Documents

Self-Regulatory Organizations; Cboe BYX 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, as Modified by Amendment No. 1, To Amend Exchange Rule 11.25(e) To Allow Users To Utilize the Exchange's Match Trade Prevention Functionality When Entering Periodic Auction Orders Onto the Exchange for Execution

Federal Register · Notice · Dec 20, 2024

(“Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)  1 and Rule 19b-4 thereunder, 2 a proposed … The proposed rule change was published for comment in the Federal Register on June 21, 2024. 3 On August 5, 2024, the Commission extended the time period within which to approve, disapprove the

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-location Hot Hands Fee

Federal Register · Notice · Aug 31, 2020

The closure period was extended three times, through August 31, 2020 (the “Initial Closure”). 8 8   See Securities Exchange Act Release Nos. 88400 (March 17, 2020), 85 FR 16434 (March 23 … for the length of the period.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III

Federal Register · Notice · Feb 25, 2016

On December 22, 2015, The NASDAQ Stock Market LLC (“Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act … 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; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, by the Boston Stock Exchange, Inc. Relating to the Price Improvement Period Under the Rules of the Boston Options Exchange Facility

Federal Register · Notice · Mar 29, 2005

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Extension of the Pilot Period Applicable to the Listing and Trading of Options on the ishares MSCI Emerging Markets Index

Federal Register · Notice · Jul 2, 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; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Directed Order Process on the Boston Options Exchange Facility

Federal Register · Notice · Feb 24, 2010

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on January 25, 2010, NASDAQ OMX BX, Inc. … the Act.

Self-Regulatory Organizations; Notice of Filing of proposed rule Change by The National Association of Securities Dealers, Inc. Adding Listing Requirements To Prohibit Immediate Delistings of Units on Nasdaq

Federal Register · Uncategorized Document · Aug 18, 1994

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on July 28, 1994, the National Association of Securities Dealers, Inc. … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received. III.

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.10, Units of Trading, To Conform With the Amendment to the Definition of Round Lot Under Rule 600 of Regulation NMS

Federal Register · Notice · Nov 20, 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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

within which it must act as provided in Section 19(b)(2)(ii) of the Exchange Act.9 Section 19(b)(2)(ii) of the Exchange Act allows the Commission to designate a longer period for review (up to 90 days … SR-FICC-2026-802). 7 Comments on the Proposed Rule Change are available at https://www.sec.gov/rulesregulations/public-comments/sr-ficc-2026-008. 8 15 U.S.C. 78s(b)(2)(i). 9 15 U.S.C. 78 s(b)(2)(

Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Transfer of Securities Among Co-Specialists Within a Specialist Firm

Federal Register · Notice · Jun 15, 2006

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

EDGAR Filer Access and Account Management

Federal Register · Proposed Rule · Sep 22, 2023

Requests for Comment V. Paperwork Reduction Act A. Form ID B. The Dashboard C. Request for Comment VI. Small Business Regulatory Enforcement Act VII. Initial Regulatory Flexibility Analysis A. … view that an appropriate transition period would be 1-3 years, 49 one commenter suggested a transition period of 18-24 months, and another commenter recommended a transition period of at least one

Conformed to Federal Register version

Agency decision · Agency decision

Comments Received and Final Amendments The Commission sought comment on the proposed compliance period for beginning to perform customer and PAB reserve computations daily after a carrying broker-dealers … Several commenters also suggested establishing alternative thresholds. 364 One commenter proposed that the Commission define the threshold as a formula that could be adjusted periodically to ensure that

Rules Implementing Amendments to the Investment Advisers Act of 1940

Federal Register · Rule · May 22, 1997

that it would not be eligible for Commission registration.44 Several commenters argued that 90 days was insufficient, while a number of state commenters requested that the 90- day period be shortened, … The Commission did not receive any comments from the public in response to its request for comments in the Paperwork Reduction Act section of the Proposing Release.

Principal Trades with Certain Advisory Clients

Federal Register · Rule · Dec 30, 2010

letters addressing our proposal prior to the expiration of the comment period. 8 Six of these commenters generally supported extending rule 206(3)-3T, 9 and two commenters opposed an extension … After considering each of the comments, we are extending the rule's sunset period by two years to December 31, 2012, as proposed. 7   See Temporary Rule Regarding Principal Trades with Certain

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Extension of Review Period of Advance Notice To Implement Changes to the Method of Calculating Netting Members' Margin in the Government Securities Division Rulebook

Federal Register · Notice · Mar 12, 2018

Therefore, the Commission finds it appropriate to extend the review period of the Advance Notice for an additional 60 days under Section 806(e)(1)(H) of the Clearing Supervision Act. 7 7   … Accordingly, the Commission, pursuant to Section 806(e)(1)(H) of the Clearing Supervision Act, 8 extends the review period for an additional 60 days so that the Commission shall have until May 12,

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending Equities Rule 5.2(j)(3)

Federal Register · Notice · Nov 24, 2009

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; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to its Equity Option Specialist Deficit (Shortfall) Fee

Federal Register · Notice · Feb 7, 2005

For purposes of calculation the 60-day abrogation period, the Commission considers the period to commence on January 28, 2005, the date the Phlx filed Amendment No. 2. IV. … rule-comments@sec.gov.

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Short Sale Delivery Requirements

Federal Register · Notice · Nov 16, 2005

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 EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17

Federal Register · Notice · Jan 10, 2024

and at more aggressive displayed prices during each time 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; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.18, Entitled “Trading Halts Due to Extraordinary Market Volatility”

Federal Register · Notice · May 24, 2010

Act. … All submissions should refer to File Number SR-BATS-2010-014 and should be submitted on or before June 3, 2010. 7 7  The Commission believes that a 10-day comment period is reasonable, given