Documents

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until April 18, 2022

Federal Register · Notice · Mar 23, 2022

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.

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail Regarding Cost Savings Measures

Federal Register · Notice · Oct 15, 2024

Comments received in response to the Notice can be found on the Commission's website at https://www.sec.gov/comments/4-698/4-698-d.htm. … The Commission is extending this 180-day period. 13  17 CFR 242.608(b)(2)(i).

Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend IM-4120-3

Federal Register · Notice · Jul 7, 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. … All submissions should refer to File Number SR-BX-2010-044, and should be submitted on or before July 19, 2010. 11 11  The Commission believes that a 10-day comment period is reasonable, given

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Sapphire, LLC To Amend the Fee Schedule Related to Fee Waivers and the Open-Close Report

Federal Register · Notice · Mar 17, 2025

expired and the discount period is set to expire on February 28, 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.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Making Permanent the Exchange's Pilot Program With Respect to Its Continued Listing Standards

Federal Register · Notice · Mar 12, 2010

[sic] The Commission notes that this proposal was noticed for comment in Securities Exchange Act Release No. 61609 (March 1, 2010) (SR-NYSE-2010-13). … 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

Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities

Federal Register · Proposed Rule · Sep 3, 2010

The comment period for the 2010 ABS Proposals expired on August 2, 2010. 22   Asset-Backed Securities, Release No. 33-9117 (Apr. 7, 2010) [75 FR 23328] (the “2010 ABS Proposing Release”). … Act and the Exchange Act.

Self-Regulatory Organizations; America 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 10, 2006

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; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.2., Hybrid Opening (and Sometimes Closing) System (“HOSS”)

Federal Register · Notice · Jun 29, 2018

The Exchange filed the proposal pursuant to Section 19(b)(3)(A)(iii) of the Act  3 and Rule 19b-4(f)(6) thereunder. 4 The Commission is publishing this notice to solicit comments on the proposed … 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; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Provide OCC With Authority in Emergency Circumstances To Extend, Waive, or Suspend the Operation of Its By-Laws, Rules, Policies and Procedures, or Any Other Rules Issued by OCC

Federal Register · Notice · Jan 15, 2014

day period. … 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; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted

Federal Register · Notice · Jan 2, 2013

The Exchange requests that the Commission waive the 30-day operative delay period contained in Exchange Act Rule 19b-4(f)(6)(iii)  4 to the extent needed for timely industry-wide implementation of … 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; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Partial Amendment No. 1, To Modify the GSD Rules To Facilitate Access to Clearance and Settlement of All Eligible Secondary Market Transactions in U.S. Treasury Securities

Federal Register · Notice · May 1, 2024

SR-FICC-2024-005) (“Notice of Filing”). 6  Comments on the Proposed Rule Change are available at https://www.sec.gov/comments/sr-ficc-2024-005/srficc2024005.htm. … act as provided in Section 19(b)(2)(ii) of the Exchange Act. 8 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

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Establish an Automated Improvement Mechanism and a Solicitation Auction Mechanism for FLEX Options

Federal Register · Notice · Apr 5, 2012

The proposed rule change was published for comment in the Federal Register on January 4, 2012. 3 The Commission received two comment letters regarding the proposal. 4 The Exchange submitted … One commenter argued that the proposed three second RFR period for a new FLEX strike and cross would present an exceptional technological challenge to market making firms attempting to provide liquidity

Self-Regulatory Organizations; Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2, and Order Granting Accelerated Approval to Amendment No. 5 Thereto, by the National Association of Securities Dealers, Inc. Relating to Amendments to NASD Membership and Registration, Investigation and Sanctions, Conduct and Code of Procedure Rules

Federal Register · Notice · Jan 5, 1999

\10\ See supra note 7, and infra Section IV, Comments and Responses. \11\ The Commission also solicits comments on Amendment No. 5. … Comments and Responses The Commission received one comment letter regarding the proposed rule change.\30\ Overall, the commenter agrees with the proposed rules, but believes the rules could be improved

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis

Federal Register · Notice · May 25, 2022

The Commission is extending this 180-day period. 7  17 CFR 242.608(b)(2)(i). 8   See Securities Exchange Act Release No. 94308 (Feb. 24, 2022), 87 FR 11755 (Mar. 2, 2022) (“OIP”). … and the comments received.

Unified Agenda of Federal Regulatory and Deregulatory Actions

Federal Register · Proposed Rule · Dec 22, 2014

Section 610 Periodic Reviews Under the Regulatory Flexibility Act Section 610 of the Regulatory Flexibility Act (RFA) requires agencies to conduct a review within 10 years of promulgation of those regulations … The comment period ended on June 8, 2009, and the NRC received 16 public comments.

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Rule 519A Risk Protection Monitor

Federal Register · Notice · Jan 28, 2015

1, 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; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials

Federal Register · Notice · Aug 20, 2026

The Exchange notes that the duration for which the sample data offered remains unchanged ( i.e., a period of six months); only the mechanism for selecting which six-month period is being standardized … 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; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials

Federal Register · Notice · Aug 20, 2026

The Exchange notes that the duration for which the sample data offered remains unchanged ( i.e., a period of six months); only the mechanism for selecting which six-month period is being standardized … 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; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials

Federal Register · Notice · Aug 20, 2026

The Exchange notes that the duration for which the sample data offered remains unchanged ( i.e., a period of six months); only the mechanism for selecting which six-month period is being standardized … 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

Lost Securityholders

Federal Register · Proposed Rule · Aug 28, 1996

For example, is the three month period between the mailing of two correspondences an appropriate time period? 2. … The Commission also is proposing an amendment to Rule 17Ad-7 under the Exchange Act to require that transfer agents maintain the records required by the proposed rule for a period of not less than three