Documents

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 a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)

Federal Register · Notice · Mar 6, 2014

, 2013, the Commission extended the time period for Commission action to December 3, 2013. 5 On December 2, 2013, FINRA submitted a response to the comment letters  6 and filed Amendment No. … 24, 2014, FINRA submitted a response to the comment letters. 10 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 70276 (August

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130

Federal Register · Notice · Oct 25, 2022

At the end of the three-month period, users would no longer be eligible for the waiver. … At the end of the three-month period, users would no longer be eligible for the waiver.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Waive Certain Port-Related Fees at Equity 7, Section 3

Federal Register · Notice · Oct 12, 2022

The fee waiver would be offered for a three-month period, beginning on October 10, 2022. At the end of the three-month period, users would no longer be eligible for the waiver. … This fee waiver would be offered for a three-month period, beginning on September 22, 2022. At the end of the three-month period, users would no longer be eligible for the waiver.

Public Company Accounting Oversight Board; Extension of Approval Periods for Proposed Rules on a Firm's System of Quality Control and Related Amendments to PCAOB Standards, Proposed Rules on Amendments Related to Aspects of Designing and Performing Audit Procedures That Involve Technology-Assisted Analysis of Information in Electronic Form, and Proposed Rules on Amendment to PCAOB Rule 3502 Governing Contributory Liability

Federal Register · Notice · Aug 19, 2024

of 1934 (“Act”)  1 and Rule 19b-4 thereunder, 2 the proposed rules referenced above (collectively, the “proposed rules”). 3 The Quality Control Proposed Rules were published for comment … -day public comment period for the proposed rules, 5 which ended on July 2 for the Quality Control Proposed Rules and July 23, 2024 for the Technology Assisted Analysis Proposed Rules and Contributory

Self-Regulatory Organizations; Philadelphia Stock Exchange Inc; Notice of Filing of Proposed Rule Change Relating To Establish New Procedures To Be Followed When Trading Halts on the Primary Market for the Underlying Security

Federal Register · Notice · Jul 3, 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; Notice of Filing of Proposed Rule Change by New York Stock Exchange, Inc. Relating to Amendments to Rule 80B (Trading Halts Due to Extraordinary Market Volatility) and Rule 51 (Hours of Business)

Federal Register · Notice · May 2, 1996

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. Sec. 78s(b)(1), notice is hereby given that on April 11, 1996, the New York Stock Exchange, Inc. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were either solicited or received. III.

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

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.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to the NASD PCX Agreement

Federal Register · Notice · Dec 29, 2005

the Act. … rule-comments@sec.gov .

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program

Federal Register · Notice · Apr 24, 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

Self-Regulatory Organizations; Notice of Filing of and Order Granting Accelerated Approval to Proposed Rule Change by The Chicago Stock Exchange, Incorporated Relating to a Policy of the Specialist Assignment and Evaluation Committee

Federal Register · Notice · Sep 15, 1998

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No comments were solicited or received. III. … In addition, the rule change that implemented the pilot program was published in the Federal Register for the full comment period and no comments were received; and no comments were received with regard

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Section 302.00 of the NYSE Listed Company Manual To Exempt Closed-End Funds Registered Under the Investment Company Act of 1940 From the Requirement To Hold Annual Shareholder Meetings

Federal Register · Notice · Dec 26, 2024

Comments on the proposed rule change are available at: https://www.sec.gov/comments/sr-nyse-2024-35/srnyse202435.htm. … On August 21, 2024, 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

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 Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to FLEX Options

Federal Register · Notice · Apr 12, 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

Proposed Collection; Comment Request

Federal Register · Notice · Jul 10, 2000

Companies that file under this rule are required to retain records for a period of six years. This retention period allows the Commission to perform its audit functions. … Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to Michael E.

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

Federal Register · Notice · May 14, 2024

SR-DTC-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 … act as provided in Section 19(b)(2)(ii) of the Exchange Act. 7 Section 19(b)(2)(ii) of the Exchange Act allows the Commission to designate a longer period for review (up to 90 days from the publication

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 · May 14, 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 … act as provided in section 19(b)(2)(ii) of the Exchange Act. 7 Section 19(b)(2)(ii) of the Exchange Act allows the Commission to designate a longer period for review (up to 90 days from the publication

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

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

Conformed to Federal Register version

Agency decision · Agency decision

of 2010 (“Dodd-Frank Act”). … Commodity Exchange Act, as amended.