Documents

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Expand OTC Equity Trading Volume Data Published on FINRA's Website

Federal Register · Notice · Jul 11, 2019

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 July 1, 2019, Financial Industry Regulatory Authority … 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; Municipal Securities Rulemaking Board; Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Federal Register · Notice · Oct 2, 2013

reporting period, and (iii) total distributions for the most recent semi-annual reporting period. … effect as of the end of the most recent semi-annual reporting period.

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Relating to Voting of Proxies by Member Firms for Holders of Auction Rate Preferred Securities

Federal Register · Notice · Mar 29, 1996

reset periods. --------------------------------------------------------------------------- The proposed rule change was published for comment in Securities Exchange Act Release No. 36813 (February … Summary of Comments The Commission received one comment letter from the Investment Company Institute (the ``Comment Letter'').\10\ The Comment Letter supported the proposed amendment and urged the

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent

Federal Register · Notice · May 7, 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 Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange Retail Liquidity Program Until September 30, 2019

Federal Register · Notice · Jul 2, 2019

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

Family Offices

Federal Register · Rule · Jun 29, 2011

We are persuaded, however, that the four month transition period we proposed would be inadequate and have extended the period to one year. 47 47  The one year period would not begin to run … Several commenters suggested that we provide a transition period to allow family offices time to determine whether they meet the exclusion or to restructure or register under the Advisers Act if they do

Self-Regulatory Organizations; New York Stock Exchange, Inc., Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Relating to Amendments to Exchange Rule 607

Federal Register · Notice · Jun 23, 2005

Pursuant to Section 19(b)(1)  1 of the Securities Exchange Act of 1934 (“Exchange Act” or “Act”), 2 and Rule 19b-4 thereunder, 3 notice is hereby given that on January 4, 2005, the New York … the Act.

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes

Federal Register · Notice · Mar 26, 2018

On February 8, 2018, pursuant to Section 19(b)(2)(A)(ii)(I) of the Act, 5 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether … On January 24, 2018, the Commission extended the review period of the Advance Notice for an additional 60 days pursuant to Section 806(e)(1)(H) of the Clearing Supervision Act.

Amendments to Rules for Nationally Recognized Statistical Rating Organizations

Federal Register · Rule · Dec 4, 2009

in response to these inquiries. 85 Of these, three commenters expressed agreement with the proposed twelve-month grace period, 86 with one noting that a six-month grace period would also be … Three commenters argued for a longer grace period, citing the negative effects on revenue they expected would arise from a twelve-month period. 88 One commenter, arguing that the required disclosure

Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4.3, Record of Written Complaints

Federal Register · Notice · Jul 9, 2015

iii) under the Act. 4 The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b- … 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; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Definition of Firm Customer Quote Size in the Linkage Plan

Federal Register · Notice · Sep 20, 2005

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 .

Proposed Collection; Comment Request

Federal Register · Notice · Jul 11, 2000

of 1995 (44 U.S.C. 3501 et seq. ), the Securities and Exchange Commission (the “Commission” ) is soliciting comments on the collections of information under the Investment Company Act of 1940 (“Act … Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to Michael E.

Rule 701Exempt Offerings Pursuant to Compensatory Arrangements

Federal Register · Proposed Rule · Mar 5, 1998

We will consider comments on this inquiry in complying with our responsibilities under section 19(a) of the Securities Act.\28\ We further request comment on any competitive burdens that may result from … We will consider comments on this inquiry in complying with our responsibilities under section 23(a) of the Exchange Act.\29\ Comment letters should refer to File No. S7-5-98.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rules 4702 and 4703

Federal Register · Notice · Mar 1, 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; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of Changes to the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility

Federal Register · Notice · Feb 6, 2013

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 OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to [sic] Proposes To Delay the Operative Date of a Rule Change to Exchange Rule 133

Federal Register · Notice · Feb 11, 2013

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 Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut Facility

Federal Register · Notice · Jan 17, 2006

For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change, as amended, the Commission considers the period to commence on December 30, 2005 … the Act.

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Short Interest Reporting

Federal Register · Notice · Oct 3, 2007

Periodic Reports Member organizations shall submit, as required by the Exchange, periodic reports with respect to short positions in securities. … rule-comments@sec.gov .

Self-Regulatory Organizations; Cboe BZX Exchange, 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 List and Trade Shares of the BondBloxx Private Credit Trust

Federal Register · Notice · Jun 27, 2025

Comments on the proposal are available at: https://www.sec.gov/comments/sr-cboebzx-2024-126/srcboebzx2024126.htm. … On February 7, 2025, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or

Self-Regulatory Organizations; Cboe BZX Exchange, 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 Permit the Generic Listing and Trading of Multi-Class ETF Shares

Federal Register · Notice · Oct 30, 2024

Comments on the proposed rule change are available at: https://www.sec.gov/comments/sr-cboebzx-2024-026/srcboebzx2024026.htm. … On May 30, 2024, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute