Documents

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 as Set Forth in SR-NYSENAT-2020-31 From December 31, 2020, to April 30, 2021

Federal Register · Notice · Jan 6, 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. … rule-comments@sec.gov.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Amending the Exchange's Automatic Execution Facility (NYSE Direct+)

Federal Register · Notice · Dec 10, 2002

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The Exchange has neither solicited nor received written comments on the proposed … Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposal is consistent with the Act.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protection Processes for Simple Orders and Make Other Clarifying Changes

Federal Register · Notice · Jun 15, 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; Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to Tier 1 Listing Standards

Federal Register · Notice · Jul 8, 1997

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 June 25, 1997, the Chicago Stock Exchange, Inc. … Purpose The National Securities Markets Improvement Act of 1996 \3\ amended Section 18 of the Securities Act of 1933 \4\ to provide for exclusive federal registration of securities listed, or authorized

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval to Proposed Rule Change Relating to an Amendment to Rule G-16 on Periodic Compliance Examinations

Federal Register · Notice · Oct 25, 1999

of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ a proposed rule change relating to Rule G-16 on periodic compliance examinations. … The proposed rule change was published for comment in the Federal Register on August 20, 1999.\3\ No comments were received on the proposed rule change.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend Various Rules in Connection With a System Migration to Nasdaq INET Technology

Federal Register · Notice · Feb 27, 2017

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

Customer Identification Programs for Mutual Funds

Federal Register · Proposed Rule · Jul 23, 2002

Treasury: Comments may be mailed to FinCEN, Section 326 Mutual Fund Rule Comments, P.O. … Comments also may be submitted electronically at the following E-mail address: rule-comments@sec.gov. Comment letters should refer to File No.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Member Organizations' Compliance With Phlx Rule 972

Federal Register · Notice · Feb 11, 2004

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 also be submitted electronically at the following e-mail address: rule comments@sec.gov . All comment letters should refer to File No. SR-Phlx-2004-12.

Form 8-K Disclosure of Certain Management Transactions

Federal Register · Proposed Rule · Apr 23, 2002

—Should there be a longer (or shorter) aggregation period? … General Request for Comment We invite any interested person wishing to submit written comments on this proposed amendment to Form 8-K, the related amendments to Securities Act Rule 144 and Securities

Self-Regulatory Organizations; Bats EDGA Exchange, Inc. f/k/a EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 11.21(a) To Implement the Quoting and Trading Provisions of the Regulation NMS Plan To Implement a Tick Size Pilot Program

Federal Register · Notice · May 16, 2016

to coincide with the pilot period for the Plan (including any extensions to the pilot period for the Plan). … The Exchange also believes that this provision is appropriate because it responds to comments that the Plan address the treatment of securities that trade below $1.00 during the Pilot Period. 22

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

The proposed rule change was published for comment in the Federal Register on August 13, 2026.3 The Commission received no comments regarding the proposed rule change. … The Commission is extending this 45-day time period. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 See Securities Exchange Act Release No. 106067 (Aug. 10, 2026), 91 FR 52387. 4 15 U.S.C. 78s(b)

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing of the One Fund Under NYSE Arca Equities Rule 8.600

Federal Register · Notice · Mar 18, 2010

The Commission is considering granting accelerated approval of the proposed rule change at the end of a 15-day comment period. IV. … 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

Conformed to Federal Register version

Agency decision · Agency decision

Company Act for the purposes of Section 5(b)(1) of the Securities Act. 334 See rule 498A(c). 335 See, e.g., CAI Comment Letter; Lincoln Comment Letter; ACLI Comment Letter. … One commenter supported this compliance period. See CAI Comment Letter (“the 18-month compliance period for updating variable product registration statements is necessary and appropriate”).

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Opening Process for Simple Orders

Federal Register · Notice · Jan 28, 2021

This proposed change merely adds detail to the Rules for additional transparency. 8  The term “Queuing Period” means the time period prior to the initiation of an opening rotation during which … 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 of Proposed Rule Change To Assess Previously-Approved Fees to Former INET Data Recipients

Federal Register · Notice · Jan 5, 2007

The Elimination of INET and Brut On July 14, 2006, following a lengthy and contentious comment period, the Commission approved Nasdaq's Single Book Proposal. 13 As a result of that approval order … rule-comments@sec.gov .

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Opening Process

Federal Register · Notice · Jun 10, 2015

The proposed rule change was published for comment in the Federal Register on December 10, 2014. 3 On January 23, 2015, the Commission extended the time period within which to approve the proposed … The Commission finds that it is 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 comment letters and take

Plain English Disclosure

Federal Register · Rule · Feb 6, 1998

Staff Plain English Review and Comment Process Several comment letters questioned whether the staff's time would be well spent giving comments on grammar. … \59\ Securities Act Release No. 33-7380. --------------------------------------------------------------------------- The Commission received 45 comment letters from 43 entities in response to

Temporary Amendments to Regulation Crowdfunding; Extension

Federal Register · Rule · Sep 2, 2020

comment. … PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 7.

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Federal Register · Rule · Nov 14, 2019

One commenter also expressed support for a narrower exclusion for RICs and FPFs that would apply only during a non-time-limited seeding period. … of time. 122 The final rule does not adopt transition periods or cure periods as recommended by commenters.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Customer-to-Customer Immediate Crosses

Federal Register · Notice · Mar 24, 2008

the Act. … rule-comments@sec.gov.