Documents

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities

Federal Register · Notice · Apr 22, 2009

A number of commenters have asserted that this seven-day period may not allow for a thorough principal review. … Modifying the Starting Point for the Seven-Business-Day Review Period Most commenters supported FINRA's proposal to have the seven-business-day period for principal review of the application begin on

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Processing of Orders on the NASDAQ Options Market

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

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Pre-Trading Quotation Period for Initial Public Offerings

Federal Register · Notice · Jan 29, 1999

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants, or Others Nasdaq did not solicit or receive written comments with respect to the … 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; 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; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Amend the Supplemental Liquidity Deposit Requirements

Federal Register · Notice · Mar 24, 2021

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; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees for Non-Members Using the New Testing Facility

Federal Register · Notice · Jul 6, 2005

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

Delayed Pricing for Certain Registrants

Federal Register · Proposed Rule · Feb 28, 1997

reports for this period. … month period.

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

Insider Trading Arrangements and Related Disclosures

Federal Register · Rule · Dec 29, 2022

The comment period closed on Apr. 1, 2022. We have considered all comments received since Dec. 15, 2021, and do not believe an extension of the comment period was necessary. … Many commenters opposed a cooling-off period for issuers, 71 largely due to issuers' use of Rule 10b5-1 plans in connection with share repurchase plans under Exchange Act Rule 10b-18. 72 One

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; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 6.32.01

Federal Register · Notice · Oct 24, 2019

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

Conformed to Federal Register version

Agency decision · Agency decision

The comment period closed on Apr. 1, 2022. We have considered all comments received since Dec. 15, 2021, and do not believe an extension of the comment period was necessary. … period for issuers,71 largely due to issuers’ use of Rule 10b5-1 plans in connection with share repurchase plans under Exchange Act Rule 10b18.72 One of these commenters stated that Rule 10b5-1 plans

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes

Federal Register · Notice · Aug 31, 2021

The comment letter is available on the Commission's website at https://www.sec.gov/comments/sr-dtc-2021-011/srdtc2021011.htm. … Section 19(b)(2) of the Act  5 provides that within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may designate

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4120

Federal Register · Notice · Feb 11, 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

Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation

Federal Register · Proposed Rule · Oct 21, 2021

ACTION: Proposed rule; reopening of comment period. … Protection Act of 2010 (“Dodd-Frank Act”).

Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers

Federal Register · Proposed Rule · Oct 15, 2021

Two commenters acknowledged that the Commission's proposal was required under the Dodd-Frank Act. … We agree with commenters that a longer compliance period is appropriate to provide reporting persons with a sufficient transition period to implement the changes that would be needed to record and report

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot)

Federal Register · Notice · Dec 20, 2016

beginning six months prior to the Pilot Period through the trading day immediately preceding the Pilot Period; and (2) transactions in each Pilot Security for the period beginning on the first day of … the Pilot Period through six months after the end of the Pilot Period.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Related to Market Wide Risk Protection

Federal Register · Notice · Apr 6, 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

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL

Federal Register · Notice · Jul 22, 2014

The pilots were approved for a pilot period expiring on July 18, 2014. 6 The Exchange notes that during the pilot period it has been required to submit, and has been submitting, certain data periodically … 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; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments To Require Limit Order Protection and To Expand the Application of Manning Obligations to Exchange-Listed Securities

Federal Register · Notice · Feb 25, 2005

Given that the phase-in period has expired, NASD is proposing to delete the rule text related to the phase-in period. 7   See Securities Exchange Act Release No. 35751 (May 22, 1995), 60 FR … the Act.