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Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Federal Register · Rule · Dec 4, 2009
in response to these inquiries. 85 Of these, three commenters expressed agreement with the proposed twelve-month grace period, 86 with one noting that a six-month grace period would also be … Three commenters argued for a longer grace period, citing the negative effects on revenue they expected would arise from a twelve-month period. 88 One commenter, arguing that the required disclosure
74 FR 63832Securities and Exchange CommissionFederal Register · Notice · Nov 8, 2012
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
77 FR 67044Securities and Exchange CommissionFederal 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
75 FR 36759Securities and Exchange CommissionFederal 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
75 FR 36762Securities and Exchange CommissionFederal 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
75 FR 36765Securities and Exchange CommissionFederal 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
75 FR 36768Securities and Exchange CommissionFederal Register · Notice · Apr 12, 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
84 FR 14983Securities and Exchange CommissionFederal Register · Notice · Nov 15, 2016
During the anticipatory period investors can trade RealDay Options in order to get exposure to implied volatility and during the active period RealDay Options will act and be traded in the same manner … 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
81 FR 80125Securities and Exchange CommissionFederal Register · Notice · Feb 10, 2004
The measuring period for the top 120 equity options encompasses three months and the Exchange files a separate proposed rule change for each three-month trading period. … 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-Phlx-2004-05.
69 FR 6357Securities and Exchange CommissionFederal Register · Notice · Sep 2, 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. … rule-comments@sec.gov.
74 FR 45504Securities and Exchange CommissionFederal Register · Notice · Mar 24, 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
74 FR 12426Securities and Exchange CommissionFederal Register · Notice · Jun 21, 2005
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
70 FR 35753Securities and Exchange CommissionFederal Register · Rule · Jun 29, 2011
We are persuaded, however, that the four month transition period we proposed would be inadequate and have extended the period to one year. 47 47 The one year period would not begin to run … Several commenters suggested that we provide a transition period to allow family offices time to determine whether they meet the exclusion or to restructure or register under the Advisers Act if they do
76 FR 37983Securities and Exchange CommissionFederal Register · Notice · Apr 14, 2006
the Act. … rule-comments@sec.gov.
71 FR 19568Securities and Exchange CommissionFederal Register · Notice · Oct 24, 2008
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
73 FR 63533Securities and Exchange CommissionFederal Register · Notice · Oct 28, 2011
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
76 FR 67012Securities and Exchange CommissionFederal Register · Notice · Oct 2, 2001
Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others Written comments were neither solicited nor received. 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.
66 FR 50237Securities and Exchange CommissionFederal Register · Notice · Oct 3, 2005
. 17 17 For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change, as amended, under Section 19(b)(3)(C) of the Act, the Commission … 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
70 FR 57632Securities and Exchange CommissionFederal Register · Notice · Nov 14, 2011
Reporting Period Several commenters recommended that reporting of the proposed SSOI be on a quarterly basis. 30 These commenters stated that “[m]any firms as a matter of course have more detailed … Comment Period One commenter expressed disappointment that the comment period ended the same day FINRA sent the Notice. 49 The commenter believed that FINRA did not give the public ample opportunity
76 FR 70523Securities and Exchange CommissionFederal Register · Notice · Nov 25, 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
87 FR 72523Securities and Exchange Commission
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