Documents

Self-Regulatory Organizations; Notice of Filing of Amended Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to the Eligibility of Disputes for Arbitration

Federal Register · Uncategorized Document · Aug 2, 1994

SEC on October 26, 1993 in Securities Exchange Act Release No. 33108. … The Commission requests that, in addition to any general comments concerning whether the proposed rule change is consistent with Section 15A(b)(6) of the Act, commentators address the following: 1.

Options Price Reporting Authority; Notice of Filing and Order Granting Temporary Effectiveness of Amendment to OPRA Plan Adopting a Capacity Allocation Plan

Federal Register · Notice · Jul 31, 2000

Act. … If the OPRA participant exchanges file with the Commission a capacity allocation plan for peak usage periods that is consistent with the Act, the Commission will act to substitute that proposal for this

Self-Regulatory Organizations; NYSE American LLC; Order Granting Approval of a Proposed Rule Change To Amend Section 1003 of the NYSE American LLC Company Guide To Provide for the Suspension and Delisting of Any Company That: (i) Has Effected One or More Reverse Stock Splits Over the Prior Two-Year Period With a Cumulative Ratio of 200 Shares or More to One; or (ii) Has Effectuated a Reverse Stock Split and the Effectuation of Such Reverse Stock Split Results in the Company's Security Falling Below Any of the Continued Listing Requirements of Section 1003

Federal Register · Notice · Jan 23, 2025

Comments on the Notice are available at: https://www.sec.gov/comments/sr-nyseamer-2024-61/srnyseamer202461.htm. … . 29  The Commission received one comment letter on the proposal that was generally supportive.

Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies

Federal Register · Rule · Apr 23, 2002

ACTION: Final rule; Request for comments on Paperwork Reduction Act burden estimate. … The Commission did not receive any comments on the Paperwork Reduction Act portion of the Proposing Release.

Public Company Accounting Oversight Board; Order Approving Proposed Rule 3101, Certain Terms Used in Auditing and Related Professional Practice Standards and an Amendment to Rule 1001, Definitions of Terms Employed in Rules

Federal Register · Notice · Sep 14, 2004

Discussion The Commission's comment period on the proposed rules ended on August 23, 2004, with the Commission receiving five comment letters. … The commenters indicated that in many instances audit procedures are performed throughout the period of audit, and documentation to support these procedures is prepared contemporaneously with the audit

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Flash and Cancel Order

Federal Register · Notice · Jun 30, 2009

A Flash and Cancel Order will provide an optional pre-cancellation display period for market and marketable limit orders so designated. … rule-comments@sec.gov .

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend MIAX Options Rule 519C, Mass Cancellation of Trading Interest

Federal Register · Notice · Mar 9, 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

Submission for OMB Review; Comment Request

Federal Register · Notice · Oct 5, 2021

The board periodically must review the composition of the fund's portfolio and change the liquidity procedures as necessary. … Find this particular information collection by selecting “Currently under 30-day Review—Open for Public Comments” or by using the search function.

Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF

Federal Register · Notice · Jan 17, 2018

or disapprove the proposed rule change. 8 The Commission subsequently received one comment letter on the proposed rule change. 9 On December 12, 2017, the Commission designated a longer period … The comment letter is available on the Commission's website at: https://www.sec.gov/comments/sr-batsbzx-2017-30/batsbzx201730.htm . 10   See Securities Exchange Act Release No. 82301,

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Extension of Time To Pass the Series 55 Examination, Equity Trader

Federal Register · Notice · May 5, 2000

Consequently, NASD Regulation is proposing to extend the grace period for passing the examination. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others NASD Regulation has neither solicited nor received written comments on the

Amendments to Rules for Nationally Recognized Statistical Rating Organizations

Federal Register · Rule · Feb 9, 2009

These comments supported the Commission's view that 1, 3, and 10 year periods are reasonable definitions of the terms “short-term, mid-term, and long-term periods” as used in Section 15E(a)(1)(B)(i) of … The Commission received two comments on the proposed amendments. 222 The first commenter, a large NRSRO, stated that the comment period did not provide time to fully assess the costs and benefits

UNITED STATES OF AMERICA

Agency decision · Agency decision

. § 201.1104, provides in relevant part, “[t]he order approving or disapproving the plan should be entered within 30 days after the end of the final period allowed for comments on the proposed plan unless … Thirty days from the end of the final period for comments on the Plan will lapse on April 14, 2023.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts

Federal Register · Notice · Sep 15, 2020

The proposed rule change was published for comment in the Federal Register on January 23, 2020. 3 On February 25, 2020, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … Act Release No. 88276, 85 FR 12353 (March 2, 2020).

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E

Federal Register · Notice · Apr 27, 2018

On March 1, 2018, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute … What are commenters' views on the price differentials and trading volumes across bitcoin trading platforms (including during periods of market stress) and on the extent to which these differing prices

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to EWN II Fees for NASD Members

Federal Register · Notice · Jan 16, 2001

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Nasdaq has not solicited or received written comments on the proposed rule … 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.

Lost Securityholders and Unresponsive Payees

Federal Register · Rule · Jan 23, 2013

measuring period. 69 Section 17A(g)(1)(A) of the Exchange Act requires that the paying agent “provide a single written notification to each [unresponsive payee] that the [unresponsive payee] has … commenter suggests are easier to accommodate in accounting periods and in programming systems.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc., Relating to Modifications of the Position and Exercise Limits for Narrow-Based Index Options

Federal Register · Notice · May 16, 1995

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on March 6, 1995, the Philadelphia Stock Exchange, Inc. … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were either received or requested. III.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc., Relating to Its Specialist Evaluation Program

Federal Register · Notice · Jun 11, 1997

The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments on the proposed rule change were neither solicited

Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the CHX SNAP Incentive Program

Federal Register · Notice · Apr 25, 2016

and -2- away during the stage three Pricing and Satisfaction Period, if such away executions are confirmed during the same stage three Pricing and Satisfaction Period, pursuant to the following table: … 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 Depository Trust Company; Notice of Filing of Proposed Rule Change as Amended To Increase Liquidity Resources

Federal Register · Notice · Oct 21, 2008

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 notice is hereby given that on August 26, 2008, The Depository Trust Company (“DTC”) filed with the Securities and Exchange … the Act.