Documents

Joint Industry Plan; Order Approving the Eighteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.

Federal Register · Notice · Apr 17, 2019

Summary of Comments Received The Commission received three comment letters regarding the amendment. 19 All three commenter letters support approval of the Eighteenth Amendment. 20 Two commenters … specifically support the proposal to transition the plan from a pilot to operating on a permanent basis, subject to periodic review and assessment. 21 Two commenters support the proposal to eliminate

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to the Trading of Nasdaq/NM Securities

Federal Register · Notice · Nov 9, 2004

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@sec.gov.

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; 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

Confirmation of Securities TransactionsExtension of Comment Period

Federal Register · Uncategorized Document · Jun 28, 1994

ACTION: Extension of comment period. ----------------------------------------------------------------------- SUMMARY: The Securities and Exchange Commission is extending the public comment period from … Act Release No. 33743, 59 FR 12767).

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Equities Orders From Archipelago Securities LLC

Federal Register · Notice · Jan 8, 2010

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; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Equities Orders from Archipelago Securities LLC

Federal Register · Notice · Apr 6, 2010

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

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”).

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Enhancements to the Automated Customer Account Transfer Service

Federal Register · Notice · Jul 29, 2025

or appropriate in furtherance of the Act. … 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.

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

Self-Regulatory Organizations; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendments Nos. 6, 7, 8, 9, and 10 by the National Association of Securities Dealers, Inc. Relating to Its Corporate Financing Rule

Federal Register · Notice · Dec 31, 2003

The Commission also notes that commenters generally supported shortening the look-back period to 180 days. … Commenters suggested various shorter time period requirements for the initial acquisitions that would broaden the availability of the exception.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change To Extend the Pilot Program for the Quote Assist Feature in the ANTE System

Federal Register · Notice · Jun 14, 2006

The quote assist feature helps to ensure that eligible customer limit orders are displayed within the required time period. 5   See Securities Exchange Act Releases No. 49747 (May 20, 2004), … 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 ); • Send an e-mail to rule-comments

Self-Regulatory Organizations; BOX Exchange LLC; Cboe Exchange, Inc.; MIAX International Securities Exchange LLC; MIAX PEARL LLC; Nasdaq ISE, LLC; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Permit the Listing and Trading of Options on Trusts That Hold Bitcoin

Federal Register · Notice · Jul 25, 2024

On March 6, 2024, pursuant to Section 19(b)(2) of the Act, 10 the Commission designated a longer period within which to approve these proposals, disapprove the proposals, or institute proceedings … 19(b)(2) of the Act, 13 the Commission designated a longer period within which to approve the proposal, disapprove the proposal, or institute proceedings to determine whether to disapprove the NYSE

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until June 30, 2019

Federal Register · Notice · Dec 14, 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; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2015

Federal Register · Notice · Jul 22, 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. … rule-comments@sec.gov.

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a Warrant Performance Incentive Program

Federal Register · Notice · Mar 31, 2026

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. … 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; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons as Provided Under Exchange Rule 3103

Federal Register · Notice · Jul 15, 2024

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

Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities

Federal Register · Rule · Apr 20, 2020

and Exchange Act registration statements and periodic reports. … For Exchange Act periodic reports:  523 523  This transition period is also applicable to periodic reporting pursuant to Rule 257 of Regulation A, including Forms 1-K and 1-SA.

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Risk Monitor Mechanism

Federal Register · Notice · Nov 5, 2015

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; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 (Registration Requirements and Restrictions on Membership) To Adopt Temporary Supplementary Material .02 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) Under the Rule

Federal Register · Notice · Dec 29, 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