Documents

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Registration Rules in General 4

Federal Register · Notice · Mar 17, 2022

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; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Certain Fee Programs in Connection With Its OTC Interest Rate Swap Clearing Offering

Federal Register · Notice · Jan 11, 2012

Program Term Non-Asset Managers Qualification Period: January 6, 2012 through December 31, 2012. Earned Incentive Period: January 1, 2013 through December 31, 2016. … Asset Managers Qualification Period: January 6, 2012 through December 31, 2012. Earned Incentive Period: January 1, 2013 through December 31, 2021. Hours N/A.

Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.13, Entitled “Clearly Erroneous Executions”

Federal Register · Notice · May 6, 2014

for the Plan, including any extensions to the pilot period for the Plan. 7 3  Securities Exchange Act Release No. 62886 (September 10, 2010), 75 FR 56613 (September 16, 2010) (SR-EDGA-2010 … 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 OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Add New Paragraphs (h) and (i) to Rule 11890, entitled “Clearly Erroneous Transactions”

Federal Register · Notice · May 6, 2014

for the Plan, including any extensions to the pilot period for the Plan. 7 3  Securities Exchange Act Release No. 62886 (Sept. 10, 2010), 75 FR 56613 (Sept. 16, 2010) (SR-BX-2010-040). … 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 of 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 · Feb 12, 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; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the IPO Auction Processes for Trading in an IEX-Listed Security That Is the Subject of an Initial Public Offering

Federal Register · Notice · Jul 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

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Proposed Rule · Dec 6, 2010

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … • Is two years an appropriate period of time to extend the rule? Or should we extend the rule for a different period of time? If so, for how long? IV.

UNITED STATES OF AMERICA

Agency decision · Agency decision

. § 201.1104, provides in relevant part, “[t]he order approving or disapproving the plan should be entered within 30 days after the end of the final period allowed for comments on the proposed plan unless … Thirty days from the end of the final period for comments on the Plan will lapse on July 1 Exchange Act Rel. No. 94995 (May 26, 2022). 25, 2022.

UNITED STATES OF AMERICA

Agency decision · Agency decision

. § 201.1104, provides in relevant part, “[t]he order approving or disapproving the plan should be entered within 30 days after the end of the final period allowed for comments on the proposed plan unless … Thirty (30) days from the end of the final period for comments on the Plan will lapse on July 21, 2023. The Division requests additional time to present its recommendation to the 1 Exchange Act Rel.

UNITED STATES OF AMERICA

Agency decision · Agency decision

. § 201.1104, provides in relevant part, “[t]he order approving or disapproving the plan should be entered within 30 days after the end of the final period allowed for comments on the proposed plan unless … Thirty (30) days from the end of the final period for comments on the Plan will lapse on 1 Exchange Act Rel. No. 88452 (Mar. 23, 2020). May 22, 2020.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Amend the Gross FOCUS Fee

Federal Register · Notice · Aug 7, 2007

The report is filed periodically with the Commission pursuant to Rule 17a-5 under the Act. 7  17 CFR 240.17d-1. … For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change under Section 19(b)(3)(C) of the Act, the Commission considers the period to commence

Retail Foreign Exchange Transactions

Federal Register · Rule · Jul 16, 2013

for the time period specified in the rule. … Reporting Requirements A broker-dealer is required to file with the Commission periodic financial and operational reports ( e.g., annual audited financial statements and periodic FOCUS Reports),

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standard No. 7, Engagement Quality Review, and Conforming Amendment

Federal Register · Notice · Nov 5, 2009

After considering these comments, the Board continues to believe that a “cooling-off” period will be beneficial to audit quality and that a two-year period appropriately safeguards objectivity without … Title I of the Act.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Odd-Lots in Nasdaq Securities

Federal Register · Notice · Jul 13, 2005

For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change under Section 19(b)(3)(C) of the Act, the Commission considers the period to commence … the Act.

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit

Federal Register · Notice · Jun 30, 2021

The Proposed Rule Change was published for comment in the Federal Register on May 14, 2021, 3 and the Commission has received one comment letter  4 on the changes proposed therein. 5 … 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 designate

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF

Federal Register · Notice · Apr 9, 2018

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 … the comment letters.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements

Federal Register · Notice · Jul 31, 2020

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 designate … by Amendment No. 1, and the comments received.

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a Supplemental Equity Rights Program

Federal Register · Notice · Jun 13, 2025

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@sec.gov.

Crowdfunding

Federal Register · Rule · Nov 16, 2015

Retention Period of Recordkeeping Requirements V. Final Regulatory Flexibility Act Analysis A. Need for the Rule B. Significant Issues Raised by Public Comments C. … the Commission clarify when the five-day reconfirmation period begins. 902 One commenter suggested material revisions made to the offering should restart the 21-day minimum period for the campaign

Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Schedule Applicable to Its OTC Credit Default Swap North American Index Clearing Offering

Federal Register · Notice · Dec 29, 2011

rate in the subsequent period. … The look-back period for the Flat Rate Fee Program is semi-annual, based on a calendar year, ending fifteen days prior to the beginning of the next six month period.