Documents

Proposed Collection; Comment Request

Federal Register · Notice · Feb 4, 2014

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq. ) (“PRA”), the Securities and Exchange Commission (“Commission”) is soliciting comments on the collections … is a similar recordkeeping retention period as imposed on all advisers under rule 204-2 of the Advisers Act.

Proposed Collection; Comment Request; Extension: Rule 17f-6

Federal Register · Notice · Sep 9, 2024

April 2021-March 2022; 1,180 series of 152 funds for the period April 2022-March 2023; and 1,210 series of 151 funds for the period April 2023-March 2024 (for filings received through June 30, 2024). … Consideration will be given to comments and suggestions submitted by November 8, 2024.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the Examination Specifications and Study Outline for the Assistant Representative-Order Processing (Series 11) Examination

Federal Register · Uncategorized Document · Aug 23, 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 26, 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: National Association of Securities Dealers, Inc.; New York Stock Exchange LLC; American Stock Exchange LLC; Order Approving Proposed Rule Changes To Increase the Frequency of the Short Interest Reporting Requirements

Federal Register · Notice · Mar 12, 2007

Comments The Commission specifically asked whether the proposed 180 day implementation period should be shortened. … However, the commenter believed that the implementation period should be shortened. 7  Letter from Carol McCrory, Visitiing Assistant Professor of Legal Skils, Stetson University College of Law

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program for Position and Exercise Limits for Options on the iShares® Russell 2000® Index Fund

Federal Register · Notice · Jul 12, 2007

The increased exercise limits would only be in effect during the IWM Pilot Period. … 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; 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, as Modified by Amendment No. 2, To Make Qualified Contingent Cross Orders Available for FLEX Option Trading

Federal Register · Notice · Feb 19, 2021

The proposed rule change was published in the Federal Register on August 20, 2020. 3 On October 1, 2020, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period … Securities Exchange Act Release No. 90457, 85 FR 75071 (November 24, 2020). 9  Amendment No. 2 is available on the Commission's website at: https://www.sec.gov/comments/sr-cboe-2020-075/

Self-Regulatory Organizations; New York Stock 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 Amend Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction

Federal Register · Notice · Mar 23, 2022

The proposed rule change was published for comment in the Federal Register on September 22, 2021. 3 On November 1, 2021, pursuant to Section 19(b)(2) of the Act, 4 the Commission extended … December 21, 2021. 5 The Commission has received two comment letters on the proposal. 6 On December 17, 2021, the Commission instituted proceedings under Section 19(b)(2)(B) of the Act  7

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the GSD Rules Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and To Address the Conditions of Note H to Rule 15c3-3a

Federal Register · Notice · Sep 24, 2024

The Proposed Rule Change was published for public comment in the Federal Register on March 28, 2024. 4 The Commission has received comments regarding the substance of the changes proposed … SR-FICC-2024-802). 5  Comments on the Proposed Rule Change are available at https://www.sec.gov/comments/sr-ficc-2024-007/srficc2024007.htm.

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extending the Specialist Option Transaction Charge Credit Pilot Program

Federal Register · Notice · Jul 25, 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; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Federal Register · Notice · Dec 5, 2023

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

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Inc., Relating to the Operation of the Retail Automatic Execution System

Federal Register · Notice · Feb 14, 2000

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.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Cancellation Fees

Federal Register · Notice · Jul 9, 2007

. 7 5  15 U.S.C. 78s(b)(3)(A). 6  17 CFR 19b-4(f)(2). 7  For purposes of calculating the 60-day abrogation period, the Commission considers the period to commence on June … 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; Order Granting Accelerated Approval of Proposed Rule Change by the American Stock Exchange LLC to Amend Commentary .02(c) of Amex Rule 901C to Include Volume Weighted Average Pricing as a Permissible Index Option Settlement Value Calculation Methodology

Federal Register · Notice · May 15, 2002

In the notice, 8 the Commission indicated that it would consider granting accelerated approval of the proposal after a 15-day comment period. … The Commission received no comments on the proposal during the 15-day comment period.

Self-Regulatory Organizations; MEMX LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity Fees

Federal Register · Notice · Mar 4, 2022

Periodic Reevaluation. … Do commenters believe competition acts as a constraint on application session fees? If so, how?

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Trading Halts Due to Extraordinary Market Volatility

Federal Register · Notice · Oct 4, 2011

regime are 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; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Execution of NDX and RUT Combination Orders

Federal Register · Notice · Sep 7, 2007

The Commission is considering granting accelerated approval of the proposed rule change at the end of a 15-day comment period. 6 6  Amex requested accelerated approval of this proposed rule … 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.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules Relating to Auditing Standard No. 18, Related Parties, Amendments to Certain PCAOB Auditing Standards Regarding Significant Unusual Transactions, and Other Amendments to PCAOB Auditing Standards

Federal Register · Notice · Jul 24, 2014

were modified during that period. … One commenter recommended that the amendments to AU sec. 722 become effective in the first interim period following the first annual period that the standard and amendments are effective.

Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to Establishment if the Stock Loan Income-Tracking System

Federal Register · Uncategorized Document · Jun 22, 1994

Written comments received on the 1991 Program Agenda included comments from thirteen participants and others on stock loan income- tracking system. … (No comments were received on either the 1992 or 1993 Program Agenda entry.)\3\ Two of those comments raised issues to which responses follow.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange, Inc., Relating to Near Neighbor Approach to Measuring Specialist Performance

Federal Register · Notice · May 8, 1995

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 February 28, 1995, the New York Stock Exchange, Inc. … 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 on the

Joint Industry Plan; Notice of Filing of Joint Amendment No. 12 to the Options Intermarket Linkage Plan Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day

Federal Register · Notice · May 19, 2004

the Act. … rule-comments@sec.gov.