Documents

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto To Adjust the Close of Normal Trading Hours in Equity Options and Narrow-Based Index Options

Federal Register · Notice · Feb 15, 2006

The rationale to continue trading options for a period of time after the close of trading on the primary markets for the underlying securities was that the extended time period allowed options traders … the Act.

Self-Regulatory Organizations; Notice of a Proposed Rule Change by the Fixed Income Clearing Corporation Relating to Changes to Membership Requirements

Federal Register · Notice · Nov 30, 2004

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 notice is hereby given that on April 14, 2004, the Fixed Income Clearing Corporation (“FICC”) filed with the Securities … 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; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130

Federal Register · Notice · Nov 8, 2022

At the end of the three-month period, users would no longer be eligible for the waiver. … At the end of the three-month period, users would no longer be eligible for the waiver.

References to Ratings of Nationally Recognized Statistical Rating Organizations

Federal Register · Proposed Rule · Jul 11, 2008

Request for Comment V. Paperwork Reduction Act VI. Cost-Benefit Analysis VII. Consideration of Promotion of Efficiency, Competition and Capital Formation VIII. … for more than seven days except for certain periods specified in the provision.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.53, Certain Types of Orders Defined and Rule 6.53C, Complex Orders on the Hybrid System

Federal Register · Notice · Aug 24, 2018

The Exchange filed the proposal pursuant to Section 19(b)(3)(A)(iii) of the Act  3 and Rule 19b-4(f)(6) thereunder. 4 The Commission is publishing this notice to solicit comments on the proposed … 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; NYSE American LLC; Notice of Filing of Proposed Rule Change To Allow Certain Flexible Exchange Equity Options To Be Cash Settled

Federal Register · Notice · Nov 7, 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

Securities Uniformity; Annual Conference on Uniformity of Securities Laws

Federal Register · Notice · Apr 7, 1999

Rule 504 Rule 504 of Regulation D provides an exemption from the Securities Act registration requirements for offerings up to $1 million in any 12- month period, if certain conditions are met. … \24\ Exchange Act Rel. No. 37850 (October 22, 1996) [61 FR 55593]. --------------------------------------------------------------------------- The comment period closed December 9, 1998.

Conditions for Use of Non-GAAP Financial Measures

Federal Register · Rule · Jan 30, 2003

Background On July 30, 2002, President Bush signed into law the Sarbanes-Oxley Act of 2002 (Sarbanes-Oxley Act). 7 As directed by Section 401(b) of the Sarbanes-Oxley Act, we published for comment … Some commenters suggested that we define “public” disclosure and persons acting “on behalf of” a registrant. 29 In both cases, the commenters made reference to Regulation FD  30 as a precedent

Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; International Securities Exchange, LLC; Investors Exchange LLC; Miami International Securities Exchange LLC; MIAX PEARL, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; NASDAQ PHLX, Inc.; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Eliminate Requirements That Will Be Duplicative of CAT

Federal Register · Notice · Jul 20, 2017

Section 19(b)(2) of the Act  11 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 finds that it is appropriate to designate a longer period within which to take action on the proposed rule changes so that it has sufficient time to consider the comments received and any

UNITED STATES OF AMERICA

Agency decision · Agency decision

NOTICE OF PROPOSED PLAN AND OPPORTUNITY FOR COMMENT 66. … Claimant during the Relevant Period.

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 928NY To Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism

Federal Register · Notice · Apr 9, 2019

the Exchange will not specify a time period of less than 100 milliseconds”). … 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; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rules Regarding Requests for Data Related to Exchange Reviews

Federal Register · Notice · Sep 24, 2012

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; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Day and Good-Till-Cancelled Order Designations for Non-Directed Orders and Establishing Time Priority in Nasdaq's Future Order Display and Collector Facility (“NNMS” or “SuperMontage”)

Federal Register · Notice · Jul 5, 2002

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others Nasdaq neither solicited nor received written comments with respect to the … 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities

Federal Register · Notice · May 3, 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 e-mail to rule-comments

Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria

Federal Register · Rule · Oct 2, 2017

comment. … PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 3.

Investment Company Names Form N-PORT Reporting; Extension of Compliance Date

Federal Register · Rule · Feb 23, 2026

comment. … Given the implementation activities associated with the upcoming compliance dates, a notice and comment period could not reasonably be completed prior to registered funds incurring burdens associated with

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc., Relating to a DPM and Market Maker Transaction Fee

Federal Register · Notice · Apr 30, 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. … rule-comments@sec.gov .

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to the Composition of Its Audit Committee

Federal Register · Notice · Sep 29, 2003

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 July 14, 2003, the Pacific Exchange, Inc. … Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposal, as amended, is consistent with the Act.

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-3 To Create an Exemption for Municipal Advisor Representatives From Requalification by Examination and Remove Waiver Provisions and To Amend MSRB Rule G-8 To Establish Related Books and Records Requirements

Federal Register · Notice · Jul 31, 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. … rule-comments@sec.gov.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt a New Policy Relating To Trade Reports for Exchange Traded Products

Federal Register · Notice · Feb 23, 2016

, pursuant to section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings … and the comments received.