Documents

Self-Regulatory Organizations; The Nasdaq Stock Market 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 Introduce Functionality To Initiate a Trading Halt for Exchange-Traded Products on Launch Day

Federal Register · Notice · May 27, 2025

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

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Jul 1, 2021

The Commission is extending this 180-day period. 5   See Exchange Act Release No. 91487 (April 6, 2021), 86 FR 19054 (April 12, 2021). 6  17 CFR 242.608(b)(2)(i). … and the comments received.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Certain Connectivity Services

Federal Register · Notice · Apr 20, 2026

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.

Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.13, Application Process and Waive-In

Federal Register · Notice · Jul 9, 2026

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

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program for the Listing and Trading of Options Settling to the RealVolTM SPY Index (“Index”)

Federal Register · Notice · Apr 13, 2017

expire on May 6, 2017. 3 The Exchange is proposing to extend the pilot period for an additional twelve (12) month period, until May 6, 2018. … 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; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating To Extension of Time Requests

Federal Register · Notice · Aug 10, 2006

(SRO) may extend certain specified periods to buy-in a security, for one or more limited periods commensurate with the circumstances, where the SRO: (1) Is satisfied that the broker-dealer is acting in … rule-comments@sec.gov .

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4703(a) To Allow Members To Designate When an Order With a RTFY or SCAN Routing Order Attribute Will Be Activated

Federal Register · Notice · Sep 18, 2017

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 August 30, 2017, The NASDAQ Stock Market LLC (“Nasdaq … 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.

Electronic Filing and Revision of Form D

Federal Register · Rule · Feb 27, 2008

file Form D information as part of a periodic or current report. 204 Both commenters suggested that we defer consideration of such an exemption. … Significant Issues Raised by Public Comment The Initial Regulatory Flexibility Act Analysis (“IRFA”) appeared in the proposing release.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc., Relating to the Listed Company Manual's Requirement that Companies Make Certain Paper Filings

Federal Register · Notice · May 24, 2004

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change To Amend Certain Credit Default Swap Clearing Rules Regarding Guaranty Fund Allocations, Amendments to Daily Submission Deadline, Holiday Accrual Processing and PAI Payment Timeline

Federal Register · Notice · Mar 29, 2012

period with the frequency of CDS Guaranty Fund calculations. … CME believes the proposed rule changes are consistent with the requirements of the Act, particularly Section 17A of the Act.

Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 700 With Respect to the Hours of Trading in Equity Options and Narrow-Based Index Options

Federal Register · Notice · Jan 13, 2006

The rationale to continue trading options for some limited period of time after the close of trading on the primary markets for the underlying securities was that the extended period allowed options traders … 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; NYSE Arca, Inc.; Order Granting Approval to a Proposed Rule Change Relating to an Extension and Expansion of the Penny Pilot Program

Federal Register · Notice · Oct 3, 2007

Discussion After careful review of the proposal and the comment letter, the Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and regulations … to 78.3% in the post-Pilot period.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Permit VIX Future-Option Orders

Federal Register · Notice · Jul 13, 2026

The proposed rule change was published for comment in the Federal Register on January 16, 2026. 3 The Commission received no comments regarding the proposed rule change. 1  15 U.S.C. 78s … On February 19, 2026, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or

Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision)

Federal Register · Notice · Jan 12, 2023

FINRA has stated that the review period for its rule filing may extend well into 2023. … 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 Proposed Rule Change To Extend the Operational Date of SR-FINRA-2009-065

Federal Register · Notice · Nov 8, 2010

SR-FINRA-2010-019 to Extend the Implementation Period for SR-FINRA-2009-65). … The Commission has waived the five-day pre-filing period in this case.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Under NYSE Arca Equities Rule 8.600 Shares of Nine Series of the IndexIQ Active ETF Trust

Federal Register · Notice · Dec 4, 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

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B

Federal Register · Notice · Sep 10, 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.shtm l); or • Send an email to rule-comments

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding Expansion of the Penny Pilot Program

Federal Register · Notice · Aug 22, 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 .

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Clearing Agency Risk Management Framework

Federal Register · Notice · Sep 24, 2024

SR-NSCC-2024-003) (“Notice of Filing”). 5  Comments on the Proposed Rule Change were received under an affiliated filing and are available at https://www.sec.gov/comments/sr-ficc-2024-006/srficc2024006 … On May 8, 2024, pursuant to Section 19(b)(2) of the Act, 6 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether to approve or

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Clearing Agency Risk Management Framework

Federal Register · Notice · Sep 24, 2024

SR-FICC-2024-006) (“Notice of Filing”). 5  Comments on the Proposed Rule Change are available at https://www.sec.gov/comments/sr-ficc-2024-006/srficc2024006.htm . … On May 8, 2024, pursuant to Section 19(b)(2) of the Act, 6 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether to approve or