Documents

Submission for OMB Review; Comment Request

Federal Register · Notice · Jan 12, 2007

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 (“Commission”) is soliciting comments on the collection … There is no specific retention period applied by Rule 15c2-12 for the recordkeeping requirement contained in Rule 15c2-12.

Amendments to Regulation SHO

Federal Register · Rule · Jul 31, 2009

In response to our requests for comment, a number of commenters expressed concerns regarding the time periods within which fails to deliver must be closed out under temporary Rule 204T. … Similar to commenters' discussions regarding extending the close-out period to the end of the day for fails to deliver subject to the requirements of temporary Rule 204T(a) and (a)(1), commenters requested

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors

Federal Register · Notice · Oct 28, 2015

any extensions to the pilot period for the Plan. … 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; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)

Federal Register · Notice · Nov 24, 2023

(“FINRA”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change SR-FINRA-2023-007 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Exchange Act” … in the Federal Register on May 4, 2023. 8 The Commission received thirteen comment letters in response to the Notice. 9 On June 7, 2023, FINRA consented to an extension of the time period

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Conform to Proposed Amendments to Securities Exchange Act Rule 15c6-1(a) To Shorten the Standard Settlement Cycle From Three Business Days After the Trade Date (“T+3”) to Two Business Days After the Trade Date (“T+2”)

Federal Register · Notice · Dec 29, 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

Securities Investor Protection Corporation; Notice of Inflation Adjustment Determination

Federal Register · Notice · Jan 21, 2026

ADDRESSES: Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/comments/sipc-2026-01/securities-investor-protection-corporation-notice-inflation-adjustment-determination … #no-back ); or • Send an email to rule-comments@sec.gov.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Trading of Bonds

Federal Register · Notice · Apr 28, 1998

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on April 15, 1998, the New York Stock 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; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of a Proposed Rule Change Concerning Equity TIMS

Federal Register · Notice · Jul 28, 1995

OCC will notify the Commission of any written comments received by OCC. III. … The Commission also notes that during the four previous temporary approval periods, OCC has not received any adverse comments regarding Equity TIMS from its clearing members. IV.

Self-Regulatory Organizations; NASDAQ OMX BX LLC; Notice of Filing of Proposed Rule Change Relating to Permanent Approval of the BX and NES Inbound Routing Relationship

Federal Register · Notice · Feb 14, 2011

During this pilot period, BX committed to the following conditions: 1. … 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; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Two Pilot Programs

Federal Register · Notice · Mar 25, 2008

in the Federal Register , and the comment period expires on March 21, 2008. 8 Because these pilot programs are scheduled to expire prior to when the comment period expires on SR-CBOE-2007-120 … rule-comments@sec.gov .

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., and Philadelphia Stock Exchange Inc., Relating to Amendments to Trading Halts Due to Extraordinary Market Volatility (``Certain Market-Wide Circuit Breaker Provisions'')

Federal Register · Notice · Jul 26, 1996

Self-Regulatory Organizations' Statements on Comments on the Proposed Rule Changes Received From Members, Participants or Others Comments were neither solicited nor received with respect to the proposed … The shorter time periods proposed by the Exchanges for halting all trades should be sufficient to allow market participants to evaluate and act on changing market conditions without unduly constraining

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing of Proposed Rule Change To Introduce the ATR Protection for Orders That Are Routed to Away Markets

Federal Register · Notice · Mar 14, 2018

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 February 26, 2018, Nasdaq GEMX, LLC (“GEMX” or “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.

Self-Regulatory Organization's; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Amend DTC's Charge Back and Return of Funds Procedures

Federal Register · Notice · Mar 5, 1997

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on December 4, 1996, The Depository Trust Company (``DTC'') filed with the Securities and Exchange … Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing.

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Margin Framework and Default Fund Methodology for Options on Index Credit Default Swaps

Federal Register · Notice · Aug 21, 2017

of 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 by the American Stock Exchange LLC Relating to Procedures for the Review of Initial Listing Decisions

Federal Register · Notice · Jul 13, 2000

In computing any period of time, the day of the act event or default from which the period of time begins is not included. … 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 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 Amend the Rules Governing the Listing and Trading of Shares of the Fidelity Ethereum Fund To Permit Staking Under Rule 14.11(e)(4) (Commodity-Based Trust Shares)

Federal Register · Notice · Sep 15, 2025

The Commission has received no comment letters on the proposed rule change. … On April 29, 2025, 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

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 To List and Trade Shares of the VanEck JitoSOL ETF Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)

Federal Register · Notice · Sep 14, 2026

The Commission has received no comment letters on the proposed rule change. … On May 1, 2026, 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

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE National Schedule of Fees and Rebates 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 · May 12, 2026

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 168 Following the comment period, the SEC approved the Plan in November 2016. 169 168 … 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 American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule 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 · May 12, 2026

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 168 Following the comment period, the SEC approved the Plan in November 2016. 169 168 … rule-comments@sec.gov.

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Texas, Inc. 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 · May 12, 2026

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 168 Following the comment period, the SEC approved the Plan in November 2016. 169 168 … rule-comments@sec.gov.