Documents

Notice of Extension of Comment Period for Issues Relating to Market Fragmentation

Federal Register · Notice · May 2, 2000

The comment period relating to the rescission of Exchange Rule 390 expired on March 20, 2000; the comment period for issues related to market fragmentation is scheduled to expire on April 28, 2000. … The Commission has decided to extend for two weeks until May 12, 2000, the comment period for issues related to market fragmentation.

Money Market Fund Reforms

Federal Register · Proposed Rule · Feb 8, 2022

Act. … “Securities Act” means the Securities Act of 1933 [15 U.S.C. 77a-aa].

Interactive Data To Improve Financial Reporting

Federal Register · Proposed Rule · Jun 10, 2008

exhibits to Securities Act registration statements and Exchange Act periodic and transition reports filed with us. … Request for Comments We solicit comment on the expected Paperwork Reduction Act effects of the proposed amendments, including the following: • The accuracy of our estimates of the additional burden hours

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds

Federal Register · Notice · Jan 2, 2020

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.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require Members To Report OTC Equity Transactions as Soon as Practicable, But No Later Than 10 Seconds, Following Execution

Federal Register · Notice · Mar 25, 2013

Section 19(b)(2) of the Act  5 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 … and any response to the comments submitted by FINRA.

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Twenty-Third Amendment to the National Market System Plan To Address Extraordinary Market Volatility

Federal Register · Notice · May 20, 2024

Comments received in response to the Notice can be found on the Commission's website at: https://www.sec.gov/comments/4-631/4-631.htm. … and the comments received.

Firm Quote and Trade-Through Disclosure Rules for Options

Federal Register · Rule · Dec 1, 2000

As a result, brokers must periodically assess the quality of competing markets. See Securities Exchange Act Release No. 37619A (September 6, 1996), 61 FR 48290 (September 12, 1996). … Another commenter, while also acknowledging OPRA capacity constraints, argued that the concept of the periodic publication of firm quote sizes is contrary to OPRA's plan to require the dissemination of

Proposed Collection; Comment Request

Federal Register · Notice · Apr 7, 2005

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 350l 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”) summarized below.

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; NYSE American LLC; Notice of Filing of Proposed Change Amending Section 1003 of the NYSE American LLC Company Guide To Provide for the Suspension and Delisting of Any Company That: (i) Has Effected One or More Reverse Stock Splits Over the Prior Two-Year Period With a Cumulative Ratio of 200 Shares or More to One; or (ii) Has Effectuated a Reverse Stock Split and the Effectuation of Such Reverse Stock Split Results in the Company's Security Falling Below Any of the Continued Listing Requirements of Section 1003

Federal Register · Notice · Nov 4, 2024

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; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4)

Federal Register · Notice · May 8, 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.

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, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Federal Register · Notice · Jun 9, 2022

The proposed rule change was published for comment in the Federal Register on December 7, 2021. 3 On January 20, 2022, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … The comment letters received on the proposed rule change are available on the Commission's website at: https://www.sec.gov/comments/sr-cboebzx-2021-078/srcboebzx2021078.htm. 4  15 U.S.C. 78s

Self-Regulatory Organizations; Cboe BYX 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, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Federal Register · Notice · Jun 9, 2022

The proposed rule change was published for comment in the Federal Register on December 7, 2021. 3 On January 20, 2022, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … The comment letters received on the proposed rule change are available on the Commission's website at: https://www.sec.gov/comments/sr-cboebyx-2021-028/srcboebyx2021028.htm. 4  15 U.S.C. 78s

Self-Regulatory Organizations; National Securities 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 Risk Charge in the VaR Charge

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. 6  Letter from Cass Sanford, Associated General … Section 19(b)(2) of the Act  7 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; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce the Exchange's Order Entry Protocol Migration Program

Federal Register · Notice · Sep 2, 2026

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; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Related to Market Wide Risk Protection

Federal Register · Notice · Apr 6, 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; 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; 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt as Permanent the Limited Fee Waiver Pilot Program Pursuant to FINRA Rule 7730

Federal Register · Notice · Oct 16, 2014

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