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Federal Register · Notice · Sep 11, 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
89 FR 74050Securities and Exchange CommissionFederal Register · Notice · Sep 11, 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
89 FR 73950Securities and Exchange CommissionFederal Register · Notice · Sep 13, 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
89 FR 75346Securities and Exchange CommissionFederal Register · Notice · Aug 30, 1999
Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change Section 15B(c)(7)(A) \4\ of the Act provides that periodic examinations of dealers for … 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
64 FR 47209Securities and Exchange CommissionFederal Register · Notice · Apr 28, 1997
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 March 26, 1997, the NASD Regulation, Inc. … 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.
62 FR 22984Securities and Exchange CommissionRemoval of References to Credit Ratings From Regulation M
Federal Register · Rule · Jun 20, 2023
Retention Period for Record Preservation Requirement VII. Regulatory Flexibility Act Certification Statutory Authority I. … However, in light of the comments received, the 10-calendar-day period suggested by the commenter would be unnecessarily long for the lead manager to determine and document in writing the issuer's probability
88 FR 39962Securities and Exchange CommissionFederal Register · Notice · Mar 28, 2014
for the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act (the “Limit Up-Limit Down Plan” or the “Plan”), including any extensions to the pilot 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
79 FR 17610Securities and Exchange CommissionFederal Register · Notice · Apr 21, 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.
87 FR 23893Securities and Exchange CommissionConformed to Federal Register version
Agency decision · Agency decision
See also Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions, Exchange Act Release No. 97762 (June 20, 2023), 88 FR 41338 (June 26, 2023) (proposing to require any … Retention Period of Recordkeeping Requirement Pursuant to 17 CFR 240.17a-4(b)(7) (“Exchange Act Rule 17a-4(b)(7)”), a broker-dealer must preserve for a period of not less than three years, the first two
Securities and Exchange CommissionFederal Register · Notice · Dec 2, 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
79 FR 71485Securities and Exchange CommissionFederal Register · Notice · Oct 12, 2022
The fee waiver would be offered for a three-month period, beginning on October 10, 2022. At the end of the three-month period, users would no longer be eligible for the waiver. … This fee waiver would be offered for a three-month period, beginning on September 22, 2022. At the end of the three-month period, users would no longer be eligible for the waiver.
87 FR 61640Securities and Exchange CommissionFederal Register · Notice · Oct 25, 2022
At the end of the three-month period, users would no longer be eligible for the waiver. … At the end of the three-month period, users would no longer be eligible for the waiver.
87 FR 64529Securities and Exchange CommissionFederal Register · Notice · Feb 15, 2023
FINRA has stated that the review period for its rule filing may extend well into 2023. … 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
88 FR 9919Securities and Exchange CommissionFederal Register · Notice · Jul 3, 2013
During this Pilot Period, the Exchange will submit certain data, periodically as required by the Commission, to provide supporting evidence that, among other things, there is meaningful competition for … 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.
78 FR 40235Securities and Exchange CommissionConformed to Federal Register version
Agency decision · Agency decision
Comments Commenters in one letter stated that registrants typically are not providing the detailed disclosures required by the HFCA Act and that current risk factor disclosure tends to be insufficient … of these commenters suggested that any deferral of the commencement beyond 2024 would be inconsistent with the HFCA Act. 68 Other commenters noted the importance of clear rules relating to the trading
Securities and Exchange CommissionFederal Register · Notice · Aug 2, 2017
On March 16, 2017, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute … The Commission may extend the period for issuing an order approving or disapproving the proposed rule change by not more than 60 days if the Commission determines that a longer period is appropriate and
82 FR 36030Securities and Exchange CommissionFederal Register · Notice · Dec 23, 2005
that period. … the Act.
70 FR 76336Securities and Exchange CommissionFederal Register · Notice · Oct 24, 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
84 FR 57078Securities and Exchange CommissionFederal Register · Notice · Dec 29, 2004
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
69 FR 78076Securities and Exchange CommissionFederal Register · Notice · Oct 9, 2015
The proposed rule change was published for comment in the Federal Register on July 9, 2015. 3 The Commission received two comments on the proposal. 4 FINRA responded to the comments and … FINRA also noted that the other commenter and commenters on the related Regulatory Notice support the publication of weekly data. Id. at 6-7. 38 Id. at 7.
80 FR 61246Securities and Exchange Commission
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