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Agency decision · Agency decision

It is possible that the actual period which may be required to effect the liquidation of some of the Acquired Assets may exceed the expected five year period. … Nelson at 212-756-2470), or Peter Nussbaum (212-756-2565) who is also familar with this matter, with any comments, questions or requests for additional inormation regarding the foregoing.

Processing Requirements for Cancelled Security Certificates

Federal Register · Rule · Dec 23, 2003

In another instance, a transfer agent's shipping bags filled with cancelled certificates were stolen while in commercial air transit. … We received five comments on this proposal. 43 The commenters said that the proposed time frame of ten business days was too short a period for transfer agents to verify the non-delivery, to investigate

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy

Federal Register · Notice · Dec 1, 2009

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

Pacific Clean Water Technologies, Inc.; Order of Suspension of Trading

Federal Register · Notice · Oct 22, 2013

SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] Pacific Clean Water Technologies, Inc.; Order of Suspension of Trading October 11, 2013. … Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed company is suspended for the period from 5:30 p.m.

Self-Regulatory Organizations; Order Granting Partial Approval of Proposed Rule Change and Notice of Filing and Order Granting Partial Accelerated Approval of Amendments No. 2 and 3 to the Proposed Rule Change by the Pacific Exchange, Inc. Relating to Its Automatic Execution System

Federal Register · Notice · Feb 23, 2001

Amendment No. 3 simply cleans up minor punctuation and spacing problems in the proposed rule text. … Act.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto by the American Stock Exchange, Inc. Relating to Index Fund Shares

Federal Register · Notice · Dec 6, 1995

the Fund during the applicable period, net of expenses and liabilities for such period. … Share prices are ``swept clean'' daily and adjusted for any rights issues, stock dividends or splits.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)

Federal Register · Notice · Jul 15, 2010

Three comment letters generally oppose any expanded disclosure of Historic Complaints. 26 Three additional commenters take issue with the scope, time period and/or method of disclosure of Historic … In addition, if registered persons are aware that their CRD information will be available for a longer period of time, it should provide an additional incentive to act consistent with industry best practices

Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)

Federal Register · Notice · Dec 1, 2003

; (vii) Sale of energy-peaking services via propane-air or liquefied natural gas (“LNG”), which involves the provision of back-up electricity or gas supply in periods of high or “peak” energy demand using … under the Act under section 3(a)(1) of the Act.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Amended, Relating to Exchange Rule 104.10 (“Dealings by Specialists”)

Federal Register · Notice · Dec 8, 2006

public comment period should be reset. 60 In addition, the commenter urged the Commission to consider the proposal at a public hearing. 61 60   See Rutherfurd Letters I, II, III, IV … up the market in a manner that is similar to cleaning up the book.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4121

Federal Register · Notice · Jul 25, 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 Proposed Rule Change To Relocate the Options Rules Under Chapter IV, Securities Traded on NOM

Federal Register · Notice · Jun 10, 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; CME Securities Clearing Inc.; Notice of Filing of Proposed Amendments to the CMESC Stress Testing & Guaranty Fund Sizing Policy (or the “Policy”) and Proposed Amendments to Rule 402(b)

Federal Register · Notice · Aug 18, 2026

CMESC filed the proposed rule change pursuant to Section 19(b)(2) of the Act. 3 The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. … (rather than a “two day” period), which aligns with the margin period of risk.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Elimination of Sector Index Options From Monthly Firm Cap

Federal Register · Notice · Mar 16, 2009

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposal is consistent with the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Orders

Federal Register · Notice · Mar 11, 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

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the CDSClear Risk Framework

Federal Register · Notice · Apr 17, 2026

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Exchange Act” or “Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on April 8, 2026, Banque Centrale de … of the purposes of the Act.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule

Federal Register · Notice · Dec 1, 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; Order Granting Approval of Proposed Rule Change by the American Stock Exchange LLC Relating to Crossing Procedures for Clean Agency Crosses

Federal Register · Notice · Feb 20, 2003

SR-Amex-2002-89] Self-Regulatory Organizations; Order Granting Approval of Proposed Rule Change by the American Stock Exchange LLC Relating to Crossing Procedures for Clean Agency Crosses February … The Amex filed an amendment to the proposed rule change on December 23, 2002. 3 The proposed rule change, as amended, was published for notice and comment in the Federal Register on January 7,

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule

Federal Register · Notice · Apr 29, 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; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Second Amended and Restated Limited Liability Company Agreement of Texas Stock Exchange LLC as the Third Amended and Restated Limited Liability Company Agreement of Texas Stock Exchange LLC

Federal Register · Notice · Mar 6, 2026

The Exchange believes that the clarifying and clean-up changes are consistent with the Act because they are not substantive and only act to make the LLC Agreement clearer and easier to understand. … 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; LCH SA; Notice of Filing of Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Implement Settled-to-Market Treatment of Variation Margin, Permit the Creation of Multiple Account Structures, Permit Select Members To Provide Clearing Services to Affiliated Firms, and Update the Onboarding Procedures

Federal Register · Notice · May 31, 2019

Extension of Time Period for Commission Action LCH SA does not consent to the extension of the time period listed in Section 19(b)(2) of the Securities Exchange Act of 1934 for Commission action. … rule-comments@sec.gov .