Documents

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to a Six-Month Extension of the Automatic Execution System Incentive Pilot Program

Federal Register · Notice · Jan 2, 2003

The proposed rule change has been filed by the PCX as a “non-controversial” rule change under rule 19b-4(f)(6) of the Act. 3 The Commission is publishing this notice to solicit comments on the proposed … period will be effective for the succeeding review period.

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change To Establish a Pilot Program, as Modified by Amendment No. 1, To List and Trade Options Settling to the RealVolTM SPY Index

Federal Register · Notice · May 11, 2015

The proposed rule change was published for comment in the Federal Register on February 5, 2015. 3 On March 18, 2015, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … 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 and Order Granting Accelerated Approval of Proposed Rule Change by Chicago Board Options Exchange, Incorporated To Extend for an Additional Fifteen Day Period a Pilot Operation of a System for Monitoring News Announcements Made After the Close of Trading in the Primary Market for the Underlying Stock

Federal Register · Notice · Aug 7, 1996

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 … Any request for an extension of the pilot period or request for permanent approval of the system would have to be submitted to the Commission pursuant to Section 19(b)(2) of the Act. ------------------

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Equity 7, Section 115

Federal Register · Notice · Oct 4, 2023

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.

UNITED STATES OF AMERICA

Agency decision · Agency decision

The Amended Plan clarifies who is an Eligible Customer, and the commenter’s 3 Exchange Act Rel. … The commenter’s statements and the records reviewed by the staff indicated that the commenter’s $25,000 investment was outside the time period covered by the Order.6 Because the commenter’s apparent purchase

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions

Federal Register · Notice · Jun 1, 2012

Section 19(b)(2) of the Act  5 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 … comments received, and any response to the comments submitted by FINRA.

Self-Regulatory Organizations; MIAX Sapphire, LLC, Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons as Provided Under Exchange Rule 1903

Federal Register · Notice · Aug 26, 2024

Act Release No. 100067 (May 6, 2024), 89 FR 40520 (May 10, 2024) (SR-FINRA-2024-006)(Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1240.01 To Reopen the Period … 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; 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 · Sep 24, 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 … 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; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV

Federal Register · Notice · May 21, 2020

of 1934 (“Act”)  1 and Rule 19b-4 thereunder. 2 The Proposed Rule Change was published for comment in the Federal Register on March 31, 2020. 3 The Commission has received four comment … Section 19(b)(2) of the Act  5 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rules in Accordance With the Regulation NMS Plan To Address Extraordinary Market Volatility

Federal Register · Notice · Mar 1, 2013

This rule will be in effect during a pilot period to coincide with the pilot period for the Plan (including any extensions to the pilot period for the Plan). … This provision will be in effect during a pilot period to coincide with the pilot period for the Plan (including any extensions to the pilot period for the Plan).

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit

Federal Register · Notice · Jun 30, 2021

The Proposed Rule Change was published for comment in the Federal Register on May 14, 2021, 3 and the Commission has received one comment letter  4 on the changes proposed therein. 5 … 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

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF

Federal Register · Notice · Apr 9, 2018

Section 19(b)(2) of the Act  5 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 … the comment letters.

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 Its Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements

Federal Register · Notice · Jul 31, 2020

Section 19(b)(2) of the Act  5 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 … by Amendment No. 1, and the comments received.

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Proposed Rule Change Relating to a One-Year Pilot Program for Transmission of Proxy and Other Shareholder Communication

Federal Register · Notice · Mar 24, 1997

effectiveness of the proposal during the pilot period.\83\ Moreover, one commenter suggests that unresolved issues can be addressed by an industry committee during the pilot period.\84\ One commenter … The Commission will continue to consider the comments during the one-year pilot period and reevaluate these comments before approving a permanent fee schedule.

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Rule · Dec 30, 2009

In conjunction with recently reopening the comment period for the proposal with respect to Rule 206(3)-3T, the Commission requested comment on whether it should substitute an approach that uses credit … The re-opened comment period closed on December 8, 2009.

Self-Regulatory Organizations; NYSE Chicago, Inc.; 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 6, 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.

Submission for OMB Review; Comment Request

Federal Register · Notice · Sep 14, 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. … Comments must be submitted to OMB within 30 days of this notice. Dated: September 5, 2000. Margaret H. McFarland, Deputy Secretary.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; 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 Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g)

Federal Register · Notice · Mar 3, 2022

On September 29, 2021, 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 … proposed rule change and the issues raised in any comments submitted in connection therewith.

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 List and Trade Shares of the Bitwise XRP ETF Under BZX Rule 14.11(e)(4) (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-cboebzx-2025-020/srcboebzx2025020.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; The Nasdaq Stock Market 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 List and Trade Shares of the Grayscale Avalanche Trust (AVAX) Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)

Federal Register · Notice · Sep 30, 2025

Comments received on the proposed rule change are available at: https://www.sec.gov/comments/sr-nasdaq-2025-030/srnasdaq2025030.htm. … On May 28, 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