Documents

Self-Regulatory Organizations; NYSE Amex LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Section 101 of the NYSE Amex Company Guide To Adopt Additional Listing Requirements for Companies Applying To List After Consummation of a “Reverse Merger” With a Shell Company

Federal Register · Notice · Sep 27, 2011

The proposed rule change was published for comment in the Federal Register on August 10, 2011. 3 The Commission received two comment letters on the proposal. 4 1  15 U.S.C. 78s(b)( … Section 19(b)(2) of the Act  5 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; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201

Federal Register · Notice · Jun 5, 2012

The proposed rule change was published for comment in the Federal Register on April 20, 2012. 3 The Commission received one comment letter regarding the proposal. 4 1  15 U.S.C. 78s … Section 19(b)(2) of the Act  5 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; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Grayscale Litecoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Federal Register · Notice · Mar 17, 2025

Comments received on the proposed rule change are available at: https://www.sec.gov/comments/sr-nysearca-2025-05/srnysearca202505.htm. … 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 Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Under BZX Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds

Federal Register · Notice · Mar 27, 2019

://www.sec.gov/comments/sr-cboebzx-2019-001/srcboebzx2019001-5145199-183369.pdf. … Section 19(b)(2) of the Act  5 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; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Alger Mid Cap 40 ETF and Alger 25 ETF Under Rule 8.900-E, Managed Portfolio Shares

Federal Register · Notice · Nov 4, 2020

Commission has received no comments on the proposal. 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 89869 (September 15, 2020), … Section 19(b)(2) of the Act  5 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; BATS Y-Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending the Attestation Requirement of Rule 11.24 Allowing a Retail Member Organization To Attest That “Substantially All” Orders Submitted to The Retail Price Improvement Program Will Qualify as “Retail Orders”

Federal Register · Notice · Apr 18, 2013

The proposed rule change was published for comment in the Federal Register on March 1, 2013. 3 To date, the Commission has received one comment on the proposal. 4 1  15 U.S.C. 78s( … Section 19(b)(2) of the Act  5 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; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. To Extend the Pilot Regarding Shareholder Approval of Stock Option Plans

Federal Register · Notice · Oct 2, 2000

request, extended the comment period for the 3-Year Extension Proposal until September 20, 2000. 5 The original comment period was to expire on August 31, 2000. 6 The Pilot is scheduled to expire … Therefore, to accommodate the extended comment period on the 3-Year Extension Proposal, the Exchange proposes to extend the effectiveness of the Pilot until November 30, 2000. 4  Securities Exchange

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holder Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline To Demonstrate Compliance With the Initial Listing Requirements Following a Business Combination

Federal Register · Notice · Dec 6, 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; Pacific Stock Exchange, Inc.; Filing and Order Granting Temporary Accelerated Approval to Proposed Rule Change Relating to Listing of Municipal Securities.

Federal Register · Uncategorized Document · Mar 11, 1994

The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons and is simultaneously approving the proposal for an interim period through July 5, 1994. … Also, during this period, PSE will file a proposed rule change requesting permanent approval of the listing of municipal securities that would be subject to full notice and comment. IV.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes to Certain Notification Requirements

Federal Register · Notice · Apr 19, 2010

period, in issuance of a Staff Delisting Determination or a Public Reprimand Letter. … rule-comments@sec.gov.

UNITED STATES OF AMERICA

Agency decision · Agency decision

In the discretion of the Commission, a proposed plan that is substantially modified prior to adoption may be republished for an additional comment period pursuant to 17 CFR 201.1103. … Thirty days from the end of the final period for comments on the proposed distribution plan lapsed on September 17, 2006.

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials

Federal Register · Notice · Dec 12, 2018

The time period shall be no less than 100 milliseconds and no more than 5 seconds.” … The time period shall be no less than 100 milliseconds and no more than 5 seconds.”

Submission for OMB Review; Comment Request

Federal Register · Notice · Apr 27, 2007

The records required to be kept pursuant to Appendix F and results of periodic reviews conducted pursuant to Rule 15c3-4 generally must be preserved under Rule 17a-4 of the Exchange Act (17 CFR 240.17a … -4) for a period of not less than three years, the first two years in an easily accessible place.

Submission for MOB Review; Comment Request

Federal Register · Notice · Apr 27, 2004

The records are required to be kept pursuant to Appendix F and results of periodic reviews conducted pursuant to Rule 15c3-4 generally must be preserved under Rule 17a-4 of the Exchange Act (17 CFR 240.17a … -4) for a period of not less than three years, the first two years in an accessible place.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Late Charges and Penalties for Non-Payment

Federal Register · Notice · Nov 8, 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 September 18, 2000, 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; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 302.00 of the NYSE Listed Company Manual To Exempt Closed-End Funds Registered Under the Investment Company Act of 1940 From the Requirement To Hold Annual Shareholder Meetings

Federal Register · Notice · Jul 9, 2024

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 … Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to OCC's Recovery and Orderly Wind-Down Plan (“RWD Plan” or “Plan”) To Align With the Recently Adopted SEC RWD Rule

Federal Register · Notice · Jun 23, 2025

On April 17, 2025, pursuant to Section 19(b) of the Securities Exchange Act of 1934 (“Exchange Act”)  1 and Rule 19b-4  2 thereunder, the Options Clearing Corporation (“OCC”) filed with the Securities … Section 19(b)(2) of the Exchange Act  5 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

Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; NYSE Texas, Inc.; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Amend the Virtual Control Circuit Service in the Connectivity Fee Schedule

Federal Register · Notice · Jun 17, 2025

The proposed rule changes were published for comment in the Federal Register on April 28, 2025. 3 The Commission has not received any comments on the proposed rule changes. 1  15 U.S.C … 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; Midwest Clearing Corporation; Midwest Securities Trust Company; Notice of Filing of Proposed Rule Changes Relating to Nominations for Board Membership, the Risk Assessment Committee, the Appeals Process, Audits and Financial Reports, and Temporary Sponsored Participants and Accounts

Federal Register · Notice · Aug 20, 1996

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that the Midwest Clearing Corporation (``MCC'') and Midwest Securities Trust Company (``MSTC'') … (C) Self-Regulatory Organizations' Statement on Comments on the Proposed Rule Changes Received From Members, Participants or Others MSTC and MCC have neither solicited nor receive any comments on

Self Regulatory Organizations; Notice of Filing of a Proposaed Rule Change by the National Association of Securities Dealers, Inc., Relating to Nasdaq National Market Execution System Fees Charged to Non-Members

Federal Register · Notice · Oct 19, 2001

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