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Federal Register · Notice · Jan 12, 2007
Accordingly, OCC proposes to change the notice period to be consistent with the notice period required to advise OCC of the termination of a facilities management agreement. 5 3 CDS is the … 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.
72 FR 1571Securities and Exchange CommissionFederal Register · Notice · May 10, 2021
The comment period for the related Proposed Rule Change closed on April 14, 2021. 6 Comments are available at https://www.sec.gov/comments/sr-nscc-2021-801/srnscc2021801.htm. … comments are submitted to the Proposed Rule Change or the Advance Notice.
86 FR 24989Securities and Exchange CommissionFederal Register · Notice · Apr 7, 2008
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 notice is hereby given that on December 7, 2007, The Options Clearing Corporation (“OCC”) filed with the Securities and … 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.
73 FR 18844Securities and Exchange CommissionFederal Register · Notice · Aug 10, 2010
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
75 FR 48395Securities and Exchange CommissionFederal Register · Notice · Feb 19, 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.
68 FR 8061Securities and Exchange CommissionFederal Register · Notice · May 21, 2020
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
85 FR 31014Securities and Exchange CommissionFederal Register · Notice · May 24, 2010
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. … All submissions should refer to File Number SR-CBOE-2010-047 and should be submitted on or before June 3, 2010. 7 7 The Commission believes that a 10-day comment period is reasonable, given
75 FR 28847Securities and Exchange CommissionFederal Register · Notice · May 12, 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. … 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
76 FR 27701Securities and Exchange CommissionFederal Register · Notice · Feb 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 10001Securities and Exchange CommissionFederal Register · Notice · May 27, 2026
With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 166 Following the comment period, the SEC approved the Plan in November 2016. 167 166 … 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
91 FR 31530Securities and Exchange CommissionFederal Register · Notice · May 15, 2026
With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 167 Following the comment period, the SEC approved the Plan in November 2016. 168 167 … 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
91 FR 28358Securities and Exchange CommissionFederal Register · Notice · May 15, 2026
With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 167 Following the comment period, the SEC approved the Plan in November 2016. 168 167 … 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
91 FR 28258Securities and Exchange CommissionFederal Register · Notice · May 15, 2026
With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 167 Following the comment period, the SEC approved the Plan in November 2016. 168 167 … 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
91 FR 28308Securities and Exchange CommissionFederal Register · Notice · Dec 31, 2012
The Exchange requests that the Commission waive the 30-day operative delay period contained in Exchange Act Rule 19b-4(f)(6)(iii) 4 to the extent needed for timely industry-wide implementation of … 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
77 FR 77152Securities and Exchange CommissionFederal Register · Notice · Dec 27, 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 95211Securities and Exchange CommissionFederal Register · Notice · Dec 27, 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 95216Securities and Exchange CommissionSecurities Offering Reform for Closed-End Investment Companies
Federal Register · Proposed Rule · Apr 10, 2019
staff comments that remain unresolved for a substantial period of time and that the issuer believes are material. 236 The Commission stated at the time that enhanced Exchange Act reporting provided … If the Fund has received written comments from the Commission staff regarding its periodic or current reports under the Exchange Act or Investment Company Act or its registration statement not less
84 FR 14448Securities and Exchange CommissionTemporary Rule Regarding Principal Trades With Certain Advisory Clients
Federal Register · Rule · Dec 31, 2012
One commenter opposed extending the rule for more than a limited period of time (no more than six months) and questioned maintaining investor choice as a rationale for extending rule 206(3)-3T. 24 … two years, although two of these commenters suggested that an extension of five years would be more appropriate. 36 One commenter opposed extending the rule for more than a six-month period, during
77 FR 76854Securities and Exchange CommissionFederal Register · Notice · Nov 24, 2014
as manager or co-manager of an IPO, a 25-day quiet period on a member participating as an underwriter or dealer (other than manager or co-manager) in an IPO, and a 10-day quiet period on a member acting … Consistent with the Jumpstart Our Business Startups Act (“JOBS Act”), those quiet periods do not apply following the IPO or secondary offering of an Emerging Growth Company (“EGC”), as that term is defined
79 FR 69939Securities and Exchange CommissionFederal Register · Notice · Aug 20, 2021
n=1, with a comment period deadline of January 11, 2021. Two commenters recommended changes to certain dealer obligations under Rule G-10. … Comment, which sought comment on the matters included in the proposed rule change for a period of 45 days.
86 FR 46890Securities and Exchange Commission
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