Documents

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL

Federal Register · Notice · Jul 22, 2014

The pilots were approved for a pilot period expiring on July 18, 2014. 6 The Exchange notes that during the pilot period it has been required to submit, and has been submitting, certain data periodically … 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; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments To Require Limit Order Protection and To Expand the Application of Manning Obligations to Exchange-Listed Securities

Federal Register · Notice · Feb 25, 2005

Given that the phase-in period has expired, NASD is proposing to delete the rule text related to the phase-in period. 7   See Securities Exchange Act Release No. 35751 (May 22, 1995), 60 FR … the Act.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Sections 802.02 and 802.03 of the NYSE Listed Company Manual To Provide That the Exchange Will Not Review a Compliance Plan Submitted by a Listed Company That Is Below Compliance With a Continued Listing Standard if the Company Owes Any Unpaid Fees to the Exchange and Will Instead Commence Suspension and Delisting Procedures if Such Fees Are Not Paid in Full

Federal Register · Notice · May 27, 2025

Comment letters on the proposed rule change are available at: https://www.sec.gov/comments/sr-nyse-2024-44/srnyse202444.htm. … 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; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Cancellation Fees

Federal Register · Notice · Dec 17, 2008

. 8 6  15 U.S.C. 78s(b)(3)(A). 7  17 CFR 19b-4(f)(2). 8  For purposes of calculating the sixty-day abrogation period, the Commission considers the period to commence on … rule-comments@sec.gov .

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change by the NASD Clarifying the Operation of SOES

Federal Register · Notice · Jul 24, 1997

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on July 14, 1997, the National Association of Securities Dealers, Inc. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Comments were neither solicited nor received. III.

Incentive-Based Compensation Arrangements

Federal Register · Proposed Rule · Apr 14, 2011

related materials, and viewing the docket after the close of the comment period … The Commission is also soliciting comment on the following specific issues: • Do commenters believe that requiring a minimum deferral period of three years for at least 50% of the compensation for executive

Proposed Collection; Comment Request

Federal Register · Notice · May 8, 2009

Section 27(f) of the Investment Company Act of 1940 (“Act”) (15 U.S.C. 80a-27(f)) provides that “[w]ith respect to any periodic payment plan (other than a plan under which the amount of sales load deducted … Rule 27f-1 (17 CFR 270.27f-1) under the Act, entitled “Notice of Right of Withdrawal Required to be Mailed to Periodic Payment Plan Certificate Holders and Exemption from Section 27(f) for Certain Periodic

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 11.25(e) To Allow Users To Utilize the Exchange's Match Trade Prevention Functionality When Entering Periodic Auction Orders Onto the Exchange for Execution

Federal Register · Notice · Mar 31, 2025

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; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change Amending the Requirements for the Use in Advertisements and Sales Literature of Investment Company Rankings

Federal Register · Notice · Mar 12, 1997

(``NASD'' or ``Association'') submitted to the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \2\ and Rule 19b-4 thereunder … Summary of Comments The Commission received four comment letters, three of which supported the proposed rule change, and one that did not, and a response to the comment letters.\9\ The comment letter

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Section 146 of the NYSE MKT Company Guide To Adjust the Entitlement to Services of Special Purpose Acquisition Companies

Federal Register · Notice · Aug 22, 2016

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; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes

Federal Register · Notice · Feb 11, 2022

of 1934 (“Act”)  1 and Rule 19b-4 thereunder. 2 The Proposed Rule Change was published for comment in the Federal Register on August 12, 2021. 3 The Commission received comment letters … On September 2, 2021, pursuant to Section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether to approve

Regulatory Agenda; Semiannual Regulatory Agenda

Federal Register · Proposed Rule · Dec 26, 2019

Timetable:   Action Date FR Cite ANPRM 10/01/15 80 FR 59083 ANPRM Comment Period End 11/30/15 NPRM 05/28/19 84 FR 24600 NPRM Comment Period End 07/29/ … Period End 01/31/11 NPRM Comment Period Extended 02/03/11 76 FR 6110 NPRM Comment Period Extended End 03/02/11 Final Action 09/12/12 77 FR 56273 Final Action Effective

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Extension of Review Period of Advance Notice Related to Certain Enhancements to the Gap Risk Measure and the VaR Charge

Federal Register · Notice · Jan 17, 2023

The comment period for the related Proposed Rule Change filing will close on January 11, 2023. 6   https://www.sec.gov/comments/sr-nscc-2022-802/srnscc2022802.htm. … Accordingly, the Commission, pursuant to Section 806(e)(1)(H) of the Clearing Supervision Act, 11 extends the review period for an additional 60 days so that the Commission shall have until April

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products

Federal Register · Notice · Aug 23, 2019

Specifically, this is consistent with the Act because when there is no Closing Cross at 4:00:00 p.m., the Exchange's internal research has shown that using the T-WAM of the time period between 3:58:00 … 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; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Add an Index Option Product for Trading on the Exchange

Federal Register · Notice · Sep 20, 2012

1, 2012, the Commission extended the time period for Commission action to June 20, 2012. 5 On May 4, 2012, the Exchange submitted a response to the comment letters  6 and filed Amendment No. … The Commission may extend the period for issuing an order approving or disapproving the proposed rule change, however, by not more than 60 days if the Commission determines that a longer period is appropriate

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend MIAX Rule 518, Complex Orders

Federal Register · Notice · Feb 22, 2019

The proposed rule change was published for comment in the Federal Register on November 23, 2018. 3 On December 21, 2018, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … the Act.

Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings

Federal Register · Proposed Rule · Dec 17, 2004

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Jonathan G. … We seek specific comment concerning the proposal to incorporate the interpretation concerning election and valuation periods into the text of the restricted period definition. B.

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 26, 2010

The GSD will continue to monitor the IDB activity of its members and to 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; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy Framework

Federal Register · Notice · Oct 4, 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure To Revise the Public Arbitrator Definition

Federal Register · Notice · Jan 17, 2013

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