Documents

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products (“ETPs”) Listed on the Exchange

Federal Register · Notice · May 9, 2013

Section 19(b)(2) of the Act  5 provides that, within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may … comments received, and any response to the comments submitted by the Exchange.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Attestation Requirement of Rule 4780 To Allow a Retail Member Organization To Attest That “Substantially All” Orders Submitted to the Retail Price Improvement Program Will Qualify as “Retail Orders”

Federal Register · Notice · May 1, 2013

a response to the comment on April 24, 2013. 5 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 69039 (March 5, 2013), 78 FR … Section 19(b)(2) of the Act  6 provides that within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may designate

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Proposing a Pilot Program To Create a Lead Market Maker Issuer Incentive Program for Issuers of Certain Exchange-Traded Products Listed on NYSE Arca, Inc.

Federal Register · Notice · Jun 26, 2012

Section 19(b)(2) of the Act  5 provides that, within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may … comments received, and any response to the comments submitted by the Exchange.

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.350 To Clarify When a New IEX-Listed Security Will Be Eligible To Begin Trading With an IPO Auction

Federal Register · Notice · Apr 26, 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. … 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; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Complex Customer Cross Orders

Federal Register · Notice · Dec 3, 2018

The proposed rule change was published for comment in the Federal Register on June 8, 2018. 3 On July 16, 2018, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … one comment letter from the Exchange in response to the Order Instituting Proceedings. 8 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Allow Participants To Designate When an Order With a RTFY or SCAN Routing Order Attribute Will be Activated During Pre-Market Hours

Federal Register · Notice · Mar 20, 2018

The proposed rule change was published for comment in the Federal Register on September 18, 2017. 3 On October 31, 2017, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … 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

Order Extending Temporary Exemptions From Exchange Act Section 8 and Exchange Act Rules 8c-1, 10b-16, 15a-1, 15c2-1 and 15c2-5 in Connection With the Revision of the Definition of “Security” To Encompass Security-Based Swaps

Federal Register · Notice · Jan 16, 2020

that the Commission make permanent a limited number of the Unlinked Temporary Exemptions. 20 The commenter also requested an additional twelve-month transition period before the expiration of the … the protection of investors, to extend for a period of nine months, until November 5, 2020, the Unlinked Temporary Exemptions from Section 8 of the Exchange Act and from Exchange Act Rules 8c-1, 15c2-1

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Updating to Certain Phlx Rules

Federal Register · Notice · Mar 25, 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

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Suspend 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 October 31, 2012 Until the Earlier of When Phone Service Is Fully Restored or Friday, November 2, 2012

Federal Register · Notice · Nov 7, 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; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend Those Aspects of Rules 36.20-Equities, 36.21-Equities, and 36.30-Equities 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 October 31, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 2, 2012

Federal Register · Notice · Nov 7, 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

Proposed Collection; Comment Request

Federal Register · Notice · Aug 24, 2018

The board periodically must review the composition of the fund's portfolio and change the liquidity procedures as necessary. … The Commission will post all comments on the Commission's internet website ( http://www.sec.gov ).

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's End-of-Day Price Discovery Policies and Procedures

Federal Register · Notice · Apr 27, 2017

The proposed rule change was published for comment in the Federal Register on March 9, 2017. 3 The Commission received no comments regarding the proposed changes. 1  15 U.S.C. 78s(b)(1 … Section 19(b)(2) of the Act provides that within 45 days of the publication of the notice of the filing or a proposed rule change, or within such longer period up to 90 days as the Commission may designate

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)

Federal Register · Notice · Apr 20, 2012

pursuant to Section 19(b)(2)(B) of the Act, 6 to determine whether to approve or disapprove the proposed rule change, in the Federal Register on January 24, 2012. 7 The comment period closed … is consistent with the Act.

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions

Federal Register · Notice · Apr 12, 2019

that coincides with the pilot period for the Limit Up-Limit Down Plan, 9 including any extensions to the pilot period for the Plan. 10 6   See Securities Exchange Act Release No. 62886 … 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 and Amendment No. 1 Thereto to Accept Financial Statements Prepared in Accordance with International Financial Reporting Standards, as Issued by the International Accounting Standards Board, for Certain Foreign Private Issuers

Federal Register · Notice · Feb 12, 2008

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; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Retroactive Suspension of Transaction Charges for Specialist Orders in the Nasdaq-100 Tracking Stock® (QQQQ)

Federal Register · Notice · Jun 1, 2006

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Duration of the SizeQuote Mechanism Pilot

Federal Register · Notice · Feb 15, 2006

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; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Amend NYSE Rule 70.30 Relating to the Definition of a Crowd

Federal Register · Notice · Oct 15, 2007

. 15 15  For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change, the Commission considers the period to commence on October … rule-comments@sec.gov.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program

Federal Register · Notice · Jul 13, 2017

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; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program

Federal Register · Notice · Jul 13, 2017

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