Documents

Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships

Federal Register · Rule · Jul 5, 2019

A few commenters supported including specific dates or periods, such as: • The onset of the engagement period and the balance sheet date for each audit;  84 84   See KPMG. … and periodic reports, proxy and information statements, or other reports under the Exchange Act or the Investment Company Act, as well as smaller registered investment advisers and smaller accounting

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules Relating to Compliance With Auditing and Related Professional Practice Standards and Advisory Groups

Federal Register · Notice · Sep 26, 2003

Note: The Board will announce, from time to time, periods during which it will receive nominations to an advisory group. … Register , or within such longer period (i) as the Commission may designate up to 90 days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding or (ii

UNITED STATES OF AMERICA

Agency decision · Agency decision

NOTICE AND COMMENT PERIOD 98. … an email to rule-comments@sec.gov.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Amending Rule 748, Supervision

Federal Register · Notice · Oct 27, 2000

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The Exchange has neither solicited nor received 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.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook

Federal Register · Notice · Nov 12, 2009

Comment Letters The proposed rule change was published for comment in the Federal Register on January 28, 2009 and the comment period closed on February 18, 2009. … After careful review of the proposed rule change, the comments, and FINRA's response to the comments, the Commission finds that the proposed rule change is consistent with the requirements of the Act,

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Implementation Schedule of Amendments To Schedule A to the FINRA By-Laws Adopted in SR-FINRA-2024-019 as Modified in SR-FINRA-2025-007

Federal Register · Notice · Sep 23, 2026

The fee increases would be phased in gradually over a five-year period from 2025 through 2029. 6 5   See Securities Exchange Act Release No. 101696 (November 21, 2024), 89 FR 93709 (November … 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 National Association of Securities Dealers, Inc., to Extend a Pilot Amendment to NASD Rule 4120 Regarding Nasdaq's Authority To Initiate and Continue Trading Halts

Federal Register · Notice · Nov 26, 2002

, including Section 15A of the Act. 9 Since that time, the pilot period for the rule has been extended on several occasions. 10 6  Securities Exchange Act Release No. 44307 (May 15, 2001 … Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposal is consistent with the Act.

Office of the Investor advocate

Agency decision · Agency decision

Rule 14a-8.39 § After reopening the comment period for the rulemaking on January 27, 2022, the Commission adopted amendments on August 25, 2022 to implement Exchange Act Section 14(i), as added by Section … Period for Universal Proxy (Apr. 16, 2021), https://www.sec. gov/news/press-release/2021-64. 287 See Universal Proxy, Exchange Act Release No. 93596; Investment Company Act Release No. 34419, https://

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program

Federal Register · Notice · Mar 14, 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

Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Shorten the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date

Federal Register · Notice · Apr 21, 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

UNITED STATES OF AMERICA

Agency decision · Agency decision

The Notice invited public comment on the proposed plan of distribution (“Plan”) through November 13, 2023, and the Commission received two 1 Exchange Act Rel. No. 98735 (Oct. 12, 2023). … Thirty days from the end of the final period for comments on the Plan will lapse on December 13, 2023.

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Its Policy Statement Adopted Under Rule 205 Entitled “Back-up Communication Channel to Internet Access”

Federal Register · Notice · Sep 5, 2013

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 for ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Position Limits and Exercise Limits

Federal Register · Notice · Mar 8, 2005

. 20 20  For purpose of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change under Section 19(b)(3)(C) of the Act, the Commission considers … the Act.

Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies

Federal Register · Proposed Rule · Feb 19, 2004

Comments also may be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. … Request for Comments We request your comments on the accuracy of our estimates.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the NETS ISEQ 20 Index Fund (Ireland)

Federal Register · Notice · May 15, 2008

The Commission is considering granting accelerated approval of the proposed rule change at the end of a 15-day comment period. IV. … 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; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Quoting Obligations for Directed Streaming Quote Traders and Directed Remote Streaming Quote Traders and Changes to the Exchange's Opening Rule

Federal Register · Notice · Feb 13, 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.

Supervised Investment Bank Holding Companies

Federal Register · Proposed Rule · Nov 6, 2003

Exchange Act Rule 17a-4 presently requires that broker-dealers maintain certain records for this time period, and we believe this time period is sufficient with relation to the records required pursuant … Thus, we solicit comment on whether goodwill should be included in allowable capital for a particular transition period and, if so, the length of the transition period.

UNITED STATES OF AMERICA

Agency decision · Agency decision

NOTICE OF PROPOSED PLAN AND OPPORTUNITY FOR COMMENT 60. … Comments submitted by e-mail or via the Commission’s website should include “Administrative Proceeding File No. 3-20381 in the subject line. Comments received will be publicly available.

Submission for OMB Review; Comment Request

Federal Register · Notice · Jan 6, 2004

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq. ), the Securities and Exchange Commission (“Commission”) is soliciting comments on the collection … There is no specific retention period applied by Rule 15c2-12 for the recordkeeping requirement contained in Rule 15c2-12.

Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan for the Selection and Reservation of Securities Symbols To Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC., the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., the NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext U.S. LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.

Federal Register · Notice · Mar 20, 2009

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether Amendment No. 2 is consistent with the Act. … rule-comments@sec.gov.