Documents

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Adopt Rule 7004 and Chapter XV, Section 11

Federal Register · Notice · Dec 14, 2017

Amendment No. 1 is available on the Commission's website for BX at: https://www.sec.gov/comments/sr-bx-2017-023/bx2017023-2673141-161453.pdf. 10   See Securities Exchange Act Release No … Act.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Adopt Rule 7004 and Chapter XV, Section 11

Federal Register · Notice · Dec 14, 2017

Amendment No. 1 is available on the Commission's website for Phlx at: https://www.sec.gov/comments/sr-phlx-2017-37/phlx201737-2669581-161442.pdf. 10   See Securities Exchange Act Release … Act.

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

Federal Register · Notice · Jul 30, 2015

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

Removal of References to Credit Ratings From Regulation M

Federal Register · Proposed Rule · Mar 30, 2022

Request for Comment VI. General Request for Comment VII. Paperwork Reduction Act Analysis A. Background B. Proposed Use of Information C. Information Collections D. … Request for Comment IX. Regulatory Flexibility Act Certification X.

Self-Regulatory Organizations; Order Granting Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc., Relating to EWN II Fees for NASD Members

Federal Register · Notice · Feb 15, 2001

period, 12 and that this current proposal imposing the same fees for the period of December 1-12, 2000, has been subject to a full notice and comment period. 13 No comments were received on … Thus, the proposed rule change concerns issues that previously have been the subject to a full comment period pursuant to section 19(b) of the Act. 14 For these reasons, the Commission believes accelerated

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Options

Federal Register · Notice · Mar 16, 2016

The proposed rule change was published for comment in the Federal Register on December 14, 2015. 3 The Commission received no comments on the proposal. … 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

Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments

Federal Register · Proposed Rule · Oct 11, 2019

to a longer review period. … This alternative would provide a comment period for Proposed Fee Changes to NMS plans before they go into effect.

Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt the CHX Liquidity Enhancing Access Delay

Federal Register · Notice · Aug 23, 2017

The proposed rule change was published for comment in the Federal Register on February 21, 2017. 3 On April 3, 2017, the Commission designated a longer period within which to approve the proposed … All comments on the proposed rule change are available at: https://www.sec.gov/comments/sr-chx-2017-04/chx201704.htm. 6  15 U.S.C. 78s(b)(2)(B). 7   See Securities Exchange Act

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Proposing a Pilot Program To Create a Lead Market Maker Issuer Incentive Program for Issuers of Certain Exchange-Traded Products Listed on NYSE Arca, Inc.

Federal Register · Notice · Oct 9, 2012

to Section 19(b)(2) of the Act, 5 the Commission extended the time period for Commission action on the proposed rule change to August 15, 2012. 6 The Commission subsequently received one … thereafter received six comment letters and a response letter from the Exchange. 9 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release

Registration Fees for Certain Investment Companies

Federal Register · Proposed Rule · Feb 7, 1995

All comment letters should refer to File No. S7-3-95. … ' time periods, respectively.

Self-Regulatory Organizations; New York Stock Exchange LLC; 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 Partial Amendment No. 1, To Amend Rules 7.35 and 7.35A

Federal Register · Notice · May 12, 2021

The proposed rule change was published for comment in the Federal Register on November 17, 2020. 3 On December 18, 2020, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … 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; Long-Term Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend LTSE Rule 14.501 To Specify the Process for Enforcing Compliance With LTSE Rule 14.425 for Listed Companies

Federal Register · Notice · Feb 4, 2021

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 and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks)

Federal Register · Notice · Oct 19, 2021

SR-NYSE-2021-40). 16   See Securities Exchange Act Release No. 92785A (August 27, 2021), 86 FR 50202 (September 7, 2021) (Notice of Designation of a Longer Period for Commission Action on … 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 of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Give Authority to a 3-Member Subcommittee of NASD's Market Regulation Committee to Review Alternative Display Facility System Outage and Denial of Excused Withdrawal Determinations

Federal Register · Notice · Dec 15, 2003

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 also be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. SR-NASD-2003-145.

Self-Regulatory Organizations; Notice of Extension of the Comment Period for the Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings

Federal Register · Notice · Jan 24, 2005

period expires on January 18, 2005. 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 50896 (December 20, 2004), 69 FR 77804 (December … To give the public additional time to comment on the proposed rule changes, the Commission has decided to extend the comment period pursuant to Section 19(b)(2) of the Act. 4 Accordingly the comment

Calculation of Yield by Certain Unit Investment Trusts

Federal Register · Proposed Rule · Nov 29, 1995

SUPPLEMENTARY INFORMATION: The Securities and Exchange Commission (``Commission'') today is proposing for comment: (1) Amendments to Form S-6 [17 CFR 239.16] under the Securities Act of 1933 [15 U.S.C … General Request for Comments IV. Cost/Benefit Analysis V. Summary of Initial Regulatory Flexibility Act Analysis VI. Paperwork Reduction Act VII. Text of Proposed Rule and Form Amendments I.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Temporarily the Auction Collars for Exchange-Facilitated Core Open Auctions Under Rule 7.35C

Federal Register · Notice · Jun 18, 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1 and 2

Federal Register · Notice · Apr 15, 2016

said that an implementation period of at least 18 months would be appropriate and that two years would be more practical. 171 This commenter said that the proposed six-month period for implementation … with the Exchange Act.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee

Federal Register · Notice · Jun 2, 2020

for the length of the period. … 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 · Jun 2, 2020

for the length of the period. … 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