Documents

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program

Federal Register · Notice · Jan 31, 2019

The proposed rule change was published for comment in the Federal Register on August 17, 2018. 3 On September 27, 2018, the Commission designated a longer period within which to approve the proposed … The Commission may, however, 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

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Canary SUI ETF Under BZX Rule 14.11(e)(4) (Commodity-Based Trust Shares)

Federal Register · Notice · Sep 30, 2025

The Commission has received no comment letters on the proposed rule change. … On June 4, 2025, 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

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Canary Staked INJ ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Federal Register · Notice · Feb 2, 2026

The Commission has received no comment letters on the proposed rule change. … On September 25, 2025, 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

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Accommodate Stop-Limit Complex Orders and To Establish Stop Complex Order Auctions as a New Type of Auction Mechanism

Federal Register · Notice · Sep 24, 2026

The proposed rule change was published for comment in the Federal Register on March 26, 2026. 3 The Commission received no comments regarding the proposed rule change. 1  15 U.S.C. 78s … On May 5, 2026, 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

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the CNS Fails Charge in the NSCC Rules

Federal Register · Notice · Sep 30, 2025

The Proposed Rule Change was published for public comment in the Federal Register on September 16, 2025. 3 The Commission has not received comments regarding the substance of the changes proposed … act as provided in Section 19(b)(2)(ii) of the Exchange Act. 5 Section 19(b)(2)(ii) of the Exchange Act allows the Commission to designate a longer period for review (up to 90 days from the publication

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes

Federal Register · Notice · Aug 6, 2018

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.

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Temporary Reallocation of Securities Among Specialists

Federal Register · Notice · Jul 14, 2005

Members wishing to make representations with respect to any application should file their comments with the Market Surveillance and Evaluation Department during the period when notice is posted. … the Act.

Self-Regulatory Organizations; CboeBZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Initial Period After Commencement of Trading of a Series of ETF Shares on the Exchange as It Relates to the Holders of Record and/or Beneficial Holders, as Provided in Exchange Rule 14.11(l)

Federal Register · Notice · Feb 20, 2024

The proposed rule change was published for comment in the Federal Register on September 1, 2023. 3 On September 25, 2023, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … The Commission has received no comments on the proposed rule change. 6  15 U.S.C. 78s(b)(2)(B). 7   See Securities Exchange Act Release No. 98933, 88 FR 80783 (November 20, 2023)

Net Worth Standard for Accredited Investors

Federal Register · Rule · Dec 29, 2011

Both letters that commented favorably on the possible requirement to calculate net worth as of a specified date before the sale of securities supported a 60-day look-back period. 52 Another alternative … letters from Cornell (suggesting a 60-day period) and NASAA (suggesting a 60- or 90-day period)

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICE Clear Europe Delivery Procedures

Federal Register · Notice · Sep 23, 2014

In each relevant Part, the amendments adopt a new definition of “Invoice Period,” which is defined as the period beginning at the start of the day on which the last invoice was issued, up to the end of … Central European Time, as applicable) on the day following the Invoice Period.

Rulemaking for EDGAR System

Federal Register · Rule · Jan 19, 1999

Sixteen commenters submitted written comments on the rules proposals. … period, only two commenters had responded concerning the potential costs of the proposal, the Commission staff determined that it was appropriate to obtain additional cost-benefit information.

Self-Regulatory Organizations; Filing of Proposed Rule Change by Participants Trust Co. Relating to the Percentage Margin Applied by PTC With Respect to GNMA Project, Construction, and Mobile Home Securities

Federal Register · Uncategorized Document · Jan 31, 1994

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on November 8, 1993, Participants Trust Company (``PTC'') filed with the Securities and Exchange … Home and single-family securities over the period from March 1990 to February 1991.\7\ --------------------------------------------------------------------------- \5\Securities Exchange Act Release

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes

Federal Register · Notice · Jul 19, 2018

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.

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, To Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations

Federal Register · Notice · Apr 2, 2010

Discussion of Comments The MSRB received comments on the March 2008 ARS Notice from seven commentators, 17 on the May 2008 VRDO Notice from nine commentators, 18 and on the July 2009 Notice … 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; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Delivery of Customer Agreements Containing Predispute Arbitration Clauses

Federal Register · Notice · Apr 19, 2005

rule-comments@sec.gov. … If a customer requests a copy before the end of the 30-day period, the member must provide such copy within ten business days or before the end of the 30-day period, whichever date is earlier.

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them With Similar Rules of Its Affiliates

Federal Register · Notice · Dec 6, 2007

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 Amendment No. 1 Thereto To Reduce the Value of the Nasdaq Composite Index® Underlying the Options Traded Under the Symbol QCE

Federal Register · Notice · Dec 1, 2005

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 such period to commence … the Act.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Concerning Exchange Rule 1210 From April 30, 2021, to June 30, 2021

Federal Register · Notice · May 6, 2021

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; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Federal Register · Notice · Aug 1, 2018

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 Amendment Nos. 5 and 7 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Regarding the Eligibility of Claims for Arbitration

Federal Register · Notice · Apr 19, 2002

the Act. … Gilbertson, 501 U.S. 350 (1991) (adopting Section 9(e) limitation period for claims implied under Section 10(b) of the Act, 15 U.S.C. 78j(b)).