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Federal Register · Notice · Aug 4, 2008
In the case of former associated persons, the FINRA By-Laws also provide that the two-year period recommences if an amendment to a notice of termination filed within the original two-year period discloses … 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.
73 FR 45258Securities and Exchange CommissionFederal Register · Notice · Jan 30, 2013
Accordingly, results for leveraged Linked Securities over periods of time greater than one period ( e.g. … 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
78 FR 6379Securities and Exchange CommissionPrincipal Trades with Certain Advisory Clients
Federal Register · Rule · Dec 30, 2010
letters addressing our proposal prior to the expiration of the comment period. 8 Six of these commenters generally supported extending rule 206(3)-3T, 9 and two commenters opposed an extension … After considering each of the comments, we are extending the rule's sunset period by two years to December 31, 2012, as proposed. 7 See Temporary Rule Regarding Principal Trades with Certain
75 FR 82236Securities and Exchange CommissionFederal Register · Notice · Dec 1, 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 74766Securities and Exchange CommissionAgency decision · Agency decision
the Commission or the hearing officer, by written order, allows a longer period for good cause shown.” 1 Exchange Act Rel. … Thirty (30) days from the end of the final period for comments on the Plan will lapse on October 17, 2022.
Securities and Exchange CommissionFederal Register · Notice · Jan 30, 2020
for such period. … for such period.]
85 FR 5519Securities and Exchange CommissionCustody of Investment Company Assets Outside the United States Extension of Comment Period
Federal Register · Proposed Rule · Oct 12, 1995
ACTION: Proposed rule amendments and request for comment; extension of comment period. ----------------------------------------------------------------------- SUMMARY: The Commission is extending from … October 6, 1995 to November 6, 1995 the comment period for Investment Company Release No. 21259, which proposed amendments to rule 17f-5 under the Investment Company Act of 1940.
60 FR 53152Securities and Exchange CommissionFederal Register · Notice · Oct 20, 1995
Summary of Comments The Commission received two comment letters on the proposed rule change.\19\ The commenters, in general, expressed support for the proposed changes noting that there is a demonstrated … In this light, the commenters believe that further increases in tier size are warranted.
60 FR 54269Securities and Exchange CommissionInvestment Company Advertising: Target Date Retirement Fund Names and Marketing
Federal Register · Proposed Rule · Apr 9, 2014
The Commission is reopening the comment period to seek public comment on this recommendation. … DATES: The comment period for the proposed rule published on June 23, 2010 (75 FR 35919), is reopened. Comments should be received on or before June 9, 2014.
79 FR 19564Securities and Exchange CommissionFederal Register · Notice · Jun 17, 2004
The publication of that Notice to Members will trigger the start of the 60-day period. 2. … rule-comments@sec.gov.
69 FR 33969Securities and Exchange CommissionFederal Register · Notice · Oct 17, 2018
”), and (iii) CDS Clearing Procedures (“Procedures”) to incorporate new terms and to make conforming, clarifying, and clean-up changes to implement a new electronic exercise platform (“EEP”) for the exercise … The proposed rule change was published for comment in the Federal Register on September 5, 2018. 3 The Commission has not received any comments on the proposed rule change.
83 FR 52581Securities and Exchange CommissionFederal Register · Notice · Mar 1, 2004
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-2004-018.
69 FR 9662Securities and Exchange CommissionFederal Register · Notice · May 5, 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
86 FR 24090Securities and Exchange CommissionFederal Register · Notice · Jul 19, 2023
DTC filed the proposed rule change pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b-4(f)(4) thereunder. 4 The Commission is publishing this notice to solicit comments on the proposed … 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.
88 FR 46336Securities and Exchange CommissionFederal Register · Notice · Mar 29, 2005
the Act. … rule-comments@sec.gov.
70 FR 15955Securities and Exchange CommissionFederal Register · Notice · Mar 2, 2006
and has made periodic filings under the 1940 Act identical in form to those required of investment companies that have registered their securities under Section 12(b) of the Act. 8 Nasdaq believes … rule-comments@sec.gov.
71 FR 10734Securities and Exchange CommissionFederal Register · Notice · Nov 19, 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
78 FR 69468Securities and Exchange CommissionFederal Register · Notice · Sep 8, 2016
Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule changes 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
81 FR 62228Securities and Exchange CommissionFederal Register · Notice · Jan 24, 2006
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 considers the … the Act.
71 FR 3909Securities and Exchange CommissionFederal Register · Notice · Mar 6, 2008
. 5 The pilot period expired on February 27, 2008. … The Exchange now proposes to extend the current pilot program for an additional six month period, until August 27, 2008. 5 See Securities Exchange Act Release No. 56324 (August 27, 2007),
73 FR 12241Securities and Exchange Commission
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