Documents

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; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the Pacific Exchange, Inc. Relating to Membership, Options Floor and Market Maker Fees

Federal Register · Notice · Jul 25, 2001

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. … 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; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to ECN/ATS Participation in the ITS/CAES System

Federal Register · Notice · Feb 1, 2000

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Exchange Act” or “Act”), 1 notice is hereby given that on December 27, 1999, the National Association of Securities Dealers, Inc … 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.

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

Federal Register · Notice · Sep 8, 1999

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27071] Filings Under the Public Utility Holding Company Act of 1935, as amended (``Act'') August 31, 1999. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) [[Page 48879]] should submit their views in writing by September 27, 1999, to the Secretary, Securities

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Require That an Actionable Identifier Be Included on Customer and Non-Customer Securities Options Trades Other Than Market Maker Trades

Federal Register · Notice · Apr 3, 2019

in furtherance of the Act. … Act.

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

Federal Register · Notice · Feb 14, 1997

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26661] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') February 7, 1997. … 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 3, 1997, to the Secretary, Securities and Exchange Commission

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend MIAX Options Rules 515, Execution of Orders and Quotes; 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism; and 518, Complex Orders

Federal Register · Notice · Jul 18, 2017

The proposed rule change was published for comment in the Federal Register on June 1, 2017. 3 The Commission received no comments regarding the proposal. … The Commission notes that, on June 15, 2017, MIAX Options amended the duration of the RFR period described in Rule 515A(a)(2)(i)(c) such that the RFR period will be a period of time within a range of no

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.

Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology

Federal Register · Notice · May 31, 2018

Since the proposal contained in the Proposed Rule Change was also filed as an Advance Notice, all public comments received on the proposal are considered regardless of whether the comments are submitted … OCC currently imposes a floor on volatility estimates for its equity-based products using a 500-day look back period. 59 Under the proposal, OCC would extend this look back period to 10 years (2520

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Add Establish Fees and Rebates for NQX Options and Make Several Clarifying Changes

Federal Register · Notice · Jul 20, 2018

Clean-Up Changes Lastly, the Exchange proposes a number of clarifying changes to its Schedule of Fees. … Clean-Up Changes The Exchange believes that the clean-up changes to Sections I and II as described above are reasonable, equitable and not unfairly discriminatory because they are merely intended to bring

Act Manufacturing, Inc., Aerovox, Inc. (n/k/a New Bedford Capacitor, Inc.), Agility Capital, Inc., Air Water International Corp. (f/k/a Universal Communications Systems, Inc.), Allegiant Physician Services, Inc., and Alpha Microsystems, Inc. (n/k/a NQL, Inc.); Order of Suspension of Trading

Federal Register · Notice · Apr 23, 2009

SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] Act Manufacturing, Inc., Aerovox, Inc. (n/k/a New Bedford Capacitor, Inc.), Agility Capital, Inc., Air Water International Corp. … It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Act Manufacturing, Inc. because it has not filed any periodic

UNITED STATES OF AMERICA

Agency decision · Agency decision

NOTICE AND COMMENT PERIOD 101. … an email to rule-comments@sec.gov.

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Enhance the Supplemental Liquidity Deposit Rules, Methodology and Processes

Federal Register · Notice · Aug 18, 2026

The Proposed Rule Change was published for comment in the Federal Register on July 6, 2026. 3 The Commission has received no comments on the Proposed Rule Change. 1  15 U.S.C. 78s(b)(1 … The Proposed Rule Change would also make other clarifying and clean up revisions to Rule 4A to conform with the above-mentioned changes, including new, revised, and removed definitions, relocation or removal

Self-Regulatory Organizations; Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Non-member Access to SelectNet

Federal Register · Uncategorized Document · Apr 28, 1994

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on March 31, 1994 the National Association of Securities Dealers, Inc. … Discussions have fully aired the concerns of members with permitting disclosure to non-members of order information in an NASD-operated order negotiation system.

Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Amendments, as Modified by Amendment No. 1 Thereto, to the Interpretive Notice Regarding NFA Compliance Rule 2-9: Enhanced Supervisory Requirements

Federal Register · Notice · Jan 3, 2011

These criteria include a clean personal regulatory record and limited affiliation with potentially problematic Members. … Act.

ORAL ARGUMENT SCHEDULED FOR FRIDAY, MAY 8, 2009

Agency decision · Agency decision

In that case, the Court concluded that the placement of the word “any” before the words “physical change” in a Clean Air Act provision indicated that Congress intended to embrace all physical changes because … letter during the notice-and-comment period to support their contention that indexed annuities do not present downside risks because of the minimum guarantee.

In the Matter of Today's Man, Inc., Tokheim Corp., Total Film Group, Inc., Toth Aluminum Corp., Tower Air, Inc., TPC Liquidation, Inc., the Translation Group, Ltd., Track `n Trail, Inc., TransAxis, Inc., Transmedia Europe, Inc., Treasury International, Inc., Trend-Lines, Inc., and Tri Lite, Inc., Respondents; Order of Suspension of Trading

Federal Register · Notice · May 22, 2009

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Tower Air, Inc. because it has not filed any periodic reports … Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m.

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Rules Regarding the GCF Repo Service To Adopt Changes Recommended by the Tri-Party Repo Infrastructure Reform Task Force

Federal Register · Notice · Jun 26, 2012

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

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; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees for Fiscal Year 2007

Federal Register · Notice · Feb 6, 2007

Miscellaneous, Non-substantive Changes The Exchange proposes various non-substantive clean-up changes to its Fees Schedule. … rule-comments@sec.gov.