Documents

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Section 703.16 of the NYSE Listed Company Manual To Eliminate Requirement Regarding Index Calculation Methodology

Federal Register · Notice · Mar 5, 2007

The Commission has determined that a 15-day comment period is appropriate in this case. IV. … the Act.

Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Apply Non-BeX Executed Trade Fee Retroactively

Federal Register · Notice · Mar 23, 2007

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; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material

Federal Register · Notice · May 20, 2013

The Proposals were published for comment in the Federal Register on November 15, 2012. 3 The Commission received no comment letters on the Proposals. 1  15 U.S.C. 78s(b)(1). 2 … The Proposals were published for notice and comment in the Federal Register on November 15, 2012.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Registration of Trading Floor Personnel

Federal Register · Notice · Feb 7, 2000

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 November 19, 1999, the Philadelphia Stock Exchange, … 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; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility

Federal Register · Notice · Oct 25, 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. … rule-comments@sec.gov.

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility

Federal Register · Notice · Oct 25, 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

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. (``NASD'' or ``Association'') Relating to the Application of the Primary Nasdaq Market Maker Rule to Initial Public Offerings

Federal Register · Notice · Jul 18, 1996

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on June 21, 1996, the National Association of Securities Dealers (``NASD'' or ``Association … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Association has neither solicited nor received written comments

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

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; Chicago Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Article 23, Rule 13, Consolidated Audit Trail-Fee Dispute Resolution

Federal Register · Notice · Jul 24, 2017

The proposed rule change was published for comment in the Federal Register on June 19, 2017. 3 The Commission received no comment letters on the proposed rule change. 1  15 U.S.C. 78s( … 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; Bats BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution

Federal Register · Notice · Jul 24, 2017

The proposed rule change was published for comment in the Federal Register on June 7, 2017. 3 The Commission received no comment letters on the proposed rule change. 1  15 U.S.C. 78s(b … 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; Miami International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Exchange Rule 1713 Consolidated Audit Trail-Fee Dispute Resolution

Federal Register · Notice · Jul 24, 2017

The proposed rule change was published for comment in the Federal Register on June 7, 2017. 3 The Commission received no comment letters on the proposed rule change. 1  15 U.S.C. 78s(b … 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; Notice of Filing and Order Granting Temporary Accelerated Approval of a Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Trading Differentials for Equity Securities

Federal Register · Notice · Jun 25, 1997

This will provide the Commission with a sufficient period to receive and assess comments on the NYSE's proposal before it is adopted on a permanent basis.\11\ Therefore, the Commission believes it is consistent … ------------ \10\ A prior proposal by another exchange to reduce its minimum fractional change was published for the full statutory comment period without any comments being received by the Commission

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

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; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and Make Related Changes to Rules 7.32, 7.35C, 46B, and 47

Federal Register · Notice · Mar 5, 2021

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 Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Establish Rules Governing the Operation of Nasdaq's Brut Facility

Federal Register · Notice · Mar 14, 2005

Nasdaq currently operates Brut pursuant to a Temporary Conditional Exemption under Section 36 of the Act (“Exemption”), which the Commission granted for a period of six months following Nasdaq's acquisition … rule-comments@sec.gov .

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Opening of Day-Trading Accounts

Federal Register · Notice · Sep 21, 1999

A second commenter believed that the term should include short-term trading strategies that could occur over, for example, a two-day period. … The comment period expired on May 31, 1999. Thirty-nine comment letters were received in response to the Notice.

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

Federal Register · Notice · Jan 18, 2005

in business or has been registered or licensed for a lesser 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; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Add Rules Related to the Clearing of Standard Western European Sovereign CDS Contracts

Federal Register · Notice · Oct 23, 2014

of 1934 (“Act”)  1 and Rule 19b-4 thereunder. 2 The proposed rule change was published for comment in the Federal Register on September 4, 2014. 3 The Commission has not received comments … 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 designate

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BZX Equities Fee Schedule

Federal Register · Notice · Jan 31, 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

Proposed Collection; Comment Request

Federal Register · Notice · Jul 2, 2008

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq. ) (“PRA”), the Securities and Exchange Commission (“Commission”) is soliciting comments on the collection … is the same recordkeeping retention period for all advisers imposed under rule 204-2 of the Adviser Act.