Documents

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 5.24

Federal Register · Notice · Aug 14, 2020

has received one comment letter on the proposed rule change. 5 1  15 U.S.C.78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 89131 (June 23 … Section 19(b)(2) of the Act  6 provides that, within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of a Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Proposed Rule G-43, on Broker's Brokers; Proposed Amendments to Rule G-8, on Books and Records, Rule G-9, on Record Retention, and Rule G-18, on Execution of Transactions; and a Proposed Interpretive Notice on the Duties of Dealers That Use the Services of Broker's Brokers

Federal Register · Notice · May 15, 2012

Section 19(b)(2) of the Act  6 provides that within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may designate … The Commission is extending the 45-day time period. 6  15 U.S.C. 78s(b)(2).

Self-Regulatory Organizations; The Depository Trust Company; Notice of Extension of Comment Period for a Proposed Rule Change Establishing a Fee Schedule for Certain Inter-Depository Deliveries

Federal Register · Uncategorized Document · Oct 19, 1994

SR-DTC-94-10) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\1\ and Rule 19b-4 thereunder. … Thus, the Commission finds good cause to extend the period for public comment on the proposed rule change until November 15, 1994.

Proposed Rule Changes of Self-Regulatory Organizations

Federal Register · Proposed Rule · Apr 5, 2004

See 15 U.S.C. 78s(b)(1). 4  Many proposed rule changes are filed pursuant to Section 19(b)(1) of the Act for a 21-day notice and comment period. 15 U.S.C. 78s(b)(1). … Extension of Time Period for Commission Action State whether the self-regulatory organization consents to an extension of the time period specified in Section 19(b)(2) or Section 19(b)(7)(D) of the Act

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3

Federal Register · Notice · Nov 6, 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

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 To Remove the Exchange's Quote Mitigation Plan as Provided by Commentary .03 to Exchange Rule 6.86

Federal Register · Notice · Apr 16, 2015

The proposed rule change was published for comment in the Federal Register on October 21, 2014. 3 On December 2, 2014, the Commission extended the time period in which to either approve the proposal … comment in the Federal Register on October 21, 2014.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Pilot Program for NYSE Arca Trades

Federal Register · Notice · Jan 30, 2009

If, at the end of the pilot period, the Commission has not yet acted on the NYSE Arca Trades Fee Filing, the Exchange will assess its experience with NYSE Arca Trades and determine whether to extend or … 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.

Options Price Reporting Authority; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment To Modify Section 5.2(c)(iii) of the OPRA Plan Relating to Dissemination of Exchange Proprietary Data Information

Federal Register · Notice · Jul 17, 2024

Comments received in response to the Notice can be found on the Commission's website at https://www.sec.gov/comments/4-820/4-820.htm. … and the comments received.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto Modifying the Exchange's Independent Director and Audit Committee Corporate Governance Standards

Federal Register · Notice · Dec 8, 2006

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Increase the Maximum Term for LEAPS to Fifteen Years

Federal Register · Notice · Sep 25, 2012

The Commission finds it appropriate to designate a longer period within which to take action on the proposed rule change so that it has sufficient time to consider the proposal, the comment received, and … CBOE's response to the comment.

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Consisting of Technical Amendments to Rule G-3 Relating to Professional Qualifications

Federal Register · Notice · Sep 13, 2004

the Act. … rule-comments@sec.gov .

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to Frequency of Executions on the Hybrid Trading System

Federal Register · Notice · Jun 14, 2004

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; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, in Connection With the Proposed Establishment of BSTX as a Facility of the Exchange

Federal Register · Notice · Dec 21, 2021

The proposed rule change was published for comment in the Federal Register on June 24, 2021. 3 On August 3, 2021, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … Comments on the proposed rule change can be found at: https://www.sec.gov/comments/sr-box-2021-14/srbox202114.htm. 4  15 U.S.C. 78s(b)(2). 5   See Securities Exchange Act Release

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF Under NYSE Arca Rule 8.600-E

Federal Register · Notice · Feb 1, 2018

On December 14, 2017, 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 … Fund's net assets as of the opening of business on the first day of such periods.

Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments

Federal Register · Notice · Jan 23, 2020

for such period. … for such period.]

Crowdfunding

Federal Register · Rule · Nov 16, 2015

Retention Period of Recordkeeping Requirements V. Final Regulatory Flexibility Act Analysis A. Need for the Rule B. Significant Issues Raised by Public Comments C. … the Commission clarify when the five-day reconfirmation period begins. 902 One commenter suggested material revisions made to the offering should restart the 21-day minimum period for the campaign

Issuer Delisting; Notice of Application of TDC A/S (Formerly Tele Danmark A/S) To Withdraw Its American Depositary Shares (Evidenced by American Depositary Share Receipts, Each Representing One Half of One Ordinary Share, Par Value DKK 5 Each and Ordinary Shares, Par Value DKK 5), From Listing and Registration on the New York Stock Exchange, LLC

Federal Register · Notice · Mar 23, 2006

The average daily trading volume for the corresponding five-day period in 2005 was 71,100. … an e-mail to rule-comments@sec.gov.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations

Federal Register · Notice · May 26, 2021

On November 4, 2020, pursuant to Section 19(b)(2) of the Exchange Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change … Amendment No. 1 was published for comment in the Federal Register on March 16, 2021. 8 On March 18, 2021, the Commission designated a longer period for Commission action on the proposed rule change

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service

Federal Register · Notice · Jan 15, 2015

The proposed rule change was published for comment in the Federal Register on July 15, 2014. 3 On August 8, 2014, FINRA consented to extending the time period for the Commission to either approve … received three comment letters in response to the Order Instituting Proceedings. 7 5   See Securities Exchange Act Release No. 73313, 79 FR 61677 (October 14, 2014) (“Order Instituting

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.35 To Refine the Appointment Process Utilized by the Exchange

Federal Register · Notice · Apr 8, 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