Documents

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to SPY Position Limits

Federal Register · Notice · Jul 15, 2015

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; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the F&O Intraday Risk Management Policy

Federal Register · Notice · Sep 23, 2016

a one-day margin period of risk, as well as individually segregated sponsored accounts. … of risk or gross margining with a one-day margin period of risk).

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Settlement of UK Spot Natural Gas Contracts and European Emissions Contracts

Federal Register · Notice · Aug 23, 2016

Timing for delivery of relevant invoice details has been tied to the new Invoice Period definition. … 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; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-40 on E-Mail Contacts

Federal Register · Notice · Nov 9, 2007

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.

Regulation of Takeovers and Security Holder Communications

Federal Register · Rule · Nov 10, 1999

Most commenters that responded to this question were opposed to a minimum solicitation period. … In response to these comments, we have decided to adopt a more flexible approach to the subsequent offering period.

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Exchange's SQF Fees in Options 7, Section 6.C

Federal Register · Notice · Nov 7, 2024

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 ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Unified Agenda of Federal Regulatory and Deregulatory Actions

Federal Register · Proposed Rule · Dec 22, 2014

Section 610 Periodic Reviews Under the Regulatory Flexibility Act Section 610 of the Regulatory Flexibility Act (RFA) requires agencies to conduct a review within 10 years of promulgation of those regulations … The comment period ended on June 8, 2009, and the NRC received 16 public comments.

Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers

Federal Register · Notice · Apr 21, 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.

Financial Statements and Periodic Reports for Related Issuers and Guarantors

Federal Register · Proposed Rule · Mar 5, 1999

Current Exchange Act Periodic Reporting Requirements A. … We would not require them in Exchange Act periodic reports.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Nonstandard Expirations Pilot Program on a Pilot Basis, for an Initial Period of Twelve Months From the Date of Approval of This Proposed Rule Change

Federal Register · Notice · Nov 2, 2017

period prior to the initiation of the pilot. … , is consistent with the Act.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on the Auditor's Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified Opinion, and Departures From Unqualified Opinions and Other Reporting Circumstances, and Related Amendments to Auditing Standards

Federal Register · Notice · Jul 28, 2017

Some commenters generally supported communicating critical audit matters for only the current period's financial statements or for all periods if audited financial statements have not been made public … of Title I of the Act.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rules 2.16(c) and 2.21(i) to Harmonize the Requirement of When an ETP Holder Must File a Uniform Termination Notice for Securities Industry Registration With the Rules of Other Exchanges and FINRA

Federal Register · Notice · Jul 27, 2016

Pursuant to Section 19(b)(1)  1 of the Securities Exchange Act of 1934 (the “Act”)  2 and Rule 19b-4 thereunder, 3 notice is hereby given that, on July 14, 2016, NYSE Arca, Inc. … 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; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Federal Register · Notice · Apr 7, 2023

Exchange Act Release No. 96588 (December 28, 2022), 88 FR 381 (January 4, 2023) (SR-MIAX-2022-47). 17   See id. 18  The Exchange notes that at the end of the extension period, the … 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 Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend DTC's Procedures and Make Clarifying Changes to the DTC Rules

Federal Register · Notice · Nov 3, 2021

Specifically, because DTC is already subject to—and complies with—the time periods required by the Act and Dodd Frank, 33 DTC believes that self-imposed requirements to provide notice more quickly … 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

Calculation of Yield by Certain Unit Investment Trusts

Federal Register · Proposed Rule · Jan 19, 1996

29, 1996 to March 29, 1996 the comment period for Investment Company Act Release No. 21538. … The comment [[Page 1313]] period for responding to Investment Company Act Release No. 21538 is --------------------------------------------------------------------------- extended to March 29, 1996.

Reporting of Proxy Votes on Executive Compensation and Other Matters

Federal Register · Proposed Rule · Oct 28, 2010

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … See Exchange Act Release No. 62495 (July 14, 2010) [75 FR 42982, 43008 (July 22, 2010)] (“Concept Release”). The comment period for the Concept Release closes on October 20, 2010.

Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002

Federal Register · Rule · Jan 31, 2003

Transition Periods We received numerous comments urging us to adopt transition periods for compliance. … Several commenters asserted that no special transition periods were necessary because the new rules only require disclosure.

~~ ~o exc~c~

Agency decision · Agency decision

See Exchange Act Release No. 73562 (Nov. 7, 2014). … Fund's assets in companies that focus their operations in areas that the Subadviser believes are likely to address major social and environmental challenges including, but not limited to, hunger, health, clean

Self-Regulatory Organizations; Financial Industry Regulatory Authority, 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 FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)

Federal Register · Notice · May 27, 2015

(“FINRA”) filed with the Securities and Exchange Commission (“SEC” or “Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act” or “Exchange Act”)  1 and Rule 19b-4 … 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; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Article 20, Rule 13(b) To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program

Federal Register · Notice · Sep 16, 2016

beginning six months prior to the Pilot Period and ending on the trading day immediately preceding the Pilot 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