Documents

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 Provide Relief Relating to Specified Option Transactions Under FINRA Rule 4210 (Margin Requirements)

Federal Register · Notice · Jan 16, 2024

The proposed rule change was published for comment in the Federal Register on July 19, 2023. 3 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Exchange Act Release … All comments received on the proposed rule change are available at https://www.sec.gov/comments/sr-finra-2023-010/srfinra2023010.htm .

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend DTC's Procedures and Make Clarifying Changes to the DTC Rules

Federal Register · Notice · Nov 3, 2021

Specifically, because DTC is already subject to—and complies with—the time periods required by the Act and Dodd Frank, 33 DTC believes that self-imposed requirements to provide notice more quickly … 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 Auditing Standard No. 16, Communications With Audit Committees and Related and Transitional Amendments to PCAOB Standards

Federal Register · Notice · Sep 17, 2012

The Board received nine additional comment letters during this extended comment period. … The Board received and considered 44 comment letters on the original proposal, which included the reopened comment period, and 39 comment letters on the reproposed standard.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule

Federal Register · Notice · May 20, 2020

The Exchange now proposes to extend the end of the period of the free-upgrade to May 31, 2020. … Additionally, the free upgrade period will be limited through May 31, 2020.

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Extension of a Pilot Limiting Trade-Through Liability at the End of the Options Trading Session

Federal Register · Notice · Jun 23, 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; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the GSD Rulebook Relating to Default Management and Porting With Respect to Indirect Participant Activity

Federal Register · Notice · Jul 31, 2025

SR-FICC-2025-015) (“Notice of Filing”). 4  Comments on the Proposed Rule Change are available at https://www.sec.gov/comments/sr-ficc-2025-015/srficc2025015.htm. … act as provided in Section 19(b)(2)(ii) of the Exchange Act. 6 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

Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by the Commission, Regarding Implementation of a Revised Funding Model

Federal Register · Notice · Mar 19, 2026

of the Act. … 1, Period 2, Period 3, or Period 4 at the end of each respective Period.”).

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify NSCC's Rules & Procedures Relating to the Process by Which NSCC Members Submit Buy-Ins Within NSCC's Continuous Net Settlement System

Federal Register · Notice · May 20, 2015

Pursuant to Section 19(b)(1)  1 of the Securities Exchange Act of 1934 (“Act”) and Rule 19b-4  2 thereunder, notice is hereby given that on May 4, 2015, National Securities Clearing Corporation … 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.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Amendment Nos. 2 and 3 to Proposed Rule Change Relating to FLEX Options Trading and Order Granting Accelerated Approval to Proposed Rule Change as Amended

Federal Register · Notice · Nov 23, 2007

Amendment Nos. 2 and 3 made only minor changes to the overall proposal, which was subject to a notice-and-comment period. … rule-comments@sec.gov .

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt New Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing on BATS Exchange, Inc.

Federal Register · Notice · Sep 29, 2015

Section 19(b)(2) of the Act  6 provides that, within 45 days of the publication of the notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission … comments received, and any response to the comments submitted by the Exchange.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600

Federal Register · Notice · Oct 3, 2016

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 Commission is extending this 45-day time period.

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection With Primary Offerings

Federal Register · Notice · Apr 12, 2019

Exchange Act Rule 15c2-12(b)(3) requires that an underwriter contract with the issuer or its agent to obtain copies of the official statement within the time period mandated by the rule. … The MSRB understands that the obligation under Exchange Act Rule 15c2-12(b)(3) for an underwriter to contract with the issuer or its agent to receive the official statement within a defined period of time

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 2120 (Trading Conduct and Order & Decorum on the Trading Floor) and Amend Rule 12140 (Imposition of Fines for Minor Rule Violations) To Adopt Rule Violations and Sanctions Applicable to the Trading Floor

Federal Register · Notice · Aug 21, 2017

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

Share Repurchase Disclosure Modernization

Federal Register · Proposed Rule · Feb 15, 2022

The proposed amendments would also enhance the existing periodic disclosure requirements about these purchases. DATES: Comments should be received on or before April 1, 2022. … ADDRESSES: Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/regulatory-actions/how-to-submit-comments

Self-Regulatory Organizations; Nasdaq ISE, LLC Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Adopt Rule 7004 and Chapter XV, Section 11

Federal Register · Notice · Dec 15, 2017

Amendment No. 1 is available on the Commission's website for ISE at: https://www.sec.gov/comments/sr-ise-2017-45/ise201745-2669797-161444.pdf. 10   See Securities Exchange Act Release No … Act.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Adopt Rule 7004 and Chapter XV, Section 11

Federal Register · Notice · Dec 14, 2017

Amendment No. 1 is available on the Commission's website for Nasdaq at: https://www.sec.gov/comments/sr-nasdaq-2017-046/nasdaq2017046-2673136-161450.pdf. 10   See Securities Exchange Act … Act.

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Revenue Sharing Program With Correlix and a Free Trial Period for New Users of the Correlix Service

Federal Register · Notice · Oct 13, 2011

(“Correlix”) and a free trial period for new subscribers to the Correlix service. … Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposal is consistent with the Act.

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

Federal Register · Notice · Jan 5, 2006

. 25 Furthermore, during the interim period, Wave would continue to be covered by the scope of an agreement between NASD and PCX, which was entered into pursuant to Rule 17d-2 under the Act  26 … 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; Notice of Filing of Proposed Rule Change by the International Securities Exchange, Inc., Relating to a One-Year Pilot for Options Intermarket Linkage Fees

Federal Register · Notice · Mar 19, 2003

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants or Others The Exchange has not solicited, and does not intend to solicit, comments … 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.

Definitions of ``Small Business'' or ``Small Organization'' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933

Federal Register · Proposed Rule · Mar 20, 1997

ACTION: Proposed rule amendments; extension of the comment period. ----------------------------------------------------------------------- SUMMARY: The Securities and Exchange Commission (''Commission … Therefore, the comment period for responding to Investment Company Act Release No. 22478, Investment Advisers Act Release No. 1609, Securities Act Release No. 7383, and Securities Exchange Act Release