Documents

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Assignment of RAES Orders to Logged-In Market-Makers Participating on RAES

Federal Register · Notice · May 18, 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. … rule-comments@sec.gov.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Complex Orders

Federal Register · Notice · Mar 21, 2008

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 August 24, 2007 the International Securities Exchange … 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 and Order Granting Accelerated Approval on a Temporary Basis of Proposed Rule Change To Modify the Rules of the Government Securities Division Regarding the Calculation of Clearing Fund Deposits Relating to Inter-Dealer Broker Positions

Federal Register · Notice · Aug 24, 2009

FICC will continue to monitor the IDB activity of its members and will periodically reassess whether the one-day liquidation period provides adequate coverage. … 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; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Amend Its Rules and Procedures With Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing

Federal Register · Notice · Sep 13, 2007

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 notice is hereby given that on August 15, 2007, National Securities Clearing Corporation (“NSCC”) filed with the Securities … 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.

Reopening of Comment Period for Modernization of Beneficial Ownership Reporting

Federal Register · Proposed Rule · May 4, 2023

ACTION: Proposed rule; reopening of comment period. … We are, therefore, reopening the comment period to permit interested parties to comment on the staff memorandum, which has been included in the comment file.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. To Extend a Pilot Relating to Voluntary Supplemental Procedures for Selecting Arbitrators

Federal Register · Notice · Jul 1, 2004

Upon expiration of the first two-year period, the Exchange renewed the pilot program for two additional years, ending on July 31, 2004. Exchange Act Release No. 46372. … rule-comments@sec.gov.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Amend the Listing Rules for Compensation Committees To Comply With Securities Exchange Act Rule 10C-1 and Make Other Related Changes

Federal Register · Notice · Jan 22, 2013

The proposed rule change, as modified by Amendment No. 1 thereto, was published for comment in the Federal Register on October 15, 2012. 3 The Commission subsequently extended the time period … Transition Period One commenter voiced support for the transition period proposed for compliance with the new compensation committee independence standard, but believed that the Exchange should provide

Update of Statistical Disclosures for Bank and Savings and Loan Registrants

Federal Register · Proposed Rule · Oct 3, 2019

Paperwork Reduction Act A. Background B. Burden and Cost Estimates Related to the Proposed Rules C. Request for Comment VIII. Small Business Regulatory Enforcement Fairness Act IX. … Comments on Reporting Periods Many commenters recommended reducing the Guide 3 reporting periods. 66 Most of these commenters recommended using the reporting periods for which financial statements

Concept Release on Harmonization of Securities Offering Exemptions

Federal Register · Proposed Rule · Jun 26, 2019

Request for Comment E. Intrastate Offerings 1. Section 3(a)(11) of the Securities Act 2. Securities Act Rules 147 and 147A 3. Request for Comment F. Regulation Crowdfunding 1. … Act for offerings of up to $50 million of securities within a 12-month period.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List

Federal Register · Notice · Sep 21, 2021

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; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism

Federal Register · Notice · Dec 27, 2012

When approving previous reductions in ISE exposure periods in these mechanisms the Commission concluded that reducing these time periods from three seconds to one second was consistent with the Act. 6 … 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; BATS Exchange, Inc.; NASDAQ OMX BX Inc.; Chicago Board Options Exchange, Incorporated; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Arca LLC; NYSE MKT, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1

Federal Register · Notice · Dec 4, 2012

The Commission received six comment letters on the NYSE proposed rule change, 5 seven comment letters on the Nasdaq proposed rule change, 6 and one comment letter on the NYSE Arca proposed rule … Section 19(b)(2) of the Act  9 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; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Listing Standard for Warrants in Section 105 of the NYSE American Company Guide

Federal Register · Notice · Feb 23, 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; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to the NASD's Free-Riding and Withholding Interpretation

Federal Register · Uncategorized Document · Aug 10, 1994

One commenter maintained that the five-month holding period was too long in that it went beyond the period in which the purchaser should be exposed to the market risk for the securities. … One commenter maintained that precedent for such a position could be found in rules and interpretations under Sec. 16 of the Exchange Act, which does not require officers to disgorge profits resulting

Rule 144 Holding Period and Form 144 Filings

Federal Register · Proposed Rule · Jan 19, 2021

ADDRESSES: Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( http://www.sec.gov/rules/submitcomments.htm ). … Request for Comment V. Small Business Regulatory Enforcement Fairness Act VI. Statutory Authority Text of the Proposed Amendments I. Discussion of the Proposed Amendments A.

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Rule Governing the Operation of a Proposed Step Up Mechanism (“SUM”) on the Exchange and To Make Conforming Changes in Other Rules

Federal Register · Notice · Sep 2, 2026

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 ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of a Proposed Rule Change To Modify the Complex Order Filter

Federal Register · Notice · Aug 5, 2013

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

Notice of Filing and Order Granting Temporary Accelerated Approval

Federal Register · Notice · Aug 14, 1997

It was published for comment and approved by the Commission on a temporary basis for a period of 90 days.\2\ On July 11, 1996, the Commission issued another release publishing for comment three changes … The comment period for Release No. 34- 38545 expired on June 6, 1997.

Revised Transfer Agent Form and Related Rule

Federal Register · Proposed Rule · Mar 31, 1999

DATES: Comments are due on or before May 17, 1999. ADDRESSES: Comments should be submitted in triplicate to Jonathan G. … Securities Exchange Act of 1934 (Exchange Act).

Implementation of Section 10A of the Securities Exchange Act of 1934

Federal Register · Proposed Rule · Aug 29, 1996

The staff, among other things, attends ASB meetings, reviews and provides the ASB with comments on draft Statements on Auditing Standards, and has periodic meetings with ASB representatives to discuss … act and the potential impact of that act on all affected financial statements of the issuer or those related to the most current three year period, whichever is shorter; and (iv) May provide additional