Documents

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-2

Federal Register · Notice · Jul 21, 2026

Act specifies the time periods that entities must retain certain books and records, including those required to be maintained under rule 31a-1. 4 1  15 U.S.C. 80a1 et seq. 2   … Commission staff periodically inspect the operations of funds to ensure they are in compliance with the Act and regulations under the Act.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Pacific Stock Exchange, Inc. Relating to Amendment of its Minor Rule Plan and Recommended Fine Schedule With Respect to Options Floor Decorum and Other Minor Trading Rule Violations

Federal Register · Uncategorized Document · Nov 14, 1994

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on October 14, 1994, the Pacific Stock Exchange (``PSE'' or ``Exchange'') filed with the Securities … (C) 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; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.12

Federal Register · Notice · Aug 4, 2010

The Exchange proposes to modify its process for allocating such payments and extend the time period for Users to submit such claims. … 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; 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 Through February 28, 2001

Federal Register · Notice · Dec 11, 2000

request, extended the comment period for the 3-Year Extension Proposal until September 20, 2000. 5 On September 22, 2000, the Pilot was extended through November 30, 2000 to accommodate the extended … The original comment period was schedule to expire on August 31, 2000.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Revise the Exchange's Initial Listing Standards Related to Liquidity

Federal Register · Notice · Jul 11, 2019

Nasdaq has not proposed a grace period for SPACs so the comment is beyond the scope of this proposal. … the Act.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Opening Process for Simple Orders

Federal Register · Notice · Jan 28, 2021

This proposed change merely adds this detail to the Rules for additional transparency. 8  The term “Queuing Period” means the time period prior to the initiation of an opening rotation during … 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 of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings (“IPOs”)

Federal Register · Notice · Dec 28, 2004

of 1934 (the “Exchange Act”), on the entire syndicate … These commenters generally favored expansion of the safe harbor under Section 27A of the Securities Act of 1933 to IPOs.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Partial Amendment No. 1 to Proposed Rule Change To Amend the FINRA Capital Acquisition Broker (“CAB”) Rules

Federal Register · Notice · Sep 30, 2025

The proposed rule change was published for comment in the Federal Register on June 16, 2025. 4 The public comment period closed on July 7, 2025. … which the company files, or is required to file, periodic information, documents, or reports under Exchange Act Section 15(d).

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to NASD Code of Arbitration Procedure Rule 10335 (Injunctive Relief Rule)

Federal Register · Notice · Sep 22, 1998

comments received from users of the pilot rule. … 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.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Rules 5605, 5615 and 5810 To Clarify and Modify Phase-In Schedules for Certain Corporate Governance Requirements and Clarify Applicability of Certain Cure Periods

Federal Register · Notice · Jul 18, 2024

The proposed rule change was published for comment in the Federal Register on May 29, 2024. 3 The Commission received no comments on the proposed rule change. 1  15 U.S.C. 78s(b)(1). … 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; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to the Individual Trading Pause Pilot and CBSX Market-Maker Quoting Obligations

Federal Register · Notice · May 12, 2011

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

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change Relating to the Processing of Maturity Presentments in DTC's Money Market Instrument Program

Federal Register · Notice · Nov 19, 2003

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 also be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. SR-DTC-2003-12.

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Investment Management Procedures

Federal Register · Notice · Nov 5, 2020

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 Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding the CBOE Stock Exchange Market Data Infrastructure Fee

Federal Register · Notice · Mar 18, 2008

rule change under Section 19(b)(3)(C) of the Act, the Commission considers the period to commence on March 11, 2008, the date on which the Exchange filed Amendment No. 1. … rule-comments@sec.gov .

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, and Amendment No. 1 Thereto, by the Boston Stock Exchange, Inc. for the Extension of a Pilot Program Limiting Liability for Trade-Throughs at the End of the Trading Day

Federal Register · Notice · Jun 24, 2004

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

Self-Regulatory Organizations; Midwest Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Automated Customer Account Transfer Service and the ACAT-Fund/SERV Interface

Federal Register · Uncategorized Document · Dec 16, 1994

MCC Article VI, Rule 3 authorizes MCC to establish procedures for its linkage to NSCC's ACAT Service including the establishment of time periods. … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others MCC has not solicited or received comments on the proposed rule change

Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving Proposed Rule Change to Establish a Pilot Program To List and Trade a p.m.-Settled Cash-Settled S&P 500 Index Option Product

Federal Register · Notice · Sep 9, 2011

the Exchange's proposal in light of, among other things, the comments received on the proposal, the Commission extended the time period in which to either approve the proposed rule change, disapprove … The Exchange proposes that the SPXPM product be approved on a pilot basis for an initial period of fourteen months.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions

Federal Register · Notice · Nov 26, 2018

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; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Federal Register · Notice · Feb 25, 2022

Comment for SR-PEARL-2021-32 can be found at: https://www.sec.gov/comments/sr-pearl-2021-32/srpearl202132.htm. 102   See Securities Exchange Act Release No. 92797 (August 27, 2021), 86 … Periodic Reevaluation.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service Is Fully Restored or Friday, February 15, 2013

Federal Register · Notice · Jan 28, 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 form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments