Documents

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT

Federal Register · Notice · Jun 1, 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

Investment Company Swing Pricing

Federal Register · Rule · Nov 18, 2016

Securities Act. … OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 1.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Federal Register · Notice · Oct 3, 2022

The proposed rule change was published for comment in the Federal Register on April 8, 2022. 3 On May 19, 2022, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … Amendment No. 1 was published for comment in the Federal Register on June 2, 2022. 6 On July 7, 2022, the Commission instituted proceedings under Section 19(b)(2)(B) of the Act  7 to determine

Update of Statistical Disclosures for Bank and Savings and Loan Registrants

Federal Register · Rule · Oct 16, 2020

Comments on Proposal One commenter agreed with each of the proposed changes to reporting periods. 49 A number of commenters agreed with the proposal to reduce the number of reporting periods and … One of these commenters cited the lack of publicly available prior period information for these reporting periods as reason for its support. 55 Another commenter stated it was supportive only if

Disclosure Update and Simplification

Federal Register · Rule · Oct 4, 2018

GAAP related to difference in fiscal periods, the Bank Holding Company Act of 1956 (“BHC Act”), and intercompany transactions. … periodic reports, proxy and information statements, or other reports under the Exchange Act and the Investment Company Act.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change to Amend the Supplementary Material to ISE Rule 1901

Federal Register · Notice · Dec 30, 2016

Act because halting the exposure period without execution provides certainty to market participants with respect to how their interest will be handled in the event of a trading halt. … 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.

Disclosure Update and Simplification

Federal Register · Proposed Rule · Aug 4, 2016

Solicitation of Comments X. Small Business Regulatory Enforcement Fairness Act XI. Statutory Authority I. Introduction A. … Company Act and periodic reports, proxy and information statements, or other reports under the Exchange Act and the Investment Company Act.

Retention of Records Relevant to Audits and Reviews

Federal Register · Proposed Rule · Nov 27, 2002

You also may submit your comments electronically to the following address: rule-comments@sec.gov. Please use only one method of delivery. All comment letters should refer to File No. … workpapers for a period of 5 years from the end of the fiscal period in which the audit or review was concluded.”

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE Rule 1210

Federal Register · Notice · Oct 14, 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; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE National Rule 2.1210

Federal Register · Notice · Dec 30, 2020

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act” or “Exchange Act”)  1 and Rule 19b-4 thereunder, 2 notice is hereby given that on December 15, 2020, NYSE National, … 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; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New NYSE Arca Rule 8.900-E and To List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF Under Proposed NYSE Arca Equities Rule 8.900-E

Federal Register · Notice · Jul 25, 2018

The proposed rule change was published for comment in the Federal Register on January 26, 2018. 3 On March 7, 2018, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a … The comment letters are available at https://www.sec.gov/comments/sr-nysearca-2018-04/nysearca201804.htm. 7  15 U.S.C. 78s(b)(2)(B). 8   See Securities Exchange Act Release No

Revision of Rule 504 of Regulation D, the ``Seed Capital'' Exemption

Federal Register · Proposed Rule · May 28, 1998

Comments on this proposal will be considered by us in complying with our responsibilities under Section 19(a) of the Securities Act.\31\ We further request comment on any competitive burdens that may result … Paperwork Reduction Act Our staff has submitted the proposals for review to the Office of Management and Budget (``OMB'') in accordance with the Paperwork Reduction Act of 1995 (``the Act''). 35 The

Joint Industry Plan; Solicitation of Comments on Amendment No. 9 to, and Order Granting Request To Extend Effectiveness of, Reporting Plan for Nasdaq/National Market Securities Traded on an Exchange on an Unlisted or Listed Basis, Submitted by the National Association of Securities Dealers, Inc., and the Boston, Chicago, and Philadelphia Stock Exchanges

Federal Register · Notice · Mar 25, 1996

of four-and-one-half years (``buy-in period''). … The Commission notes that this amount is based on the following payments for previous periods: (1) For the six-month period ending December 1993, $50,000; (2) for the one-year period ending December 1994

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Amending the Mortgage-Backed Securities Division Fails Charge Rule To Reflect Recommendation of the Treasury Market Practice Group

Federal Register · Notice · Apr 29, 2013

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 April 12, 2013, the Fixed Income Clearing Corporation … 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 and Immediate Effectiveness of a Proposed Rule Change To Modify Pricing for NASDAQ “Flash” Functionality for Routable Orders

Federal Register · Notice · Jun 15, 2009

period. … 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

Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers

Federal Register · Notice · Aug 18, 2010

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … Act § 12.02(a).

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 805(c)(5) of the Guide to Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements

Federal Register · Notice · Nov 8, 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

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Listing Standard for Warrants in Section 703.12 of the Exchange's Listed Company Manual

Federal Register · Notice · Jan 26, 2018

, Rule 13e-4 under the Act, Section 14(e) of the Act, and Regulation 14E under 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; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of Firm Customer Quote Size and the Removal of Certain Restrictions on Sending Principal Acting as Agent (P/A) Orders Through the Linkage

Federal Register · Notice · Sep 20, 2005

The Exchange proposes to eliminate the 15-second wait period because the Participants now employ dynamic quotes with size, obviating the need for a manual quote refresh period for P/A Orders. … rule-comments@sec.gov.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Relocation of Registered Options Traders Assigned Options Classes

Federal Register · Notice · Apr 20, 2006

the Act. … rule-comments@sec.gov.