Documents

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program

Federal Register · Notice · Jul 28, 2026

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

Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers

Federal Register · Proposed Rule · May 8, 2000

SUMMARY: The Securities and Exchange Commission is proposing for comment Rule 17a-25 under Section 17 of the Securities Exchange Act of 1934. … the Exchange Act specify minimum requirements with respect to the records that must be maintained by broker-dealers, as well as the periods during which such records and other documents relating to a

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework

Federal Register · Notice · Apr 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

Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities

Federal Register · Rule · Dec 22, 2010

The comment period for the 2010 ABS Proposals expired on August 2, 2010. 14   Asset-Backed Securities, Release No. 33-9117 (Apr. 7, 2010) [75 FR 23328] (the “2010 ABS Proposing Release”). … the Securities Act and the Exchange Act.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Rule Text From Phlx Rule 1101A

Federal Register · Notice · Nov 19, 2019

Proposed Rule Change To Extend the Pilot Period for the Listing of P.M. … 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; The Depository Trust Company; Fixed Income Clearing Corporation; and National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, Relating to a Participant System Disruption

Federal Register · Notice · Sep 25, 2025

SR-NSCC-2025-003) (“NSCC Notice of Filing”). 4  Comments on the proposed rule changes are available at https://www.sec.gov/comments/sr-dtc-2025-003/srdtc2025003.htm. … On May 2, 2025, pursuant to Section 19(b)(2) of the Exchange Act, 5 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether to

UNITED STATES OF AMERICA

Agency decision · Agency decision

, Securities Act Rel. … NOTICE AND COMMENT PERIOD 103.

Existing Collection; Comment Request

Federal Register · Notice · Mar 30, 2001

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et. seq. ), the Securities and Exchange Commission (the “Commission”) is soliciting comments on the collections … Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to Michael E.

Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to the Time and Manner in Which the Appropriate Allocation Committee May Reallocate a Security

Federal Register · Notice · Jul 19, 2002

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 June 11, 2002, the Chicago Board Options Exchange, Inc … 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; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Changes to Rule 6.51

Federal Register · Notice · Jan 18, 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; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of Those Aspects of Rules 36.20, 36.21, and 36.30 That Would Not Permit Designated Market Makers and Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From November 5, 2012 Until the Earlier of When Phone Service Is Fully Restored or Friday, November 9, 2012

Federal Register · Notice · Nov 13, 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; MEMX 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

Treatment of Asset-Backed Issuers Under the Investment Company Act

Federal Register · Proposed Rule · Sep 7, 2011

Commenters argued that transferring the cash flow “within a reasonable period of time” was inconsistent with industry practice and that whether a servicer commingled the cash flow with its own assets, … If so, what should that time period be? Commenters suggesting specific time periods should address the costs and benefits associated with their suggestions.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Establish a Pilot Program To Modify FLEX Exercise Settlement Values and Minimum Value Sizes

Federal Register · Notice · Dec 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; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule To Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATETM))

Federal Register · Notice · Aug 9, 2024

Comment Period Extension Commenters stated that the length of the comment period for FINRA's proposed rule change was too short, requesting that the comment period be extended. 125 One commenter … Some commenters opposed the Commission's designation of a longer period within which to take action on FINRA's proposed rule change. 131 Some commenters called the extension “unacceptable” or stated

Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options

Federal Register · Notice · Mar 28, 2011

report covering the pilot period should the Exchange decide to extend or file for permanent approval of the pilot. … 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 of Proposed Rule Change by the Philadelphia Stock Exchange, Inc., Relating to Limiting Time for Submission of Settlement Offers

Federal Register · Notice · Oct 23, 1996

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 September 27, 1996, the Philadelphia Stock Exchange, Inc. … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were either received or requested. III.

Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Include Additional Securities in the Trading Halt Pilot Program Under Exchange Rule 11.20B

Federal Register · Notice · Jul 7, 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-NSX-2010-08, and should be submitted on or before July 19, 2010. 10 10  The Commission believes that a 10-day comment period is reasonable, given

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule and Form Governing Withdrawal From Registration

Federal Register · Notice · Apr 8, 2004

Pursuant to section 107(b) of the Sarbanes-Oxley Act of 2002 (“Act”), notice is hereby given that on October 15, 2003, the Public Company Accounting Oversight Board (“Board” or “PCAOB”) filed with the … Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rules are consistent with the Act.

Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility

Federal Register · Notice · Oct 19, 2015

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