Documents

In the Matter of: Acclaim Entertainment, Inc., Benguet Corp., Clean Systems Technology Group, Ltd., Family Golf Centers, Inc., Graham-Field Health Products, Inc., Lechters, Inc., Symbiat, Inc., Texfi Industries, Inc., and Value Holdings, Inc. (n/k/a Galea Life Sciences, Inc.); Order of Suspension of Trading

Federal Register · Notice · Jun 25, 2008

SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] In the Matter of: Acclaim Entertainment, Inc., Benguet Corp., Clean Systems Technology Group, Ltd., Family Golf Centers, Inc., Graham-Field Health … Therefore, it is ordered, pursuant to section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m.

Self-Regulatory Organizations; American Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 to Proposed Rule Change Relating to Priority of Agency Orders to Cross Blocks of 25,000 Shares or More Under Rule 126(g), Commentary .01 and .02.

Federal Register · Uncategorized Document · May 26, 1994

The Commission received no comment letters. This order approves the proposed rule change, including Amendment No. 1. II. … \14\See Securities Exchange Act Release No. 31343 (October 21, 1992), 57 FR 48645 (October 27, 1992) (File No. SR-NYSE-90-39) (``NYSE Clean Cross Order'').

In the Matter of Act Clean Technologies, Inc.; Order of Suspension of Trading

Federal Register · Notice · May 27, 2010

SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] In the Matter of Act Clean Technologies, Inc.; Order of Suspension of Trading May 25, 2010. … Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the above-listed company is suspended for the period from 9:30 a.m.

Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change Relating to Listing of Regular Options, Full and Reduced Value Long-Term Index Options, and FLEX Options on the Dow Jones Transportation Average

Federal Register · Notice · Sep 11, 1997

\ No comments were received on the proposal. … Further, the Commission notes that the original proposal was published for the full 21-day comment period and no comments were received by the Commission.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Offer Remote ITCH to Trade Options Wave Ports

Federal Register · Notice · Mar 22, 2016

Wireless connectivity involves the beaming of signals through the air between towers that are within sight of one another. … 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; BOX Options Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Complex Customer Cross Orders

Federal Register · Notice · Sep 11, 2018

), Rule 7245 (Complex Order Price Improvement Period) or Rule 7270 (Block Trades). … The Commission is concerned about allowing Complex QCC Orders to execute as a “clean” cross ahead of resting Public Customer interest on the BOX Book.

Self-Regulatory Organizations; Midwest Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to Proposed Rule Change Relating to Agency Crosses Between the Disseminated Exchange Market

Federal Register · Uncategorized Document · Mar 10, 1994

in Securities Exchange Act Release No. 33500 (January 21, 1994), 59 FR 4128 (January 28, 1994). … Finally, the interpretation the MSE proposes to adopt is substantially similar to the rules of several other exchanges that were published in the Federal Register for the full comment period and were approved

Self-Regulatory Organizations; LCH SA; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the CDS Select Membership Model

Federal Register · Notice · Jun 27, 2024

conforming, clarifying and clean-up changes to implement a new model of CDSClear select membership. … On May 9, 2024, pursuant to section 19(b)(2) of the Exchange Act, 4 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether to

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 4121

Federal Register · Notice · Oct 29, 2019

, or (ii) all market orders will not be executed in the cross. 5  The Exchange also proposes a number of formatting clean-ups in Nasdaq Rule 4121. … 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 Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Agreement for Clearing and Settlement Services Between The Options Clearing Corporation and Small Exchange, Inc.

Federal Register · Notice · Dec 23, 2019

in furtherance of the purposes of the Act. … Act.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

(cleaned up)); Lopez v. … 13 (Jan. 9, 2015) (cleaned up), petition denied, 641 F.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating To Exchange Rule 104.10 (“Dealings by Specialists”)

Federal Register · Notice · Sep 28, 2006

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; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rule 6.53(u), Relating to Qualified Contingent Cross Orders

Federal Register · Notice · Jul 15, 2013

period for Commission action on the proposal to July 15, 2013. 6 The Commission received no comments regarding the proposal, as amended. … above, QCC Orders provide assurance to the parties to a stock-option qualified contingent trade that their hedge will be maintained by allowing the options component of the order to be executed as a clean

Self-Regulatory Organizations; Notice of Filing of Amendment Nos. 2 and 3 to a Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Enhancements to the Exchange's Existing Automatic Execution Facility Pilot (NYSE Direct+)

Federal Register · Notice · Nov 22, 2004

Federal Register on August 16, 2004. 6 On August 26, 2004, the Commission extended the public comment period with respect to the Notice to September 22, 2004. 7 The Commission received 15 … 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!

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges Related to These Services

Federal Register · Notice · Nov 12, 2015

Wireless connections involve beaming signals through the air between antennas that are within sight of one another. … 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 of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the Exchange's Price List Related to These Services

Federal Register · Notice · Nov 12, 2015

Wireless connections involve beaming signals through the air between antennas that are within sight of one another. … 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 the Chicago Stock Exchange, Inc., Relating To Crossing Orders of 25,000 Shares or More

Federal Register · Notice · Dec 15, 1998

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'' or ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on November 5, 1998, the Chicago Stock Exchange … 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.

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to the ICC Clearing Rules

Federal Register · Notice · Apr 20, 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; Philadelphia Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of a Proposed Rule Change Seeking Permanent Approval of the Designation of the West Canada Depository Trust Company as a Correspondent Depository

Federal Register · Notice · Jul 5, 1996

Securities will be shipped to Philadep via licensed air courier or other carrier agreed upon by the parties. … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments have been solicited or received. III.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rules Related to Board Diversity

Federal Register · Notice · Dec 11, 2020

Nasdaq believes it is critical to the detection and prevention of fraudulent and manipulative acts and practices to have directors on the board who are willing to critically question management and air … 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