Documents

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to July 16, 2011, the Pilot Period for FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)

Federal Register · Notice · Dec 6, 2010

Margin Requirements for Credit Default Swaps (a) Effective Period of Interim Pilot Program. … The Commission has waived the five-day pre-filing period in this case.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-Location Services

Federal Register · Notice · Dec 13, 2019

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; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify a Pricing Incentive Program for Market Makers in Exchange-Traded Funds and Index-Linked Securities Listed on NASDAQ

Federal Register · Notice · Apr 10, 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. … 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; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the GSD Rules Relating to the Adoption of a Trade Submission Requirement

Federal Register · Notice · Jul 1, 2024

All prospective commenters should follow the Commission's instructions on how to submit comments, available at www.sec.gov/regulatory-actions/how-to-submit-comments. … 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

Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities

Federal Register · Rule · Jun 21, 2004

One commenter observed that a one-year period might not contain periods of market stress. … One commenter stated that one year might not contain periods of market stress.

Prospectus Delivery; Securities Transactions Settlement

Federal Register · Rule · May 17, 1995

Several commenters asserted that the T+5 maximum settlement period did not provide adequate flexibility for settlement of certain firm commitment offerings. … \88\Specifically, several commenters asserted that the settlement period may not be known sufficiently in advance of pricing to provide written notice and that such notice is duplicative of the information

Supervised Investment Bank Holding Companies

Federal Register · Rule · Jun 21, 2004

, not an absolute period. … The Commission received no comments that specifically addressed the Paperwork Reduction Act portion of the Proposing Release.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers)

Federal Register · Notice · Jul 21, 2026

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; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to CDSClear Reference Guide To Allow Index Basis Packages Margining

Federal Register · Notice · Nov 19, 2019

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; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to Replace the Government Securities Division Clearing Fund Calculation Methodology With a Yield-Driven Value-at-Risk Methodology

Federal Register · Notice · Dec 27, 2006

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 notice is hereby given that on October 4, 2006, the Fixed Income Clearing Corporation (“FICC”) filed with the Securities … the Act.

Use of Derivatives by Registered Investment Companies and Business Development Companies

Federal Register · Proposed Rule · Dec 28, 2015

recordkeeping retention period under rule 31a-2 under the Act. … We request comment on any transition period: • Do commenters agree that a transition period would be appropriate?

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the Pacific Exchange, Inc. Relating to a Rebate of Marketing Charges to Market Makers

Federal Register · Notice · Mar 21, 2001

amount for the rebate time period. … 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; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Add the Sponsored GC Service and Make Other Changes

Federal Register · Notice · Jun 24, 2021

of 1934 (“Act”)  1 and Rule 19b-4 thereunder. 2 The Proposed Rule Change was published for comment in the Federal Register on June 1, 2021. 3 The Commission has received no comment … 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; 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 BondBloxx Private Credit Trust

Federal Register · Notice · Feb 2, 2026

The proposed rule change was published for comment in the Federal Register on August 12, 2025. 3 On September 22, 2025, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … The Commission has not received any comments regarding this proposed rule change. 4  15 U.S.C. 78s(b)(2). 5   See Securities Exchange Act Release No. 104017, 90 FR 46276 (Sept. 25

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Regarding Fees for the Reporting of SuperMontage Transactions Through the Automated Confirmation Transaction Service (“ACT”)

Federal Register · Notice · Apr 9, 2003

risk management through one or more NWII terminals when the ACT Workstation is introduced will be eligible to evaluate the ACT Workstation for a free, three-month trial period, provided that the firm … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received. III.

Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings

Federal Register · Rule · Apr 23, 2004

of 1940 (“Investment Company Act”) and to offer their securities under the Securities Act of 1933 (“Securities Act”). 5 1  17 CFR 239.15A; 17 CFR 274.11A. 2  17 CFR 239.17a; 17 CFR … directors); Investment Company Act Release No. 26313 (Dec. 18, 2003) [68 FR 74820 (Dec. 24, 2003)] (requesting comment on measures to improve disclosure of mutual fund transaction costs); Investment Company

Conformed to Federal Register version

Agency decision · Agency decision

Procedural and Other Matters The Administrative Procedure Act (“APA”) generally requires an agency to publish notice of a rulemaking in the Federal Register and provide an opportunity for public comment … Given the time constraints, a notice and comment period could not reasonably be completed before the December 14, 2025, compliance date.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC Adopting a Peer Review Requirement for Auditors of Listed Companies

Federal Register · Notice · May 26, 2000

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange did not solicit or receive 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 proposed rule change is consistent with the Act.

Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the NYSE Arca, Inc.'s Crowd Participant Program Pilot

Federal Register · Notice · Apr 1, 2014

The proposed rule change was published for comment in the Federal Register on December 26, 2013. Securities Exchange Act Release No. 71146 (Dec. 19, 2013), 78 FR 78426 (Dec. 26, 2013). … rules precluding market makers from directly or indirectly accepting payment from an issuer of a security for acting as a market maker. 22 In particular, commenters to those similar proposals discussed

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC To Amend Article II, Section 3 of the Exchange Constitution

Federal Register · Notice · Jun 3, 2004

Amex hereby consents to extension of the period of time specified in section 19(b)(2) of the Act  10 until at least thirty-five days after the Exchange files an appropriate amendment to this filing … rule-comments@sec.gov.