Documents

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.6(s)(1), Round Lot, To Conform With the Amendment to the Definition of Round Lot Under Rule 600 of Regulation NMS

Federal Register · Notice · Nov 21, 2025

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; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Program

Federal Register · Notice · Sep 2, 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; New York Stock Exchange, Inc.; Order Granting Approval to a Proposed Rule Change Relating to Section 802.01E of the Listed Company Manual Concerning Continued Listing of Companies That Fail to File Their Securities Exchange Act of 1934 Annual Reports in a Timely Manner

Federal Register · Notice · Jan 26, 2006

Exchange Act Release No. 52760 (November 10, 2005), 70 FR 69617. 4   See comments from James J. … Comments The Commission received four comments on the proposal. 8 Three commenters supported the proposal;  9 one commenter opposed the proposal. 10 Angel stated that the proposal seemed

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Opening Process for Simple Orders in Exclusively Listed Index Option Classes

Federal Register · Notice · Jul 24, 2025

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; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Previously Approved Rules Relating To a New Class of Off-Floor Market Maker Called Designated Amex Remote Traders

Federal Register · Notice · Nov 14, 2007

The Exchange plans to refile the proposed rule change with some revisions and subject to a new comment period. … The Commission has determined to waive the five-day pre-filing notice period in this case.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Inc. To Implement Autobook on a Pilot Program Basis

Federal Register · Notice · Apr 28, 2003

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants or Others No written comments were solicited or received with respect to the proposed … the Act.

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NYSE National Rule 11.5190

Federal Register · Notice · Dec 2, 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; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change to Amend Exchange Rule 11.19 Entitled “Clearly Erroneous Executions” To Add Provisions Regarding Executions Based on Incorrect or Grossly Misinterpreted Issuance Information and Executions Occurring After a Trading Halt Has Been Declared

Federal Register · Notice · May 6, 2014

with the pilot period for the Limit Up-Limit Down Plan, including any extensions to the pilot period for the Plan. … 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

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Constructive Requests To Withdraw From Registration

Federal Register · Notice · Nov 21, 2024

(b) Statutory Basis The statutory basis for Rule 2107(h) is Title I of the Act, and, specifically, Section 102 of the Act (registration) and Sections 101(c)(1), (c)(5), (f)(6), and (g)(1) of the Act ( … of Title I of the Act.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change To Establish Certain Fees With Respect to Transactions Executed Through the Intermarket Trading System

Federal Register · Notice · Oct 18, 2005

rule-comments@sec.gov . … In this case, the Commission does not believe a comment period is necessary because all of the parties affected by the proposed fee—the other ITS participant exchanges—have already consented to and will

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BX Options Rules To Extend the Pilot Program Under Chapter V, Section 3(d)(iv)

Federal Register · Notice · Feb 26, 2015

(the “Limit Up-Limit Down Plan” or the “Plan”). 3 The Exchange proposes to extend the pilot period until October 23, 2015. 3  Securities Exchange Act Release Nos. 69140 (March 15, 2013), … 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 Order Granting Accelerated Approval of Proposed Rule Change To Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)

Federal Register · Notice · Oct 21, 2011

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

Self-Regulatory Organizations; Cboe BZX Exchange, 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 Exempt Closed-End Management Investment Companies Registered Under the Investment Company Act of 1940 That Are Listed as of or After May 20, 2025 From the Annual Meeting of Shareholders Requirement Set Forth in Exchange Rule 14.10(f)

Federal Register · Notice · Dec 5, 2025

Comments on the proposed rule change are available at: https://www.sec.gov/comments/sr-cboebzx-2025-072/srcboebzx2025072.htm. … On July 14, 2025, pursuant to Section 19(b)(2) of the Exchange Act, 5 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change

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 Amending 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 5, 2025

Comments on the proposed rule change are available at: https://www.sec.gov/comments/sr-nyse-2025-20/srnyse202520.htm. … On July 25, 2025, pursuant to Section 19(b)(2) of the Exchange Act, 5 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change

Self-Regulatory Organizations; National Securities Clearing Corporation; 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 Partial Amendment No. 1 and Amendment No. 2, To Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules

Federal Register · Notice · Feb 26, 2024

On September 25, 2023, pursuant to section 19(b)(2) of the Exchange Act, 5 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether … Comments are available at https://www.sec.gov/comments/sr-nscc-2023-007/srnscc2023007.htm.

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 307, Position Limits

Federal Register · Notice · Oct 2, 2023

The proposed rule change was published for comment in the Federal Register on May 8, 2023. 3 On June 14, 2023, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … Commission has received one comment regarding the proposal. 6 On August 2, 2023, the Commission instituted proceedings under Section 19(b)(2)(B) of the Act  7 to determine whether to approve

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Grayscale Dogecoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Federal Register · Notice · Aug 21, 2025

Comments received on the proposed rule change are available at: https://www.sec.gov/comments/sr-nysearca-2025-09/srnysearca202509.htm . … On March 11, 2025, 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 institute

Self-Regulatory Organizations; NYSE Arca, 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, To List and Trade Shares of the Grayscale Solana Trust Under NYSE Arca Rule 8.201-E, Commodity-Based Trust Shares

Federal Register · Notice · Jul 31, 2025

Comments received on the proposed rule change are available at: https://www.sec.gov/comments/sr-nysearca-2025-06/srnysearca202506.htm. … On March 11, 2025, 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

Rules of Practice

Federal Register · Rule · Jun 23, 1995

Comment: See Comment (a) to Rule 430. Comment (b): Paragraph (b) is based, in part, on requirements of Exchange Act Section 4A, 15 U.S.C. Sec. 78d-1. … Comment: The Exchange Act provides for the Commission's authority to suspend certain entities registered under the Act.

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 · Sep 7, 2021

Comments received in response to the Notice can be found on the Commission's website at https://www.sec.gov/comments/4-698/4-698.htm. … and the comments received.