Documents

Proposed Collection; Comment Request

Federal Register · Notice · Jul 7, 2006

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

Conformed To Federal Register Version

Agency decision · Agency decision

of 1933 (“Securities Act”)1 Regulation S-T2 1 15 U.S.C. 77a et seq. 2 17 CFR 232.10 through 232.903 2 Securities Act and Investment Company Act of 1940 (“Investment Company Act,” or the “Act””) … maintain; current rule 31a-2 under the Act [17 CFR 270.31a-2] provides the retention period for those records.

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 805(c)(5) of the Guide to Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements

Federal Register · Notice · Nov 8, 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 Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1-4, To Amend the Co-location Services Offered by the Exchange To Add Certain Access and Connectivity Fees

Federal Register · Notice · Feb 27, 2017

Amendment Nos. 2 and 3 are available at https://www.sec.gov/comments/sr-nysemkt-2016-63/nysemkt201663.shtml. 10   See Securities Exchange Act Release No. 34-79672 (December 22, 2016), 81 … 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; New York Stock Exchange LLC; Order Disapproving a Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Reduce the Continued Listing Standards for Public Holders From 300 to 100 and To Enable the Exchange To Exercise Discretion To Allow Special Purpose Acquisition Companies a Reasonable Time Period Following a Business Combination to Demonstrate Compliance With the Applicable Quantitative Listing Standards

Federal Register · Notice · Jun 20, 2019

or disapprove the proposed rule change. 7 The Commission received one additional comment letter, from the same commenter, on the OIP. 8 On April 15, 2019, the Commission designated a longer … Summary of Comments The Commission received one comment letter on the proposal and an additional comment letter, from the same commenter, in response to the OIP. 17 The commenter stated that it

Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing of a Proposed Rule Change To Implement a Warrant Performance Incentive Program

Federal Register · Notice · Sep 26, 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 ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks)

Federal Register · Notice · Oct 21, 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; EDGX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change as Modified by Amendment No. 2 to Amend EDGX Rules 11.9 and 11.5 Regarding Step-up Orders

Federal Register · Notice · Feb 24, 2011

one comment letter on the proposal, 7 and received the Exchange's response to the comment letter. 8 This order institutes proceedings pursuant to Section 19(b)(2)(B) of the Act to determine … rule-comments@sec.gov.

Unlisted Trading Privileges

Federal Register · Proposed Rule · Feb 9, 1995

The Commission also seeks comment on the one-trade waiting period as proposed. … Commenters also may wish to provide an analysis of the effects of the current two-day waiting period.

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Applicable to Rule 530 Relating To Limit Up/Limit Down

Federal Register · Notice · Feb 25, 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; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Model Validation Framework

Federal Register · Notice · Apr 23, 2019

ICC proposes clarifying changes to the `Independent Periodic Review' section. … , or advance notice is consistent with the Act.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Succeeding to the Registration Status of a Predecessor Firm

Federal Register · Notice · Jun 18, 2009

Two commenters suggested expanding the 14-day period to a 45-day period. The Board has considered these comments but has decided to adopt the 14-day deadline. … of Title I of the Act.

Incentive-Based Compensation Arrangements

Federal Register · Proposed Rule · Jun 10, 2016

The docket may be viewed after the close of the comment period in the same manner as during the comment period. … Request for Comments V. Regulatory Analysis A. Regulatory Flexibility Act B. Paperwork Reduction Act C.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers

Federal Register · Notice · Apr 16, 2009

For the time period of July 2008 to December 2008, RCMM and CT average trading volume did not exceed .0011% of the Exchange's total trading volume per month for that time period. … 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 PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 9, B, Port Fees

Federal Register · Notice · Aug 4, 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; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow for Replacement Issues To Be Added to the Penny Pilot Program (“Pilot Program”) on a Quarterly Basis

Federal Register · Notice · Apr 4, 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

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rules Related to Round Lot and Normal Unit of Trading

Federal Register · Notice · Dec 30, 2025

For any security that becomes an NMS Stock during an operative period, as described in Rule 600(b)(93)(iv), 11 a round lot is 100 shares. 8   See Securities Exchange Act Release No. 101070 … rule-comments@sec.gov.

Revision of Rule 504 of Regulation D, the ``Seed Capital'' Exemption

Federal Register · Proposed Rule · May 28, 1998

Comments on this proposal will be considered by us in complying with our responsibilities under Section 19(a) of the Securities Act.\31\ We further request comment on any competitive burdens that may result … Paperwork Reduction Act Our staff has submitted the proposals for review to the Office of Management and Budget (``OMB'') in accordance with the Paperwork Reduction Act of 1995 (``the Act''). 35 The

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490

Federal Register · Notice · Dec 1, 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 National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 6.7400 Series

Federal Register · Notice · Sep 20, 2021

period”). … believe it would be appropriate for the 180-day period to commence prior to the October 26, 2020 compliance date. 13 13   See FINRA's Response to Comments, supra note 8.