Documents

Proposed Collection; Comment Request

Federal Register · Notice · Jan 30, 2008

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 350l et seq. ), the Securities and Exchange Commission (the “Commission”) is soliciting comments on the collections … of information under the Investment Company Act of 1940 (“Act”) summarized below.

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.18, Entitled “Trading Halts Due to Extraordinary Market Volatility”

Federal Register · Notice · May 24, 2010

Act. … All submissions should refer to File Number SR-BATS-2010-014 and should be submitted on or before June 3, 2010. 7 7  The Commission believes that a 10-day comment period is reasonable, given

Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGA Rule 11.14, Entitled “Trading Halts Due to Extraordinary Market Volatility”

Federal Register · Notice · May 24, 2010

Act. … All submissions should refer to File Number SR-EDGA-2010-01 and should be submitted on or before June 3, 2010. 7 7  The Commission believes that a 10-day comment period is reasonable, given

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Delete the FINRA Order Audit Trail System (OATS) Rules

Federal Register · Notice · Sep 1, 2020

to the comments received. 54 Three of the four commenters filed additional comment letters in response to the amendment, 55 and FINRA filed a response to comments. 56 In addition, prior … 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; Miami International Securities Exchange LLC; 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 Options on Shares of the Market Vectors ETFs

Federal Register · Notice · Feb 2, 2015

The Commission may extend the period for issuing an order approving or disapproving the proposed rule change, however, by not more than 60 days if the Commission determines that a longer period is appropriate … In this case, the proposed rule change was published for notice and comment in the Federal Register on August 12, 2014.

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Governance Committee Charter

Federal Register · Notice · Dec 16, 2013

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; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule

Federal Register · Notice · Aug 3, 2012

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; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Complimentary Services Offered to Certain New Listings

Federal Register · Notice · Jul 28, 2016

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.

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Enhance the Functionality Offered on Its Options Floor Broker Management System (“FBMS”) by, Among Other Things, Automating Functions Currently Performed by Floor Brokers

Federal Register · Notice · Feb 26, 2013

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; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. to Amend its Method of Calculating Initial and Maintenance Margin Requirements for Foreign Currency Options

Federal Register · Notice · Apr 20, 1998

day period. … with the Act.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. To Amend Exchange Rule 80B (``Trading Halts Due to Extraordinary Market Volatility'')

Federal Register · Notice · Feb 23, 1998

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'' or ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on February 10, 1998, the New York Stock … 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 Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, by the Philadelphia Stock Exchange, Inc. Relating to a System Change to a Pilot Program to Disengage AUTO-X the Automatic Execution Feature of the Exchange's Automated Options Market (AUTOM)

Federal Register · Notice · Sep 10, 2003

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were either solicited or received. III. … the Act.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc., Extending the Pilot Fee Structure Governing the Reimbursement of Member Organizations for Costs Incurred in the Transmission of Proxy and Other Shareholder Communication Materials

Federal Register · Notice · Nov 8, 1999

\3\ Amendment No. 1 to the proposed rule change requests that the Commission exercise its discretionary authority under rule 19b- 4(f)(6)(iii) of the Act by designating such shorter time period, which … with the Act.

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Requirements for Notification by Member Organizations of Participation in Distributions

Federal Register · Notice · Apr 11, 1997

The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The Exchange has neither solicited nor received written comments

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility

Federal Register · Notice · Feb 11, 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.

Self-Regulatory Organizations; Notice of Filing of proposed rule Change by The National Association of Securities Dealers, Inc. Adding Listing Requirements To Prohibit Immediate Delistings of Units on Nasdaq

Federal Register · Uncategorized Document · Aug 18, 1994

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on July 28, 1994, the National Association of Securities Dealers, Inc. … (C) 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.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Appointments to Competitive Market Makers

Federal Register · Notice · Jun 28, 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

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, Relating to the Deletion of Certain Exchange Rules

Federal Register · Notice · May 18, 2006

the Act. … rule-comments@sec.gov .

Self-Regulatory Organizations; American Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Relating to Membership Structure and Requirements and the Exchange's Gratuity Fund

Federal Register · Notice · May 23, 1995

\2\ 17 CFR 240.19b-4. --------------------------------------------------------------------------- The proposed rule change was published for comment in Securities [[Page 27354]] Exchange Act … Comments Received by the Commission The Commission received one comment letter from S.G.

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 11.190(g) To Provide an Alternative Calculation for Pegged Order Types for Determining Whether a Quote Instability Condition Exists

Federal Register · Notice · Oct 17, 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.