Documents

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E

Federal Register · Notice · Nov 18, 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)

Federal Register · Notice · Jun 28, 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

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules Related to Risk Management Functionality for BATS Options

Federal Register · Notice · Jun 14, 2012

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; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee

Federal Register · Notice · Jul 6, 2020

The closure period was extended twice, through June 30, 2020 (the “Initial Closure”). 8 8   See Securities Exchange Act Release Nos. 88403 (March 17, 2020), 85 FR 16400 (March 23, 2020) … for the length of the period.

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Catastrophic Errors

Federal Register · Notice · Jun 27, 2008

period applicable to an Obvious Error under current Phlx Rule 1092. … rule-comments@sec.gov .

Self-Regulatory Organizations; Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 by the American Stock Exchange LLC Relating to Issuer Listing Standards and Procedures

Federal Register · Notice · May 14, 2002

Comments and Response A. … (d) of the Company Guide is contrary to section 18 of the Securities Act of 1933 (“Securities Act”). 16 The commenters expressed the concern that the “currently listed securities” standards would

Proposed Amendments to the Rules of Practice and Related Provisions

Federal Register · Proposed Rule · Dec 5, 2003

Comment is requested as to whether this period is appropriate, or whether a longer or shorter period would be preferable. 5. … The Commission requests comment as to whether this period is appropriate, or whether a longer or shorter period would be preferable. 6.

Improving Descriptions of Risk by Mutual Funds and Other Investment Companies

Federal Register · Proposed Rule · Apr 4, 1995

of 1940 (``Investment Company Act'') Rel. … See Summary of Comment Letters Relating to Proposed Rule 482(g) Made in Response to Investment Company Act Release No. 19342, File No.

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Introduce the ATR Protection for Orders That Are Routed to Away Markets

Federal Register · Notice · Mar 14, 2018

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on February 23, 2018, Nasdaq ISE, LLC (“ISE” or “Exchange … 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; Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC Relating to the Use of Certain Consolidated Tape Association Financial Status Indicator Fields and Related Disclosure Obligations

Federal Register · Notice · Mar 21, 2005

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

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees

Federal Register · Notice · Dec 15, 2017

No. 80693 (May 16, 2017), 82 FR 23363 (May 22, 2017) (SR-NYSE-2017-22). 26  For a summary of comments, see generally Securities Exchange Act Rel. … Act.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Amend the Exchange's Opening Process, Including on VIX Settlement Days

Federal Register · Notice · Sep 11, 2019

, 2, and 3 are 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 of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend MIAX Rule 518, Complex Orders

Federal Register · Notice · Feb 22, 2019

The proposed rule change was published for comment in the Federal Register on November 23, 2018. 3 On December 21, 2018, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … the Act.

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations), To Expand the List of Violations Eligible for Disposition Under the Exchange's Minor Rule Violation Plan and To Update the Fine Schedule Applicable to Minor Violations of Certain Rules

Federal Register · Notice · Jul 13, 2022

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; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Extend the FLEX No Minimum Value Pilot Program

Federal Register · Notice · Mar 28, 2011

The Exchange requests that the Commission waive the 30-day operative delay period contained in Exchange Act Rule 19b-4(f)(6)(iii). 4 4  17 CFR 240.19b-4(f)(6)(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; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Inactivity Fee on the CBOE Stock Exchange Fees Schedule

Federal Register · Notice · Oct 6, 2011

minimum trading level for the previous month for which the fee was incurred) over the following calendar month period, then CBSX will rescind the fee for the previous calendar month period. … 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.

Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant

Federal Register · Proposed Rule · Oct 1, 2015

should be assumed to apply to periodic reporting under the Exchange Act and registration statements filed under the Exchange Act and the Securities Act. 17  The descriptions in this release … Prior to the adoption of Rule 3-05 in 1982, some commenters questioned the need for financial statements of acquired businesses for periods prior to the acquisition.

Ownership Reports and Trading by Officers, Directors and Principal Security Holders

Federal Register · Uncategorized Document · Aug 17, 1994

of 1934 (``Exchange Act'') and related provisions of the Investment Company Act of 1940 (``Investment Company Act'') and the Public Utility Holding Company Act of 1935. … Comment is solicited on how long a transition period issuers and insiders would need, assuming adoption of the proposals.

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendment No. 2, To Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules

Federal Register · Notice · Feb 26, 2024

On September 25, 2023, pursuant to section 19(b)(2) of the Exchange Act, 5 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether … Comments are available at https://www.sec.gov/comments/sr-nscc-2023-007/srnscc2023007.htm.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend a Pilot Amendment to NASD Rule 4120 Regarding Nasdaq's Authority To Initiate and Continue Trading Halts

Federal Register · Notice · Feb 1, 2002

Before the expiration of the pilot period extension proposed herein, Nasdaq will file an amendment to SR-NASD-2001-75 that will modify the proposed rule and seek additional public comment on the rule as … 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.