Documents

Self-Regulatory Organizations; MIAX Emerald LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Federal Register · Notice · Feb 13, 2024

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 … Rebuttal comments should be submitted by March 19, 2024. VI. Conclusion It is therefore ordered, pursuant to Section 19(b)(3)(C) of the Act, 201 that File No.

Self-Regulatory Organizations; Nasdaq PHLX, LLC; Notice of Filing of Proposed Rule Change To Establish Fees Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Federal Register · Notice · Feb 13, 2024

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 … Rebuttal comments should be submitted by March 19, 2024. VI. Conclusion It is therefore ordered, pursuant to Section 19(b)(3)(C) of the Act, 201 that File No.

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Federal Register · Notice · Feb 13, 2024

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 … Rebuttal comments should be submitted by March 19, 2024. VI. Conclusion It is therefore ordered, pursuant to Section 19(b)(3)(C) of the Act, 201 that File No.

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Federal Register · Notice · Feb 13, 2024

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 … Rebuttal comments should be submitted by March 19, 2024. VI. Conclusion It is therefore ordered, pursuant to Section 19(b)(3)(C) of the Act, 202 that File No.

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Federal Register · Notice · Feb 13, 2024

rule-comments@sec.gov. … Rebuttal comments should be submitted by March 19, 2024. VI. Conclusion It is therefore ordered, pursuant to Section 19(b)(3)(C) of the Act, 202 that File No.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Federal Register · Notice · Feb 13, 2024

rule-comments@sec.gov. … Rebuttal comments should be submitted by March 19, 2024. VI. Conclusion It Is Therefore Ordered, pursuant to Section 19(b)(3)(C) of the Act, 201 that File No.

Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 2, Related to Enhancements to Its Risk Model for Credit Default Swaps

Federal Register · Notice · Oct 7, 2014

change. 4 Notice of Amendment No. 2 to the proposed rule change was published for comment in the Federal Register on September 08, 2014. 5 The Commission did not receive comments on the … 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Forms U4 and U5

Federal Register · Notice · Mar 27, 2009

The comment period ended on May 27, 2008. … the reporting of any such matter while it was pending. 46 The commenter also expressed concerns about a firm's ability to report the allegations within the 30-day reporting period. 47 Several

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Microcap InitiativeRecommendation Rule

Federal Register · Notice · Mar 1, 1999

As to proposed Rule 2315, 11 commenters approved or approved with qualification, and 18 commenters disapproved of, the rule proposal. … 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.

Security Ratings

Federal Register · Proposed Rule · Jul 11, 2008

registration statements and their Exchange Act periodic reports. … Should we revise our disclosure policy to prohibit disclosure of security ratings in an issuer's Securities Act registration statements or Exchange Act periodic reports?

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt New Regulatory Fees Payable by Certain Listed Companies and Applicants

Federal Register · Notice · Oct 22, 2013

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

Credit Ratings Disclosure

Federal Register · Proposed Rule · Oct 15, 2009

Follow the instructions for submitting comments. Paper Comments Send paper comments in triplicate to Elizabeth M. … covers a three-year period.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule on Funding

Federal Register · Notice · Jun 27, 2003

Some commenters also suggested establishing a minimum fee for small issuers as an alternative to the formula provided in the Act. … Finally, the Board held two informational meetings during the comment period, one in Washington, DC, and one in San Francisco, CA, with representatives of issuers to explain the proposed rules on funding

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Its Rules To Provide That the Co-location Services Offered by the Exchange Include Three Time Feeds and Four Bundles of Co-location Services

Federal Register · Notice · Dec 16, 2015

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@sec.gov.

Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the PRISM Price Improvement Auction in BX Chapter VI, Section 9 and To Make Pilot Program Permanent

Federal Register · Notice · Dec 9, 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; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 12, 2024

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 160 Following the comment period, the SEC approved the Plan in November 2016. 161 160 … 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; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 12, 2024

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 160 Following the comment period, the SEC approved the Plan in November 2016. 161 160 … 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; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 12, 2024

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 160 Following the comment period, the SEC approved the Plan in November 2016. 161 160 … rule-comments@sec.gov.

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 11, 2024

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 160 Following the comment period, the SEC approved the Plan in November 2016. 161 160 … 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; MIAX PEARL LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 11, 2024

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 161 Following the comment period, the SEC approved the Plan in November 2016. 162 161 … 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