Documents

Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, Exchange Rule 1903, Continuing Education Requirements, and Exchange Rule 1904, Electronic Filing Requirements for Uniform Forms

Federal Register · Notice · Jul 6, 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@sec.gov.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules Relating to Registration System

Federal Register · Notice · Jun 11, 2003

These commenters noted that such a firm may be asked to issue a consent with respect to the use of its opinion for the prior period. … At least one commenter specifically suggested that, if the Board required disclosure of more than pending proceedings, the look-back period should be limited to five years since this period is consistent

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the Guggenheim Enhanced Short Duration ETF

Federal Register · Notice · Dec 16, 2014

2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 73512 (Nov. 3, 2014), 79 FR 66442. 4  All comments on the proposed rule change, including Amendment No. 1, … Section 19(b)(2) of the Act  5 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

Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Federal Register · Notice · Jul 20, 2022

of 1934 (“Act”)  1 and Rule 19b-4 thereunder. 2 The Proposed Rule Change was published for comment in the Federal Register on June 15, 2022, 3 and the Commission has received comments … SR-DTC-2022-006). 4  Comments are available at https://www.sec.gov/comments/sr-dtc-2022-006/srdtc2022006.htm.

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as Boston Security Token Exchange LLC

Federal Register · Notice · Jul 19, 2021

. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 92017 (May 25, 2021), 86 FR 29634. 4  Comments received on the proposed rule change are available … Section 19(b)(2) of the Act  5 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

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt an Alternative to the Minimum $4 Price Requirement for Companies Seeking To List Tier II Securities on the Exchange

Federal Register · Notice · Nov 13, 2023

Section 19(b)(2) of the Act  4 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 (i) as the Commission may … the comments received.

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, To Implement a Low Priced Stock Strike Price Interval Program

Federal Register · Notice · Aug 10, 2023

(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 97733 (June 15, 2023), 88 FR 40887. 4  The comment is available at: https://www.sec.gov/comments … Section 19(b)(2) of the Act  5 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; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets

Federal Register · Notice · Jul 24, 2020

Comments on the proposed rule change can be found at: https://www.sec.gov/comments/sr-nasdaq-2020-026/srnasdaq2020026.htm. … The Commission finds it appropriate to designate a longer period within which to take action on the proposed rule change so that it has sufficient time to consider the proposed rule change and the comments

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Permit FLEX Trading in the iShares Bitcoin Trust ETF

Federal Register · Notice · Mar 5, 2025

15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 102132 (Jan. 7, 2025), 90 FR 3266. 4  Comment letters on the proposed rule change … Section 19(b)(2) of the Act  5 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; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E

Federal Register · Notice · Apr 4, 2019

. 4 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 85093 (Feb. 11, 2019), 84 FR 4589 (Feb. 15, 2019). 4  Comments … Section 19(b)(2) of the Act  5 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; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust Under NYSE Arca Equities Rule 8.201

Federal Register · Notice · Mar 28, 2017

 15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 79955 (Jan. 3, 2017), 82 FR 7891. 4  All comments on the proposed rule change as … Section 19(b)(2) of the Act  5 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; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10, Clearly Erroneous Executions

Federal Register · Notice · Apr 11, 2019

that coincides with the pilot period for the Limit Up-Limit Down Plan, 8 including any extensions to the pilot period for the Plan. 9 5   See Securities Exchange Act Release No. 62886 … 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; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E, Clearly Erroneous Executions

Federal Register · Notice · Apr 15, 2019

that coincides with the pilot period for the Limit Up-Limit Down Plan, 8 including any extensions to the pilot period for the Plan. 9 5   See Securities Exchange Act Release No. 62886 … 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; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ISE Rule 1100(g) “Exercise of Options Contracts”

Federal Register · Notice · Mar 16, 2006

For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change, as amended, under Section 19(b)(3)(C) of the Act, the Commission considers the … period to commence on March 3, 2006, the date on which the Exchange submitted Amendment No. 1.

Self-Regulatory Organizations; Notice of Filing of and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Certificate of Designation for Preferred Stock of The Nasdaq Stock Market, Inc.

Federal Register · Notice · Dec 15, 2004

The NASD may not transfer the Series C Preferred without the prior written consent of Nasdaq for a period of one year from its issuance, which is the same initial transfer restriction period as was contained … rule-comments@sec.gov.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 by the National Association of Securities Dealers, Inc. Relating to the Regulatory Fee and the SEC Section 31 Transaction Fee

Federal Register · Notice · Nov 19, 2002

The NASD is sunsetting the changes made to the TAF in SR-NASD-2002-98 in response to member comments asserting that a full notice and comment period would be beneficial to NASD members. … 14 to allow for an additional notice and comment period.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Penny Pilot Program

Federal Register · Notice · Apr 3, 2008

. 12 12  For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change under Section 19(b)(3)(C) of the Act, the Commission considers … the period to commence on March 27, 2008, the date on which CBOE filed Amendment No. 1.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Procedures and Credits in Connection With the Re-Location of Equipment in the Exchange's Data Center

Federal Register · Notice · Oct 30, 2015

No User would be required to move more than once within any 12-month period. … The Notice would identify the 90-day period during which the User must move its equipment, which period would commence at least 60 days from the date of the Notice.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules

Federal Register · Notice · May 1, 2014

to the comment letters. 5 On March 4, 2014, the Commission extended the time period for Commission action to April 28, 2014. 6 This order approves the proposed rule change. 1  15 U.S.C … adequately to the comments.

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options 7, Section 3

Federal Register · Notice · Dec 23, 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. … 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