Documents

Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Short Term Option Series

Federal Register · Notice · Jul 18, 2005

period and CBOE adequately responded to the issues raised by commenters, the Commission does not believe that an additional comment period for ISE's substantially identical proposal is necessary. … the Act.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program That Increases Position and Exercise Limits for Equity Options and Options on the Nasdaq-100 Tracking Stock

Federal Register · Notice · Mar 1, 2006

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; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 777 Regarding Depository Eligibility

Federal Register · Notice · Sep 21, 2006

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

Intermarket Trading System; Notice of Filing and Immediate Effectiveness of the Twenty Third Amendment to the ITS Plan Relating to the Interaction of Chicago Stock Exchange, Inc. With ITS, the Change in Opening of Trading in a Halted Security, and the Change in Name from the New York Stock Exchange, Inc. to New York Stock Exchange LLC and From Pacific Exchange, Inc. to NYSE Arca, Inc.

Federal Register · Notice · May 12, 2006

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed Plan amendment is consistent with the Act. … rule-comments@sec.gov .

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendment to the Examination Specifications and Study Outline for the Direct Participation Programs Limited Representative (Series 22) Examination

Federal Register · Uncategorized Document · Aug 18, 1994

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 July 26, 1994, the National Association of Securities Dealers, Inc. … (C) 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.

Self-Regulatory Organizations; Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the Examination Specifications and Study Outline for the Investment Company/Variable Contracts Products Limited Representative (Series 6) Examination

Federal Register · Uncategorized Document · Aug 23, 1994

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 July 26, 1994, the National Association of Securities Dealers, Inc. … (C) 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.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto in Connection With the Proposed Acquisition of The Amex Membership Corporation

Federal Register · Notice · Aug 7, 2008

In addition, in the proposed new Director Independence Policy for NYSE Euronext directors, the three-year retrospective period (“look-back period”) over which directors' relationships with members of the … rule-comments@sec.gov .

UNITED STATES OF AMERICA

Agency decision · Agency decision

, Securities Act Rel. … NOTICE AND COMMENT PERIOD 103.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time

Federal Register · Notice · Aug 24, 2022

SR-BatsBZX-2017-34”, available at: https://www.sec.gov/comments/sr-batsbzx-2017-34/batsbzx201734.htm. 15   See Securities Exchange Act Release No. 34-88008 (January 21, 2020), 85 FR 4726 … 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 Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Equities Inc. Rule 5.1(c)

Federal Register · Notice · Apr 28, 2006

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 and Order Granting Temporary Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Rule 4612, Primary Nasdaq Market Maker Standards Through October 1, 1997

Federal Register · Notice · Feb 24, 1997

The review period for meeting any of these criteria is one calendar month. … 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.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc., Relating to Floor Procedure Advice F-8, Failure To Comply With an Exchange Inquiry

Federal Register · Notice · Feb 7, 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 November 21, 1994, 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; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Relating To Implementation of a Fee on Securities Lending and Repurchase Transactions With Respect to Shares of the CurrencyShares® Euro Trust and the CurrencyShares® Japanese Yen Trust

Federal Register · Notice · Mar 17, 2016

On September 18, 2015, 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 … whether to approve or disapprove the proposed rule change. 7 On February 12, 2016, pursuant to Section 19(b)(2) of the Act, 8 the Commission designated a longer period within which to take action

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Options That Overlie the FTSE Developed Europe Index and the FTSE Emerging Index and To Amend the Maintenance Listing Criteria Applicable to Certain Index Options

Federal Register · Notice · Sep 8, 2016

The original proposal was subject to a full 21-day comment period and no comments were received on the proposal. … issues or unique regulatory concerns not originally subjected to the proposal's full 21-day comment period, during which no comments were received.

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.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Supervision and Record Retention Rules

Federal Register · Notice · May 2, 1997

The record keeping format, medium, and retention period shall comply with Rule 17a-4 under the Securities Exchange Act of 1934. (b) through (g) No change II. … The comment period closed on January 30, 1997.

Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents

Federal Register · Proposed Rule · Apr 5, 2023

Retention Period for Recordkeeping Requirements H. Request for Comment VI. Initial Regulatory Flexibility Act Analysis A. Reasons for, and Objectives of, Proposed Action 1. … Further, the Commission has reopened the comment period for the Investment Management Cybersecurity Release to allow interested persons additional time to analyze the issues and prepare their comments

Regulation Best Execution

Federal Register · Proposed Rule · Jan 27, 2023

Retention Period for Recordkeeping Requirements I. Request for Comment VII. Consideration of Impact on the Economy VIII. Initial Regulatory Flexibility Act Analysis A. … Do commenters agree with the Commission's understanding that, currently, broker-dealers periodically review their best execution policies and procedures?

Phase Two Recommendations of Task Force on Disclosure Simplification

Federal Register · Rule · Jul 24, 1997

Instead, this information will be included in the issuer's Exchange Act periodic reports. … In the Proposing Release, however, the Commission solicited comment on whether to streamline the periodic report forms by amending Regulations S-B and S-K to include Item 701(f), which incorporates the

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.