Documents

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.42, Interpretation and Policy .04 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019

Federal Register · Notice · Apr 4, 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; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 21.5, Interpretation and Policy .01 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019

Federal Register · Notice · Apr 4, 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; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 21.5, Interpretation and Policy .01 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019

Federal Register · Notice · Apr 4, 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; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Recovery & Wind-Down Plan

Federal Register · Notice · Apr 2, 2021

NSCC filed the proposed rule change pursuant to Section 19(b)(3)(A)  3 of the Act and Rule 19b-4(f)(4) 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 Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of Eight PIMCO Exchange-Traded Funds

Federal Register · Notice · Mar 6, 2015

The proposed rule change was published for comment in the Federal Register on September 3, 2014. 3 On October 15, 2014, pursuant to section 19(b)(2) of the Act, 4 the Commission designated … The Commission may, however, extend the period for issuing an order approving or disapproving the proposed rule change by not more than 60 days if the Commission determines that a longer period is appropriate

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms

Federal Register · Notice · Aug 17, 2021

The proposed rule change was published for comment in the Federal Register on February 16, 2021. 3 On March 26, 2021, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … Comments on the proposed rule change can be found at: https://www.sec.gov/comments/sr-nasdaq-2021-007/srnasdaq2021007.htm. 4  15 U.S.C. 78s(b)(2). 5   See Securities Exchange

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Options 4, Section 3, Criteria for Underlying Securities

Federal Register · Notice · Aug 20, 2025

The proposed rule change was published for comment in the Federal Register on February 26, 2025. 3 On March 12, 2025, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … The Commission has received no comment letters on the proposed rule change.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets

Federal Register · Notice · Dec 9, 2020

The proposed rule change was published for comment in the Federal Register on June 12, 2020. 3 On July 21, 2020, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … Comments on the proposed rule change can be found at: https://www.sec.gov/comments/sr-nasdaq-2020-027/srnasdaq2020027.htm. 4  15 U.S.C. 78s(b)(2). 5   See Securities Exchange

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k)

Federal Register · Notice · Dec 23, 2019

The proposed rule change was published for comment in the Federal Register on June 25, 2019. 3 On August 2, 2019, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … comment letters on the proposed rule change. 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 86155 (June 19, 2019), 84 FR 29912.

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rules 7.29E and 1.1E To Provide for a Delay Mechanism

Federal Register · Notice · Feb 15, 2017

The proposed rule would further provide that, if the Exchange determines to increase or decrease the delay period, it would submit a rule filing pursuant to Section 19 of the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Related to Fees for Trading Licenses To Extend the Current Fee Schedule to February 27, 2015 and To Implement New Trading License Fees Effective March 1, 2015

Federal Register · Notice · Jan 12, 2015

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; Cboe EDGA Exchange, Inc.; Order Disapproving Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA

Federal Register · Notice · Feb 27, 2020

The proposed rule change was published for comment in the Federal Register on June 26, 2019. 3 On August 5, 2019, pursuant to Section 19(b)(2) of the Exchange Act, 4 the Commission designated … their quotes within the four millisecond delay period. 164 One of these commenters characterized the concern that the proposal favored sophisticated traders and would result in the orders of institutional

Reporting of Securities Loans

Federal Register · Rule · Nov 3, 2023

Longer Holding Period Requirement 11. Longer Implementation Period 12. Report to the Commission Rather Than to an RNSA 13. Report Through an NMS Plan X. Paperwork Reduction Act XI. … Two commenters recommended an implementation period of two years, 697 and another commenter recommended a compliance period of at least 18 months. 698 One commenter's proposed implementation

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. To Amend the Price Criteria for Securities That Underlie Options Traded on the Exchange

Federal Register · Notice · Feb 20, 2003

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received with respect to the proposed … the Act.

Self-Regulatory Organizations; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 1 and 2 by the National Association of Securities Dealers, Inc. Relating to Margin Requirements

Federal Register · Notice · Sep 2, 2003

such shorter period as it was required to file such reports), or b. has securities registered pursuant to the Securities Act of 1933, has been subject to the reporting requirements of Section 15( … d) of the Act for a period of at least 90 days and has filed all the reports required to be filed thereunder during the preceding 12 months (or such shorter period as it was required to file such reports

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating To Small Order Execution System Tier Size Classifications

Federal Register · Notice · Mar 12, 1996

The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Comments were neither solicited nor received. III.

Ownership Reports and Trading by Officers, Directors and Principal Security Holders

Federal Register · Rule · Sep 3, 2002

Request for Comment We request comment on the changes we are adopting in this release. Are any other technical amendments necessary to implement Section 403 of the Act? … Accordingly, the Commission for good cause finds that a notice and comment period for these rules would be unnecessary, impracticable and contrary to the public interest.

Submission for OMB Review; Comment Request

Federal Register · Notice · Sep 5, 2008

is the same recordkeeping retention period for all advisers imposed under rule 204-2 of the Adviser Act. … Comments must be submitted to OMB within 30 days of this notice. Dated: August 27, 2008. Florence E. Harmon, Acting Secretary. [FR Doc.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements)

Federal Register · Notice · Feb 11, 2014

of 1940 (“Investment Company Act”) and securities of any “closed-end” investment company as defined in Section 5(a)(2) of the Investment Company Act that: (1) makes periodic repurchase offers pursuant … A copy of the Notice is attached as Exhibit 2a. 15 The comment period expired on July 23, 2012.

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Allow As-Of Fixed Income Trades To Be Processed in the Continuous Net Settlement System

Federal Register · Notice · Aug 20, 2007

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 notice is hereby given that on July 12, 2007, the National Securities Clearing Corporation (“NSCC”) filed with the Securities … with the Act.