Documents

EDGAR Filer Access and Account Management

Federal Register · Proposed Rule · Sep 22, 2023

Requests for Comment V. Paperwork Reduction Act A. Form ID B. The Dashboard C. Request for Comment VI. Small Business Regulatory Enforcement Act VII. Initial Regulatory Flexibility Analysis A. … view that an appropriate transition period would be 1-3 years, 49 one commenter suggested a transition period of 18-24 months, and another commenter recommended a transition period of at least one

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Expiration Timeframes in ISE Rule 2009

Federal Register · Notice · Mar 5, 2019

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

Rules Implementing Amendments to the Investment Advisers Act of 1940

Federal Register · Rule · May 22, 1997

that it would not be eligible for Commission registration.44 Several commenters argued that 90 days was insufficient, while a number of state commenters requested that the 90- day period be shortened, … The Commission did not receive any comments from the public in response to its request for comments in the Paperwork Reduction Act section of the Proposing Release.

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Extension of Review Period of Advance Notice To Implement Changes to the Method of Calculating Netting Members' Margin in the Government Securities Division Rulebook

Federal Register · Notice · Mar 12, 2018

Therefore, the Commission finds it appropriate to extend the review period of the Advance Notice for an additional 60 days under Section 806(e)(1)(H) of the Clearing Supervision Act. 7 7   … Accordingly, the Commission, pursuant to Section 806(e)(1)(H) of the Clearing Supervision Act, 8 extends the review period for an additional 60 days so that the Commission shall have until May 12,

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending Equities Rule 5.2(j)(3)

Federal Register · Notice · Nov 24, 2009

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 e-mail to rule-comments

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to its Equity Option Specialist Deficit (Shortfall) Fee

Federal Register · Notice · Feb 7, 2005

For purposes of calculation the 60-day abrogation period, the Commission considers the period to commence on January 28, 2005, the date the Phlx filed Amendment No. 2. IV. … rule-comments@sec.gov.

Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Listing of Certain 73/4% PEPSSM Units Under Section 703.19

Federal Register · Notice · Dec 19, 2003

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-NYSE-2003-40.

Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Pass-Through of Certain Costs to ETP Holders

Federal Register · Notice · Mar 5, 2008

proposed rule change under Section 19(b)(3)(C) of the Act, the Commission considers the period to commence on February 27, 2008, the date on which NSX filed Amendment No. 1. … rule-comments@sec.gov.

Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Thereto Relating to a Revision and Extension of a Limitation on Trade Through Liability at the End of the Options Trading Day Pilot Program

Federal Register · Notice · Feb 7, 2005

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.

UNITED STATES OF AMERICA

Agency decision · Agency decision

. § 201.1104, provides in relevant part, “[t]he order approving or disapproving the plan should be entered within 30 days after the end of the final period allowed for comments on the proposed plan unless … Thirty days from the end of the final period for comments on the Proposed Plan will lapse on July 14, 2025.

Self-Regulatory Organizations; NYSE American 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 25, 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

Self-Regulatory Organizations; New York Stock Exchange 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 25, 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

Self-Regulatory Organizations; MIAX Emerald, 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 16, 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

Self-Regulatory Organizations; Cboe 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 11, 2024

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 162 Following the comment period, the SEC approved the Plan in November 2016. 163 162 … 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 BYX 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 11, 2024

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 162 Following the comment period, the SEC approved the Plan in November 2016. 163 162 … 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 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. 162 Following the comment period, the SEC approved the Plan in November 2016. 163 162 … 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; Miami International Securities Exchange, 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. 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

Self-Regulatory Organizations; Nasdaq MRX, 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; Cboe C2 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 13, 2024

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 162 Following the comment period, the SEC approved the Plan in November 2016. 163 162 … 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; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Short Sale Delivery Requirements

Federal Register · Notice · Nov 16, 2005

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 e-mail to rule-comments