Documents

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Establishing Obligations of AUTOM Order Entry Firms and Users and Prohibiting Entry of Multiple Orders Via AUTOM for the Account(s) of the Same Owner of Beneficial Interest for the Same Option Within 15 Seconds

Federal Register · Notice · Aug 17, 2001

For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change under Section 19(b)(3)(C) of the Act, the Commission considers that period to commence … 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 BYX 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 Introduce the Small Retail Broker Distribution Program

Federal Register · Notice · Feb 19, 2020

The proposed rule change was immediately effective upon filing with the Commission pursuant to Section 19(b)(3)(A) of the Act. 3 The proposed rule change was published for comment in the Federal … 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; NYSE National, 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 Establish Fees for the NYSE National Integrated Feed

Federal Register · Notice · Aug 24, 2020

The proposed rule change was immediately effective upon filing with the Commission pursuant to Section 19(b)(3)(A) of the Act. 3 The proposed rule change was published for comment in the Federal … Comments received on the proposed rule change are available on the Commission's website at: https://www.sec.gov/comments/sr-nysenat-2020-05/srnysenat202005.htm.

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule

Federal Register · Notice · Mar 28, 2014

for the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act (the “Limit Up-Limit Down Plan” or the “Plan”), including any extensions to the pilot period … 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.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)

Federal Register · Notice · Feb 5, 2019

The proposed rule change was published for comment in the Federal Register on December 17, 2018. 3 The Commission has received two comment letters regarding the proposed rule change. 4 … Section 19(b)(2) of the Act  5 provides that, within 45 days of 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; Miami International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls

Federal Register · Notice · Jan 20, 2022

The proposed rule change was published for comment in the Federal Register on December 3, 2021. 3 The Commission has received no comment letters regarding the proposed rule change. 1   … Section 19(b)(2) of the Act  4 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

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Generic Listing Criteria Applicable to Index-Linked Securities

Federal Register · Notice · Jul 12, 2017

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 … The Commission is extending this 45-day time period. 5  15 U.S.C. 78s(b)(2).

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Boston Stock Exchange, Inc. Relating to the Extension of Certain Listed Trading Rules to the Trading of Nasdaq Securities

Federal Register · Notice · Jun 7, 2004

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Period for SR-FINRA-2009-065

Federal Register · Notice · Apr 29, 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. … 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

Order Granting Temporary Conditional Exemptive Relief to 24X National Exchange LLC From Certain Requirements of Rule 602 of Regulation NMS, Certain Requirements of Certain Equity Data Plans, and Section 19(g)(1) of the Securities Exchange Act of 1934, Pursuant to Section 36 of the Securities Exchange Act of 1934 and Rules 602 and 608 of Regulation NMS, To Permit Certain Overnight Trading, Subject to Certain Conditions, and Effective As of January 24, 2027 and Until the Earlier of (1) the date the Extended Hours Amendments Are Implemented or (2) July 2, 2027

Federal Register · Notice · Aug 14, 2026

of 1934 (“Exchange Act” or “Act”)  2 and pursuant to Rules 602(d)  3 and 608(e)  4 of Regulation NMS under the Act, in accordance with relevant procedures set forth in Exchange Act Rule … Other Exchange Act Provisions One commenter stated that the Commission should consider other Exchange Act provisions. 106 Specifically, the commenter stated that the Commission should consider

Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations

Federal Register · Rule · Jun 18, 2007

The Commission received three comments on the five business day time period. … Therefore, the Commission is lengthening the time period to ten business days. This is shorter than the 15 and 20 day periods advocated by the two commenters.

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Quarterly Options Series Pilot Program

Federal Register · Notice · Jul 3, 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; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 9/10 Examination Program

Federal Register · Notice · Dec 14, 2005

For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change under Section 19(b)(3)(C) of the Act, the Commission considers the period to commence … the Act.

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Calculation and Dissemination of PHLX/KBW Bank Index Values

Federal Register · Notice · Feb 16, 2007

. 18 18  For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change under Section 19(b)(3)(C) of the Act, the Commission considers … rule-comments@sec.gov.

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 Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms

Federal Register · Notice · Aug 17, 2021

The proposed rule change was published for comment in the Federal Register on February 16, 2021. 3 On March 26, 2021, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … Comments on the proposed rule change can be found at: https://www.sec.gov/comments/sr-nasdaq-2021-007/srnasdaq2021007.htm. 4  15 U.S.C. 78s(b)(2). 5   See Securities Exchange

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Options 4, Section 3, Criteria for Underlying Securities

Federal Register · Notice · Aug 20, 2025

The proposed rule change was published for comment in the Federal Register on February 26, 2025. 3 On March 12, 2025, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … The Commission has received no comment letters on the proposed rule change.

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 American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k)

Federal Register · Notice · Dec 23, 2019

The proposed rule change was published for comment in the Federal Register on June 25, 2019. 3 On August 2, 2019, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … comment letters on the proposed rule change. 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 86155 (June 19, 2019), 84 FR 29912.

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 Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets

Federal Register · Notice · Dec 9, 2020

The proposed rule change was published for comment in the Federal Register on June 12, 2020. 3 On July 21, 2020, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … Comments on the proposed rule change can be found at: https://www.sec.gov/comments/sr-nasdaq-2020-027/srnasdaq2020027.htm. 4  15 U.S.C. 78s(b)(2). 5   See Securities Exchange

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Supplementary Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)

Federal Register · Notice · Sep 29, 2014

filed pursuant to Exchange Act Rule 17a-5 and FINRA Rule 2010. 26 In response to this commenter, FINRA further notes that Form X-17A-5 is an SEC form, and any changes to it must be proposed and adopted … with the Exchange Act.

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Program

Federal Register · Notice · Mar 28, 2019

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