requirement for debt securities registrants.

Listing Standards for Recovery of Erroneously Awarded Compensation

Federal Register · Proposed Rule · Jul 14, 2015

Paperwork Reduction Act Burden Estimates 156 D. Solicitation of Comments 161 V. Small Business Regulatory Enforcement Fairness Act 162 VI. … These commenters recommended a 12-month period following Commission approval of the listing standards, 249 or a one-year period after the issuance of final rules, 250 for issuers to develop and

Public Company Accounting Oversight Board; Notice of Filing of Proposed Auditing Standard No. 1, References in Auditors' Reports to the Standards of the Public Company Accounting Oversight Board

Federal Register · Notice · Apr 9, 2004

Pursuant to Section 107(b) of the Sarbanes-Oxley Act of 2002 (the “Act”), notice is hereby given that on December 22, 2003, the Public Company Accounting Oversight Board (the “Board” or the “PCAOB”) filed … Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rules are consistent with the Act.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

OF 1934 (“the Act”) INSTRUCTIONS FOR USE OF FORM CA-1 I. … Air Courier 6. Lost Instrument 7.

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Wind Down Framework and Plan (the “Wind-Down Plan” or the “Plan”), as Most Recently Amended

Federal Register · Notice · Jan 19, 2018

clearing during the wind-down period. … or advance notice is consistent with the Act.

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers Within a 30 Calendar-Day Period

Federal Register · Notice · Feb 28, 2006

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on January 27, 2006, the National Association of Securities … the Act.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Extending AIM and FLEX AIM Pilot Programs Until July 18, 2015

Federal Register · Notice · Jul 15, 2014

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; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC

Federal Register · Notice · Dec 1, 2020

The proposed rule change was published for comment in the Federal Register on June 1, 2020. 3 On July 16, 2020, pursuant to Section 19(b)(2) of the Exchange Act, 4 the Commission designated … Comments on SR-BOX-2019-19 can be found at: https://www.sec.gov/comments/sr-box-2019-19/srbox201919.htm. 4  15 U.S.C. 78s(b)(2). 5   See Securities Exchange Act Release No. 89328

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as Described in Rule 2.12

Federal Register · Notice · Oct 14, 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; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NYSE Rule 440H Relating to Activity Assessment Fees

Federal Register · Notice · Jul 19, 2005

c) of the Act applicable to covered sales for that computational period. 7 6   Section 31 of the Act provides that the Exchange and other national securities exchanges' Commission fees will … 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