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Federal Register · Notice · May 25, 2006
the Act. … rule-comments@sec.gov .
71 FR 30209Securities and Exchange CommissionFederal Register · Notice · Apr 13, 2021
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
86 FR 19306Securities and Exchange CommissionFederal Register · Proposed Rule · Nov 5, 2013
Retention Period of Recordkeeping Requirements G. Request for Comment V. Small Business Regulatory Enforcement Fairness Act VI. Initial Regulatory Flexibility Act Analysis A. … that were exempt under Securities Act Section 4(a) during the preceding 12-month period. 25 Another commenter requested clarification that the limitations and requirements of the offering exemption
78 FR 66428Securities and Exchange CommissionFederal Register · Notice · Dec 29, 2011
A Minimum Life Order is a Displayed Order that may not be cancelled for a period of 100 milliseconds following its entry. … 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.
76 FR 82008Securities and Exchange CommissionFederal Register · Notice · Jan 9, 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.
71 FR 1459Securities and Exchange CommissionFederal Register · Notice · Jun 19, 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. … 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 e-mail to rule-comments
72 FR 33795Securities and Exchange CommissionAgency decision · Agency decision
The Commission ordered Richards to pay a total of $144,000 in disgorgement, prejudgment interest, and a civil money penalty over the period of one year. The 1 Exchange Act Rel. … The Commission received no comments on the Proposed Plan during the comment period.
Securities and Exchange CommissionFederal Register · Notice · Jun 24, 2004
)(3)(C) of the Act, the Commission considers the period to commence on May 10, 2004, the date on which the Amex filed Amendment No. 1. … the Act.
69 FR 35399Securities and Exchange CommissionFederal Register · Notice · Dec 9, 2004
Act. … rule-comments@sec.gov.
69 FR 71442Securities and Exchange CommissionFederal Register · Notice · May 3, 2018
The proposed rule change was published for comment in the Federal Register on September 18, 2017. 3 On October 31, 2017, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … the Act.
83 FR 19586Securities and Exchange CommissionFederal Register · Notice · May 2, 2008
of three years] in the form and for the time period required for options communications by SEC Rule 17a-4 of the Act. … rule-comments@sec.gov.
73 FR 24332Securities and Exchange CommissionFederal Register · Rule · Aug 15, 2006
S7-06-03] RIN 3235-AI79 Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers AGENCY: Securities and Exchange Commission … OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975
71 FR 47056Securities and Exchange CommissionFederal Register · Notice · Nov 21, 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
81 FR 83313Securities and Exchange CommissionFederal Register · Notice · Jun 19, 1996
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 June 4, 1996, the Municipal Securities Rulemaking Board (``Board'' or … (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.
61 FR 31207Securities and Exchange CommissionFederal Register · Notice · Nov 14, 2024
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.
89 FR 90201Securities and Exchange CommissionFederal Register · Notice · Sep 10, 2003
Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were either solicited or received. III. … the Act.
68 FR 53415Securities and Exchange CommissionFederal 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.
85 FR 53879Securities and Exchange CommissionFederal 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
81 FR 9575Securities and Exchange CommissionFederal 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.
Securities and Exchange CommissionFederal 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
90 FR 52478Securities and Exchange Commission
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