Documents

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges

Federal Register · Notice · Oct 8, 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. … Section 19(b)(2) of the Act  6 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

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price Change of 10% or More During a Five-Minute Period

Federal Register · Notice · Dec 15, 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

Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934

Federal Register · Rule · Apr 5, 2007

rules. 89 In response to those commenters, when reproposing Rule 12h-6, we reduced the required prior reporting period to at least 12 months and proposed to require only one Exchange Act annual report … commence a 90-day waiting period.

Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board

Federal Register · Uncategorized Document · Dec 28, 1994

Introduction On June 1, 1994, the Commission proposed for public comment amendments to Rule 19b-41 and Form 19b-42 under the Securities Exchange Act of 19343 (``Exchange Act'' or ``Act''), the rule … A 30-day period triggered by the filing date provides predictability while assuring that the filing is reviewed not only by the staff but also by commenters.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and To List and Trade Shares of the ActiveSharesSM Large-Cap Fund, ActiveSharesSM Mid-Cap Fund, and ActiveSharesSM Multi-Cap Fund Pursuant to That Rule

Federal Register · Notice · Aug 28, 2014

, pursuant to 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 … The Commission may, however, extend the period for issuing an order approving or disapproving the proposed rule change by not more than 60 days if the Commission determines that a longer period is appropriate

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Period for Receiving Orders Routed From The NASDAQ Stock Market LLC Into NASDAQ OMX PSX

Federal Register · Notice · Oct 19, 2011

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; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt Consolidated Registration Rules, Restructure the Representative-Level Qualification Examination Program, Allow Permissive Registration, Establish Exam Waiver Process for Persons Working for Financial Services Affiliate of Member, and Amend the Continuing Education Requirements

Federal Register · Notice · Jul 13, 2017

, FINRA extended the time period for the Commission to act on the proposal to July 7, 2017. … Time Period for Retaking Failed Exams One commenter requests that FINRA eliminate the proposed 180-day waiting period for taking an exam imposed on individuals who fail an exam three or more times in

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca, Inc.'s Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry

Federal Register · Notice · Aug 5, 2014

The proposed rule change was published for comment in the Federal Register on February 3, 2014. 3 On March 18, 2014, the Commission extended to May 2, 2014 the period in which to approve, disapprove … The Commission may extend the period for issuing an order approving or disapproving the proposed rule change by not more than 60 days if the Commission determines that a longer period is appropriate and

Regulation of Takeovers and Security Holder Communications

Federal Register · Proposed Rule · Dec 4, 1998

Waiting Period and Post-Effective Period Communications 4. Alternative Communications Proposals 5. Free Communications Under the Securities Act 6. … We also solicit comment on whether the time period for staff review should be included in the 30-day quiet period.

Securities Offering Reform for Closed-End Investment Companies

Federal Register · Rule · Jun 1, 2020

for the period. … If the Registrant has received written comments from the Commission staff regarding its periodic or current reports under the Exchange Act or Investment Company Act or its registration statement not less

Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit

Federal Register · Notice · Aug 16, 2023

in the Federal Register on December 23, 2022. 4 The Commission received comments regarding the Proposed Rule Change. 5 The Commission designated a longer period within which to take … in the defined lookback periods.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change To Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults), as Modified by Partial Amendment No. 1

Federal Register · Notice · Feb 9, 2017

The proposed rule change was published for comment in the Federal Register on November 7, 2016. 4 The public comment period closed on November 28, 2016. … Three commenters suggested extending the time period for notification beyond two business days. 155 FINRA declined to extend the time period for notification beyond two business days, given its belief

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change in Connection With the Notification of Settlement Process Used by the Mortgage-Backed Securities Division (“MBSD”)

Federal Register · Notice · Aug 23, 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 August 9, 2013, the Fixed Income Clearing Corporation … 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; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.3, Criteria for Underlying Securities

Federal Register · Notice · May 25, 2018

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.

Order Directing the Exchanges and the National Association of Securities Dealers, Inc. to Submit a Phase-in Plan to Implement Decimal Pricing in Equity Securities and Options; Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934

Federal Register · Notice · Jun 19, 2000

In addition, one commenter suggested that decimalization in exchange-listed securities should be initiated no sooner than early January 2001 in order to shorten the period of dual pricing until decimal … One commenter indicated that, while Dual Pricing on or before September 4, 2000 was feasible, minimum pricing increments of a nickel (presumably for at least a phase-in period) would be best in order to

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Exercise Procedures and ICC Clearing Rules

Federal Register · Notice · Jun 22, 2020

, or advance notice 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; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pilot Period for the Listing of P.M.-Settled Nasdaq-100 Index Options Expiring on the Third Friday of the Month

Federal Register · Notice · Dec 6, 2018

associated with the initial approval order over a meaningful period of time. … 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; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendments No. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to FLEX Options Expirations

Federal Register · Notice · Feb 25, 2009

Therefore, it is reasonable and consistent with Section 6(b)(5) of the Act  27 for CBOE to restrict average pricing during the Blackout Period until it sets forth a specific proposal and the potential … 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; NASDAQ OMX BX, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To Amend NASDAQ OMX BX Rule 11890 Governing Clearly Erroneous Executions

Federal Register · Notice · Jun 28, 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; Notice of Filing and Order Granting Temporary Accelerated Approval To Proposed Rule Change by National Association of Securities Dealers, Inc. Relating To Changes in the Structure of the NASD Board of Governors

Federal Register · Notice · May 22, 1997

The comment period for this rule filing expires on June 6, 1997. … The six month approval period is scheduled to expire by May 15, 1997. No comment letters concerning the instant proposed rule change were received by the Commission.