Documents

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.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .02 to Rule 7.35B

Federal Register · Notice · May 12, 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.shtm l); or • Send an email to rule-comments

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; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for Flexible Exchange Index Options

Federal Register · Notice · Apr 29, 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; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for Flexible Exchange Index Options

Federal Register · Notice · Nov 9, 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; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees Under MSRB Rule A-13

Federal Register · Notice · Mar 9, 2021

(the “Dodd-Frank 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; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend Rule 6230 To Reduce TRACE Reporting Period

Federal Register · Notice · May 20, 2003

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received. III. … 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook

Federal Register · Notice · Aug 4, 2008

In the case of former associated persons, the FINRA By-Laws also provide that the two-year period recommences if an amendment to a notice of termination filed within the original two-year period discloses … 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; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5710

Federal Register · Notice · Jan 30, 2013

Accordingly, results for leveraged Linked Securities over periods of time greater than one period ( e.g. … 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; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, To List and Trade Shares of the Innovator S&P 500 Buffer ETF Series, Innovator S&P 500 Power Buffer ETF Series, and Innovator S&P 500 Ultra Buffer ETF Series Under Rule 14.11(i)

Federal Register · Notice · Jul 26, 2018

  See Securities Exchange Act Release No. 82387, 82 FR 61613 (December 28, 2017) (extending the time period to February 20, 2018). 6   See Securities Exchange Act Release No. 82739, 83 … 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

Principal Trades with Certain Advisory Clients

Federal Register · Rule · Dec 30, 2010

letters addressing our proposal prior to the expiration of the comment period. 8 Six of these commenters generally supported extending rule 206(3)-3T, 9 and two commenters opposed an extension … After considering each of the comments, we are extending the rule's sunset period by two years to December 31, 2012, as proposed. 7   See Temporary Rule Regarding Principal Trades with Certain

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

Custody of Investment Company Assets Outside the United States Extension of Comment Period

Federal Register · Proposed Rule · Oct 12, 1995

ACTION: Proposed rule amendments and request for comment; extension of comment period. ----------------------------------------------------------------------- SUMMARY: The Commission is extending from … October 6, 1995 to November 6, 1995 the comment period for Investment Company Release No. 21259, which proposed amendments to rule 17f-5 under the Investment Company Act of 1940.

Investment Company Advertising: Target Date Retirement Fund Names and Marketing

Federal Register · Proposed Rule · Apr 9, 2014

The Commission is reopening the comment period to seek public comment on this recommendation. … DATES: The comment period for the proposed rule published on June 23, 2010 (75 FR 35919), is reopened. Comments should be received on or before June 9, 2014.

Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Implementation of Electronic Exercise Platform

Federal Register · Notice · Oct 17, 2018

”), and (iii) CDS Clearing Procedures (“Procedures”) to incorporate new terms and to make conforming, clarifying, and clean-up changes to implement a new electronic exercise platform (“EEP”) for the exercise … The proposed rule change was published for comment in the Federal Register on September 5, 2018. 3 The Commission has not received any comments on the proposed rule change.

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE National Rule 2.1210

Federal Register · Notice · May 5, 2021

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

Disclosure Update and Simplification

Federal Register · Proposed Rule · Aug 4, 2016

Solicitation of Comments X. Small Business Regulatory Enforcement Fairness Act XI. Statutory Authority I. Introduction A. … Company Act and periodic reports, proxy and information statements, or other reports under the Exchange Act and the Investment Company Act.

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Allow Nasdaq To Take Certain Actions on Behalf of Its Issuers in Connection With Nasdaq's Transition to a National Securities Exchange

Federal Register · Notice · Mar 2, 2006

and has made periodic filings under the 1940 Act identical in form to those required of investment companies that have registered their securities under Section 12(b) of the Act. 8  Nasdaq believes … rule-comments@sec.gov.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 133

Federal Register · Notice · Oct 9, 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; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 504, Trading Halts

Federal Register · Notice · Nov 19, 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