Documents

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Rule 2102 To Add Additional Securities to the Pilot Rule

Federal Register · Notice · Jul 7, 2010

the Act. … All submissions should refer to File Number SR-ISE-2010-66 and should be submitted on or before July 19, 2010. 10 10  The Commission believes that a 10-day comment period is reasonable, given

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program

Federal Register · Notice · Feb 8, 2016

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. … 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 Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Rule 8.23

Federal Register · Notice · Aug 4, 2026

The proposed rule change was immediately effective upon filing with the Commission pursuant to Section 19(b)(3)(A) of the Act. 3 The proposed rule change was published for comment in the Federal … rule change and submitted comments, and the issues raised therein.

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Federal Register · Notice · Apr 18, 2022

period of time to set up and test a new market data product. … 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; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Federal Register · Notice · Apr 18, 2022

period of time to set up and test a new market data product. … 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.

Submission for OMB Review; Comment Request

Federal Register · Notice · Oct 7, 2003

Form N-27F-1, which is prescribed by rule 27f-1, is used to notify recent purchasers of periodic payment plan certificates of their right under section 27(f) of the Act to return the certificates within … Comments must be submitted to OMB within 30 days of this notice. Dated: September 29, 2003. Jill M. Peterson, Assistant Secretary.

Self-Regulatory Organizations; Notice of Extension of the Comment Period for the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Shareholder Approval or Stock Option Plans

Federal Register · Notice · Jan 5, 1999

to Section 19(b)(2) of the Act.\5\ Accordingly, the [[Page 562]] comment period shall be extended until January 25, 1999. --------------------------------------------------------------------------- … As originally noticed, the comment period expired on December 10, 1998.

Self-Regulatory Organizations; NYSE Arca, 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. 4 Thereto, Amending NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares

Federal Register · Notice · May 26, 2016

On January 4, 2016, pursuant to Section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute … The Commission may, however, extend the period for issuing an order approving or disapproving the proposed rule change by not more than 60 days if the Commission determines that a longer period is appropriate

Filings Under the Public Utility Holding Company Act of 1935, as amended (``Act'')

Federal Register · Notice · Aug 9, 1996

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26550] Filings Under the Public Utility Holding Company Act of 1935, as amended (``Act'') August 2, 1996. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by August 26, 1996, to the Secretary, Securities and Exchange

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67-Equities To Modify the Web Site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program

Federal Register · Notice · Dec 12, 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; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating To Listing and Trading of Exchange-Traded Managed Fund Shares

Federal Register · Notice · Sep 10, 2014

The proposed rule change was published for comment in the Federal Register on March 12, 2014. 3 The Commission received four comment letters on the proposal. 4 On April 23, 2014, pursuant … to Section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings

Rule 701Exempt Offerings Pursuant to Compensatory Arrangements

Federal Register · Rule · Mar 8, 1999

We received no comments in response to this request either. A copy of the Final Regulatory Flexibility Act Analysis may be obtained from Twanna M. … period of time before the date of sale: (1) If the plan is subject to the Employee Retirement Income Security Act of 1974 (``ERISA'') (29 U.S.C. 1104-1107), a copy of the summary plan description

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements)

Federal Register · Notice · Sep 27, 2021

period that FINRA proposed. 101 One of those commenters strongly supported this aspect of the proposal as a welcome and necessary improvement to continuing education, but preferred a seven-year period … of time to maintain qualifications so as to more closely align with the existing seven-year period in the FSAWP program. 102 Other commenters suggested that a seven-year period would be ideal in

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Federal Register · Notice · Sep 22, 2022

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 To List and Trade Shares of the Global X Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Federal Register · Notice · Feb 15, 2022

Comments on the proposed rule change can be found at: https://www.sec.gov/comments/sr-cboebzx-2021-052/srcboebzx2021052.htm. … On September 29, 2021, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Listing Rule IM-5101-2 To Permit an Acquisition Company To Contribute a Portion of Its Deposit Account to Another Entity in a Spin-Off or Similar Corporate Transaction

Federal Register · Notice · Jan 7, 2022

Comments received on the proposal are available on the Commission's website at: https://www.sec.gov/comments/sr-nasdaq-2021-054/srnasdaq2021054.htm. … proposed rule change and comments received.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Exchange Rule 5.3-O To Permit the Listing and Trading of Options on Commodity-Based Trust Shares

Federal Register · Notice · Jul 25, 2024

on January 25, 2024. 4 The Commission received comment letters regarding the proposed rule change. 5 On March 6, 2024, pursuant to Section 19(b)(2) of the Act, 6 the Commission designated … 5  Comment letters on the proposed rule change are available at https://www.sec.gov/comments/sr-nysearca-2024-06/srnysearca202406.htm . 6  15 U.S.C. 78s(b)(2). 7   See Securities

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow for Extended Trading of Multi-Listed Equity Options

Federal Register · Notice · Mar 26, 2026

The proposed rule change was published for comment in the Federal Register on October 3, 2025. 3 On November 3, 2025, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … received one comment letter regarding the proposed rule change. 8 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 104160 (Sep

Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Sections 1003 and 1009 of the NYSE American Company Guide

Federal Register · Notice · Sep 17, 2026

Comments received on the proposed rule change are available at: https://www.sec.gov/rules-regulations/public-comments/sr-nyseamer-2026-17. … On April 29, 2026, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to take action on the proposed rule change. 5 On June 2, 2026, the Commission

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-27 To Further Extend the Current Regulatory Relief for Remote Office Inspections Through June 30, 2024 and Amend MSRB Rule G-16 To Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities

Federal Register · Notice · May 8, 2023

The MSRB proposes an operative date of July 1, 2023. 3  Section 15B(c)(7)(A)(i) of the Exchange Act provides that periodic examinations of municipal securities brokers and municipal securities … rule-comments@sec.gov .