Documents

Solicitations of Interest Prior to an Initial Public Offering

Federal Register · Proposed Rule · Jul 10, 1995

Due diligence and preparation of documents typically takes 60 to 90 days.52 Comment is requested as to the need for a cooling-off period prior to the commencement of a registered offering, and the period … [[Page 35653]] Comments will be considered by the Commission in complying with its responsibilities under Section 23(a) of the Exchange Act.70 Comment letters should refer to File No. S7-18-95.

Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Amendments Relating to Assessment of SIPC Members

Federal Register · Notice · Jun 20, 2016

for such period … Internet comment form ( http://www.sec.gov/rules/other.shtml ); or • Send an email to rule-comments@sec.gov.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Incorporated to Amend Article XX, Rule 37(a)(4) Relating to the Definition of Preopening Order

Federal Register · Notice · Dec 8, 2003

While the Commission will not grant accelerated approval at this time, the Commission will consider granting accelerated approval of the proposal, as amended, at the close of an abbreviated comment period … the Act.

Joint Industry Plan; Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data.

Federal Register · Notice · Oct 13, 2020

Would 10 days be an appropriate period of time for filing the Certificate? If not, what time period do commenters believe would be appropriate? 2. … Do commenters believe that the CT Plan should specify a maximum cure period for material defaults by Processors under the Processor Services Agreements? If so, what period would be 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, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of Each Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares

Federal Register · Notice · Jun 12, 2018

The proposed rule change was published for comment in the Federal Register on December 11, 2017. 3 On January 22, 2018, the Commission extended the time period within which to approve the proposed … 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

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers)

Federal Register · Notice · Mar 29, 2016

(“FINRA”) filed with the Securities and Exchange Commission (“SEC” or “Commission”), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Exchange Act”)  1 and Rule 19b-4 thereunder … One commenter supported shortening the applicable time period from six months as proposed in Notice 15-19  52 to three months as proposed in the Notice. 53 On the other hand, two commenters

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Inc., Relating to Equity and SPX RAES Participation Requirements

Federal Register · Uncategorized Document · Jul 14, 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 January 22, 1994, the Chicago Board Options 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 solicited or received with respect to the

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to an Interpretation with Respect to Rule 342 (“Offices-Approval, Supervision, and Control”)

Federal Register · Notice · Jan 22, 2001

Pursuant to Section 19(b)(1) of the Securities and Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on December 15, 2000, the New York Stock Exchange, … 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.

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Agency decision · Agency decision

Air Regulatory Grp. v. EPA, 134 S. … Request for Comment on NASDAQ Petition, 68 Fed. Reg. 27,722, 27,722 (May 20, 2003).

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 VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Federal Register · Notice · Dec 22, 2022

On August 24, 2022, 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 … 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

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Requesting Permanent Approval of Pilot Program to Permit NASDAQ OMX PHLX to Receive Inbound Routes by Nasdaq Options Services

Federal Register · Notice · Aug 19, 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

Money Market Fund Reform

Federal Register · Proposed Rule · Jul 8, 2009

Request for Comment on Other Regulatory Changes III. Request for Comment A. Floating Net Asset Value B. In-Kind Redemptions IV. Paperwork Reduction Act Analysis V. Cost Benefit Analysis VI. … pursuant to rule 22c-2 under the Investment Company Act); Comment Letter of Michael F.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)

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; The Options Clearing Corporation; Notice of Withdrawal of a Proposed Rule Change by The Options Clearing Corporation Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility

Federal Register · Notice · Sep 24, 2024

periods when the products OCC clears and the markets it serves experience high volatility (“Proposal”). 3 The Proposal was published for comment in the Federal Register on January 25, 2024. … On February 23, 2024, pursuant to the Section 19(b)(2) of the Exchange Act, 6 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether

Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Chicago Stock Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Investors Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules

Federal Register · Notice · Oct 16, 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; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs

Federal Register · Notice · Sep 18, 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; NYSE Arca, 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. 3, To List and Trade Shares of the iShares Commodity Multi-Strategy ETF Under NYSE Arca Rule 8.600-E

Federal Register · Notice · Jun 19, 2019

On February 1, 2019, pursuant to Section 19(b)(1) of the Act, 3 the Commission noticed the proposed rule change and, pursuant to Section 19(b)(2) of the Act, 4 designated a longer period within … No. 2 is available at: https://www.sec.gov/comments/sr-nysearca-2018-98/srnysearca201898-5123714-183326.pdf. 8  15 U.S.C. 78s(b)(2)(B). 9   See Securities Exchange Act Release

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund

Federal Register · Notice · May 28, 2014

The proposed rule change was published for comment in the Federal Register on November 26, 2013. 3 On January 9, 2014, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … The proposed rule change was published for notice and comment in the Federal Register on November 26, 2013.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., To Implement Proxy Access

Federal Register · Notice · Mar 22, 2016

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; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities

Federal Register · Notice · Oct 4, 2023

information from comment submissions. … 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