Documents

Self-Regulatory Organizations; NYSE Arca, Inc.; The Nasdaq Stock Market LLC; Cboe BZX Exchange, Inc.; Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Thereto, To List and Trade Shares of Ether-Based Exchange-Traded Products

Federal Register · Notice · May 30, 2024

statistics  35 for the full sample period as well as for rolling three-month segments within the sample period. … Other Comments One commenter asserts that the Commission should approve the Proposals because CME ether futures exchange-traded funds (“ETFs”) registered under the Investment Company Act of 1940 (“1940

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

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. Relating to Extending a Limited Pilot Program for Maximum Bid/Ask Differentials

Federal Register · Notice · Sep 7, 2004

The “override” period only lasts for 30 seconds. … rule change under Section 19(b)(3)(C) of the Act, the Commission considers that period to commence on August 19, 2004, the date CBOE filed Amendment No. 1 to the proposed rule change.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Priority Queue for Auction Response Messages

Federal Register · Notice · Oct 20, 2020

The proposed rule change was published for comment in the Federal Register on August 18, 2020. 3 On September 25, 2020, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … No. 1 is consistent with the Act.

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Eligibility of Market Orders and Limit Orders With a Time-In-Force of DAY for a Volatility Auction Occurring Outside of Regular Market Hours

Federal Register · Notice · Nov 3, 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

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Eligible Members Another Opportunity To Elect To Participate in the Maintaining Qualifications Program

Federal Register · Notice · Sep 29, 2023

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; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Clearing Rules

Federal Register · Notice · Dec 30, 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; 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 Nos. 1 and 2 Thereto, To List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III

Federal Register · Notice · Jul 27, 2016

Section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine … on the Commission's Web site at: http://www.sec.gov/comments/sr-nasdaq-2016-002/nasdaq2016002-1.pdf. 5  15 U.S.C. 78s(b)(2). 6   See Securities Exchange Act Release No. 34-77320

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Relating to the Processing of Auction Responses

Federal Register · Notice · Jun 22, 2023

The proposed rule change was published for comment in the Federal Register on October 20, 2022. 3 On November 23, 2022, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … rule-comments@sec.gov.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.25

Federal Register · Notice · Oct 28, 2015

The Exchange proposes to extend the pilot program so that it coincides with the pilot period for the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act … The Exchange is now proposing to extend the pilot period so that it coincides with the pilot period for the Plan, including any extensions to the pilot period for the Plan.

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Amend Rules Relating to Recovery and Resolution Arrangements

Federal Register · Notice · Mar 27, 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 March 7, 2013, ICE Clear Credit LLC (“ICC”) filed with … 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 Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge

Federal Register · Notice · Oct 20, 2020

The comment period for the advance notice, as modified by Amendment No. 1 closed on September 21, 2020, and the Commission received no comments. 6  Comments received are available at https … extend the public comment period before the Commission makes a substantive determination.

Revisions to the Cross-Border Tender Offer, Exchange Offer, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions

Federal Register · Proposed Rule · May 9, 2008

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, U.S. … General Request for Comment IV. Paperwork Reduction Act V. Cost-Benefit Analysis VI.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities

Federal Register · Notice · Jul 15, 2010

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; Investors Exchange LLC; Order Approving a Proposed Rule Change To Add a New Discretionary Limit Order Type Called D-Limit

Federal Register · Notice · Sep 1, 2020

In response to these concerns, IEX provided additional data in its two responses to comments and asserts that the results remain consistent. 75 With respect to longer periods and periods of higher … Act.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Fees for Nasdaq Market Pathfinders Service

Federal Register · Notice · Jul 17, 2008

longer period. 2. … 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.

Rulemaking for the EDGAR System

Federal Register · Proposed Rule · Dec 12, 1996

DATES: Comments should be received on or before January 13, 1997. ADDRESSES: Comments should be submitted in triplicate to Jonathan G. … All comments will be considered by the Commission in complying with its responsibility under section 23(a) of the Exchange Act.91 Comments received will be available for inspection and copying in the Commission's

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend BATS Rule 11.13, Entitled “Order Execution”

Federal Register · Notice · Jun 10, 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