Documents

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

(cleaned up)). 16 See 15 U.S.C. § 78f(d)(2) (providing that in determining whether to prohibit or limit a person’s access to services, an exchange must “notify such person of, and give him an opportunity … as whether FINRA libeled an applicant or breached an implied contract are “outside the scope of a Commission proceeding” (cleaned up)); Keith Patrick Sequeira, Exchange Act Release No. 85231, 2019 WL 995508

Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to NDX and RUT Combination Orders

Federal Register · Notice · Oct 22, 2013

describes are designed to facilitate the execution of a complex order as a clean cross, to the extent consistent with market conditions and applicable priority rules. 55 NYSE MKT states that, as … The sections of the Act and the rules thereunder that are applicable to the proposed rule change include Sections 3(a)(1), 6(b)(5), and 11A(a) of the Act. 62 Section 3(a)(1) of the Act defines

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan

Federal Register · Notice · Dec 23, 2020

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.

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Filing Concerning The Options Clearing Corporation's Margin Methodology

Federal Register · Notice · May 29, 2018

Since the proposal contained in the Advance Notice was also filed as a proposed rule change, all public comments received on the proposal are considered regardless of whether the comments are submitted … Act.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

ICC also proposes clean-up changes to its overview of initial default auctions for the CDS clearing service. … 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 e-mail to rule-comments

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc., to Change Its Original and Continued Quantitative Listing Standards

Federal Register · Notice · Jul 2, 2004

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Designated Liquidity Provider and Market Quality Supporter Programs in Equity 7, Section 114

Federal Register · Notice · Mar 23, 2026

These are non-substantive clean-up changes that are intended to enhance rule clarity and transparency. B. … 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; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees

Federal Register · Notice · Apr 15, 2014

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; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Schedule of Fees

Federal Register · Notice · May 22, 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. … 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

Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)

Federal Register · Notice · Mar 20, 2003

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27658] Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) March 14, 2003. … Notice is hereby given that the following filings have been made with the Commission pursuant to provisions of the Act and rules promulgated under the Act.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Company Listing Fees Under Exchange Rule 14.13

Federal Register · Notice · Jul 15, 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; Order Granting Approval to Proposed Rule Change by the Chicago Stock Exchange, Inc., Relating to Trading of Particular Investment Company Units

Federal Register · Notice · Sep 29, 1997

The calculation method weights stocks in an index by their beginning-of-period market capitalization. … Share prices are ``swept clean'' daily and adjusted for any rights issues, stock dividends or splits.

Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'')

Federal Register · Notice · Feb 27, 1998

Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by March 16, 1998, to the Secretary, Securities and Exchange … Energy-peaking services via propane-air or liquified natural gas (``LNG''), which involves the provision of back-up electricity or gas supply in periods of high or ``peak'' energy demand using a propane-air

Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 6, To Establish a New Hybrid Trading System Known as AEMISM

Federal Register · Notice · Oct 10, 2006

If the AEMI Book is still locked or crossed after the initial ten-second period and the Specialist has not acted, AEMI would attempt to re-enable auto-ex in ten-second intervals. … rule-comments@sec.gov.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201

Federal Register · Notice · Apr 20, 2012

Reliable and cost-effective power and clean water availability represent two large hurdles to new primary production in Chile. … 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

UNITED STATES OF AMERICA

Agency decision · Agency decision

(“Respondent”) registered under Section 12 of the Securities Exchange Act of 1934. 1 The Commission found that the company had not made required periodic public filings since October 2022 and concluded … Zipper, Exchange Act Release No. 84324, 2018 WL 4692884, at *3 (Oct. 1, 2018) (cleaned up); see also Adam Strege, Exchange Act Release No. 105234, 2026 WL 1031693 (Apr. 14, 2026) (citing same). 5 FCS

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Physical Port Fees for C2

Federal Register · Notice · Jun 21, 2018

Clean-Up The Exchange lastly proposes to correct an inadvertent error with respect to a reference to a C2 Rule in the Fees Schedule. … The Exchange proposes to update that reference and notes that no substantive changes are being made by this clean-up update. 2.

Filings Under the Public Utility Holding Company Act of 1935 (``Act'')

Federal Register · Uncategorized Document · Jun 17, 1994

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26064] Filings Under the Public Utility Holding Company Act of 1935 (``Act'') June 10, 1994. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by July 5, 1994, to the Secretary, Securities and Exchange Commission

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for Certain CBOE Real-Time Data Feeds

Federal Register · Notice · Jan 11, 2016

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; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add 75 Classes to the Penny Pilot Program

Federal Register · Notice · May 11, 2010

For example, the quarterly additions to be added on May 3, 2010 shall be determined using data from the six month period ending March 31, 2010. … 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.