Documents

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to LCH SA's Liquidity Risk Modelling Framework

Federal Register · Notice · Dec 10, 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. … 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.

Joint Industry Plan; Solicitation of Comments and Orders Approving Amendment No. 5 to Reporting Plan for Nasdaq/National Market Securities Traded on an Exchange on an Unlisted or Listed Basis, Submitted by the National Association of Securities Dealers, Inc., and the Boston, Chicago and Philadelphia Stock Exchanges

Federal Register · Notice · Oct 19, 1995

Consequently, the pilot period commenced on July 12, 1993. … of Section 11A of the Act.

Submission for OMB Review; Comment Request

Federal Register · Notice · May 12, 1998

Rule 23c-3 under the Investment Company Act of 1940 [17 CFR 270.23c-3] permits certain closed-end investment companies (``Closed- end funds'' or ``funds'') periodically to offer to repurchase from shareholders … The board periodically must review the composition of the fund's portfolio and change the liquidity procedures as necessary.

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Linkage Fee Pilot Program

Federal Register · Notice · Aug 3, 2006

The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons and is approving the proposal on an accelerated basis for a pilot period through July 31 … Conclusion It is therefore ordered, pursuant to Section 19(b)(2) of the Act, 13 that the proposed rule change (SR-Phlx-2006-44) is hereby approved on an accelerated basis for a pilot period to

Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers

Federal Register · Proposed Rule · Nov 21, 2008

General Request for Comments VII. Paperwork Reduction Act A. Background B. Burden and Cost Estimates Related to the Proposed Amendments C. Request for Comment VIII. Cost-Benefit Analysis A. … or the Exchange Act, periodic or other report filed under Section 13(a) or 15(d) of the Exchange Act and any proxy or information statement pursuant to Section 14 of the Exchange Act.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E

Federal Register · Notice · Jan 24, 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; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change in Connection With the Implementation of the Foreign Account Tax Compliance Act (FATCA)

Federal Register · Notice · May 8, 2013

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

UNITED STATES OF AMERICA

Agency decision · Agency decision

allowed for comments on the proposed plan unless the Commission or the hearing officer, by written order, allows a longer period for good cause shown.” 1 Exchange Act Rel. … Thirty days from the end of the final period for comments on the Plan will lapse on March 24, 2025.

UNITED STATES OF AMERICA

Agency decision · Agency decision

allowed for comments on the proposed plan unless the Commission or the hearing officer, by written order, allows a longer period for good cause shown.” … Thirty days from the end of the final period for comments on the Plan will lapse on January 21, 2025.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.3-O (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; Cboe BZX 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; Cboe EDGX 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, To Amend Rule 11.21 To Allow a Retail Member Organization To Enter a Retail Order Onto the Exchange in a Principal Capacity

Federal Register · Notice · Dec 8, 2025

On July 25, 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 … 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; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Rule 104

Federal Register · Notice · Apr 17, 2019

On September 24, 2018, pursuant to Section 19(b)(2) of the Act, 4 the Commission extended to November 14, 2018, the time period in which to approve, disapprove, or institute proceedings to determine … 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

Rules Implementing Amendments to the Investment Advisers Act of 1940

Federal Register · Proposed Rule · Dec 27, 1996

Comment is also requested whether the 90-day period is adequate or whether it should be longer. E. … (c) Grace Period.

UNITED STATES OF AMERICA

Agency decision · Agency decision

No. 105804 (June 29, 2026). 1 period allowed for comments on the proposed plan unless the Commission or the hearing officer, by written order, allows a longer period for good cause shown.” … Thirty days from the end of the final period for comments on the Proposed Plan will lapse on August 28, 2026.

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 2022

Federal Register · Notice · Oct 18, 2021

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; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 2022

Federal Register · Notice · Oct 19, 2021

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; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16

Federal Register · Notice · Oct 21, 2021

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; C2 Options Exchange, Incorporated; Notice of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Concerning Industry Directors and the Nomination of Representative Directors

Federal Register · Notice · Nov 9, 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 email to rule-comments

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions

Federal Register · Notice · Feb 19, 2014

and retail order periods. … 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.