Documents

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change as Revised by Amendment Nos. 1 and 2 Thereto Relating to the Listing and Trading of Notes Linked to the Performance of the Hang Seng China Enterprises Index

Federal Register · Notice · Dec 26, 2006

period. … The Commission has determined that a 15-day comment period is appropriate before taking any action. IV.

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule IM-7170-1, To Make Permanent the Exchange Rule That Is Linked to the Equity Market Plan To Address Extraordinary Market Volatility

Federal Register · Notice · Oct 25, 2019

(proposing to extend pilot program to coincide with the pilot period for the Plan). … 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

Consolidated Tape Association; Order Disapproving the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Eighth Substantive Amendment to the Restated CQ Plan

Federal Register · Notice · Sep 27, 2022

decentralized consolidation model nor do they acknowledge the parallel period.”  80 This commenter requests clarification of how the CTA and CQ Plans will operate during the parallel operation period … The commenter also suggests specific modifications to CTA Plan Sections V. and VI. to make clear that the functions of the Processor apply only during the parallel operation period and to embed in the

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Boston Stock Exchange, Inc. To Extend Trading Hours From 8 a.m. Until 9:28 a.m., and From 4:16 p.m. Until 6:30 p.m. To Allow for the Execution of Matched Orders Only

Federal Register · Notice · Jan 28, 2004

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. … Comments may also be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. SR-BSE-2003-31.

Ownership Reports and Trading by Officers, Directors and Principal Security Holders

Federal Register · Proposed Rule · Oct 17, 1995

In addition, the comment periods for the Proposing Release and Cash-Only Release are extended until December 15, 1995. DATES: Comments should be received on or before December 15, 1995. … In order to give commenters sufficient time to consider this Alternative Proposal and request for further comment, the comment periods on the Proposing Release and the Cash-Only Release are extended to

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook

Federal Register · Notice · Jan 28, 2009

A copy of the Notice is attached as Exhibit 2a. 28 The comment period ended on June 13, 2008. Seventeen commenters responded to the Notice. … Periodic Reports] Entire text deleted.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Expand FINRA's Alternative Trading System (“ATS”) Transparency Initiative To Publish OTC Equity Volume Executed Outside ATSs

Federal Register · Notice · Jul 9, 2015

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 June 23, 2015, Financial Industry Regulatory Authority … 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; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Allow the Listing and Trading of a P.M.-Settled S&P 500 Index Option Product

Federal Register · Notice · Mar 8, 2011

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.

Exemptions To Facilitate Intrastate and Regional Securities Offerings

Federal Register · Proposed Rule · Nov 10, 2015

Follow the instructions for submitting comments. Paper Comments • Send paper comments to Brent J. … Request for Comment VI. Paperwork Reduction Act VII. Initial Regulatory Flexibility Act Analysis VIII. Small Business Regulatory Enforcement Fairness Act IX.

Submission for OMB Review; Comment Request

Federal Register · Notice · Apr 9, 2008

Management and Budget a request for approval of the collections of information under the Investment Company Act of 1940 (“Act”) summarized below. … A single account may be used for the periodic payment plans of multiple investment companies.

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the GSD Rules Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and To Address the Conditions of Note H to Rule 15c3-3a

Federal Register · Notice · Sep 24, 2024

The Proposed Rule Change was published for public comment in the Federal Register on March 28, 2024. 4 The Commission has received comments regarding the substance of the changes proposed … SR-FICC-2024-802). 5  Comments on the Proposed Rule Change are available at https://www.sec.gov/comments/sr-ficc-2024-007/srficc2024007.htm.

Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the EDGX Exchange, Inc.'s Routing Broker Dealer, as Described in EDGX Rule 2.12(b)

Federal Register · Notice · May 28, 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

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Remove the Activity Limit From the GSD Rules

Federal Register · Notice · Feb 4, 2026

Impact Study FICC performed an impact study for the period April 1, 2024 to October 31, 2025 (“Impact Study 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

Purchases of Certain Equity Securities by the Issuer and Others

Federal Register · Rule · Sep 29, 1999

All commenters supported the proposal's revision of the timing condition as facilitating short-term liquidity and providing issuers flexibility during periods of severe market downturns. … All commenters supported the proposal's revision of the timing condition as facilitating short-term liquidity and providing issuers flexibility during periods of severe market downturns.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To List and Trade CBOE Short-Term Volatility Index Options

Federal Register · Notice · Feb 6, 2014

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; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc., Relating to the Valuation of Illiquid Direct Participation Program and Real Estate Investment Trust Securities on Customer Account Statements

Federal Register · Notice · Apr 3, 1997

, as applicable, or a periodic report filed by the DPP or REIT with the Commission under Sections 13 or 15(d) of the Act; or (iv) developed by the member, if valuations pursuant to subparagraphs (ii … Subparagraph (b)(3)(A)(iii) permits a member to include an estimated value that is contained in an annual report distributed to investors pursuant to Sections 14(a) or 14(c) of the Act or in a periodic

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to the Elimination of SPY Position Limits

Federal Register · Notice · May 15, 2014

of the Extended Pilot and would analyze that 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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

by the Dodd-Frank Act. … In addition, for the Index CDS accepted for cleaning by LCH.C SA, the creation of Spun-Out Component Transactions is governed by the iTraxx Europe Untranched Standard Terms Supplement.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Posting Period for Membership Applications

Federal Register · Notice · Sep 30, 2003

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; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change to Finance Procedures

Federal Register · Notice · Nov 28, 2014

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