Documents

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the LHA Market State® Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, Under Rule 14.11(i), Managed Fund Shares

Federal Register · Notice · Feb 12, 2018

4 The Commission has received no 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. … 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 designate

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds

Federal Register · Notice · Oct 30, 2019

Section 19(b)(2) of the Act  6 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 designate … The Commission finds it appropriate to designate a longer period within which to take action on the proposed rule change so that it has sufficient time to consider the proposed rule change and the comments

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Section 802.01C of the NYSE Listed Company Manual

Federal Register · Notice · Feb 2, 2026

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

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Innovator-100 Buffer ETF Series, Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series, Innovator Russell 2000 Power Buffer ETF Series, Innovator-100 Ultra Buffer ETF Series, and Innovator Russell 2000 Ultra Buffer ETF Series

Federal Register · Notice · Sep 23, 2019

has received no 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. 86511 (July 30, 2019 … 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

Submission for OMB Review; Comment Request

Federal Register · Notice · Nov 2, 2018

The board periodically must review the composition of the fund's portfolio and change the liquidity procedures as necessary. … Comments must be submitted to OMB within 30 days of this notice. Dated: October 29, 2018. Eduardo A. Aleman, Assistant Secretary.

Security Holder Director Nominations

Federal Register · Proposed Rule · Oct 23, 2003

Should that holding period be shorter than one year? If so, what is the appropriate holding period? C.5. … Would such a “cure” period, similar to that currently provided under Exchange Act Rule 14a-8, be appropriate?

Securities Offering Reform

Federal Register · Proposed Rule · Nov 17, 2004

Request for Comment • Should we require as a condition to incorporation by reference that all Exchange Act reports within a 12-month period (or such shorter period that the issuer was required to file … Unresolved Staff Comments If the registrant is an accelerated filer and has received written comments from the Commission staff regarding its periodic filings under the Exchange Act not less than 180

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Specialist Clerks

Federal Register · Notice · Jan 23, 2006

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the “Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on October 31, 2005, the American Stock Exchange LLC … 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; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Transmission of Proxy and Other Shareholder Communication Material.

Federal Register · Notice · Dec 26, 1996

To the extent that these commentators had reservations regarding the proposal, they noted that any difficulties could be addressed following the end of the three-year pilot period. … In view of the extensive comments requested, the Commission is providing a 45-day comment period.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish the Market Quality Program

Federal Register · Notice · May 24, 2012

Section 19(b)(2) of the Act  6 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 … comments received, and any response to the comments submitted by NASDAQ.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products

Federal Register · Notice · Nov 14, 2019

The proposed rule change was published for comment in the Federal Register on August 23, 2019. 3 On October 4, 2019, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a … the Act.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Chicago Stock Exchange, Inc., Relating to the Execution of Stopped Orders Under the Enhanced SuperMAX Program

Federal Register · Notice · Oct 7, 1997

at the stopped price at the end of such period. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No comments were solicited or received. III.

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Entitled “Consolidated Audit Trail Funding Fees”

Federal Register · Notice · May 14, 2026

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 170 Following the comment period, the SEC approved the Plan in November 2016. 171 170 … 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 EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Entitled “Consolidated Audit Trail Funding Fees”

Federal Register · Notice · May 14, 2026

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 172 Following the comment period, the SEC approved the Plan in November 2016. 173 172 … 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 Its Fee Schedule Entitled “Consolidated Audit Trail Funding Fees”

Federal Register · Notice · May 14, 2026

With these additional changes, the SEC published the CAT NMS Plan for notice and comment in May 2016. 172 Following the comment period, the SEC approved the Plan in November 2016. 173 172 … 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

Joint Industry Plan; Notice of Filing of the Third Amendment to the Limited Liability Company Agreement of CT Plan LLC To Adopt Revenue Allocation Formula Revisions

Federal Register · Notice · Jun 17, 2026

of 1934 (the “Act”). … Solicitation of Comments The Commission seeks comment on the Proposed Amendment.

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products Listed on the Exchange

Federal Register · Notice · Jun 12, 2013

Act of 1940. … Summary of Comment Letters The Commission received two comment letters in support of the proposed rule change. 63 One commenter states that it supports regulatory changes that result in more efficient

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

(“Investment Company Act”), and Form N-1A 5 under the Investment Company Act and the Securities Act of 1933 (“Securities Act”). 6 1 17 CFR 232.401. 2 17 CFR 232.402. 3 17 CFR 232.10 et seq. 4 … through the use of a broad working group that was given the opportunity to review and comment on the taxonomy as it was developed and that the taxonomy was subjected to a public review and comment period

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Additional Listing Requirements for Reverse Mergers

Federal Register · Notice · Jun 14, 2011

more recent six-month period. … the Act.

Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment Nos. 1 Through 4 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 5 Thereto by the National Association of Securities Dealers, Inc. Relating to Restrictions on the Purchases and Sales of Initial Public Offerings of Equity Securities

Federal Register · Notice · Oct 31, 2003

While an issuer may decide to impose a lock-up period, the NASD does not believe that such a period should be mandated by the proposed rule. … Transition Period Three commenters urged the NASD to allow entities that would be subject to the proposed rule a transition period before coming into full compliance with it. 173 The NASD believes