Documents

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

Federal Register · Notice · Jan 28, 2021

This proposed change merely adds 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 which … 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; Order Granting Accelerated Approval of Proposed Rule Change by the American Stock Exchange, Inc. Relating to Dissemination of Indications in Connection With Circuit Breaker Trading Halts Under Rule 117

Federal Register · Notice · Jul 26, 1996

\2\ 17 CFR 240.19b-4. --------------------------------------------------------------------------- The proposed rule change was published for comment in Securities Exchange Act Release No. 37356 … No comments were received on the proposals.\3\ --------------------------------------------------------------------------- \3\ The Commission notes that the comment period ends on July 19, 1996, and

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Regarding New Permitted Cover

Federal Register · Notice · Feb 18, 2014

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 February 11, 2014, ICE Clear Europe Limited (“ICE Clear … 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 of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Article III, Section 3-6 and Article IV, Section 4-1 of Its By-laws

Federal Register · Notice · Feb 9, 2005

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 of Proposed Rule Change by Boston Stock Exchange, Inc. Relating to Its Specialist Performance Evaluation Program

Federal Register · Uncategorized Document · Oct 17, 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 October 3, 1994, as subsequently amended on October 6, 1994,\1\ the Boston … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants or Others Comments have been neither solicited nor received. III.

Submission for OMB Review; Comment Request; Extension: Rule 15c3-4

Federal Register · Notice · Dec 20, 2024

The records required to be made pursuant to the Rule and the results of the periodic reviews conducted under paragraph (d) of Rule 15c3-4 must be preserved under Rule 17a-4 of the Exchange Act (17 CFR … Public Comment Instructions: The 30-day public comment period for this information collection request closes at the end of the day on January 21, 2025.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Federal Register · Notice · Oct 11, 2022

On August 24, 2022, 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 institute … What are commenters' views generally on whether the Exchange's proposal is designed to prevent fraudulent and manipulative acts and practices?

UNITED STATES OF AMERICA

Agency decision · Agency decision

The Notice invited public comment on the proposed 1 Exchange Act Rel. No. 96340 (Nov. 17, 2022). … Thirty days from the end of the final period for comments on the Plan will lapse on January 18, 2023.

Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · May 17, 2016

Request for Comment on the Alternatives I. Request for Comment on the Economic Analysis V. Paperwork Reduction Act A. Summary of Collection of Information under Rule 613 1. Central Repository 2. … Do Commenters believe a 48-hour recovery and restoration period is too long? Too short? Please explain.

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program

Federal Register · Notice · Apr 23, 2020

The Exchange requests that the Commission waive the 30-day operative delay period contained in Exchange Act Rule 19b-4(f)(6)(iii). 3 3  17 CFR 240.19b-4(f)(6)(iii). … 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; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Withdrawal of Obsolete Question-and-Answer Interpretive Guidance Under Former Rule G-38, on Consultants, and Certain Question-and-Answer Interpretive Guidance Relating to the Definition of “Solicitation” Under Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business

Federal Register · Notice · May 5, 2006

The Commission expects to consider these proposals simultaneously after the close of their respective comment periods. 11   See File No. … the Act.

Modernization of Property Disclosures for Mining Registrants

Federal Register · Rule · Dec 26, 2018

The Securities Act and the Exchange Act both provide that the registration statements and periodic reports required under those statutes shall contain such information and documents as the Commission may … Other commenters recommended a three-year transition period. 1230 Commenters justified the need for a transition period based on the extensive changes to the current disclosure framework under Guide

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Exchange Rules That Reference Pillar Phase I Protocols

Federal Register · Notice · Nov 20, 2018

The Exchange has requested that the Commission waive the 30-day operative delay period. … 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 of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend NASD Rule 2520 Relating to Margin Requirements for Day-Trading Customers

Federal Register · Notice · Feb 18, 2000

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants or Others The NASD did not solicit written comments. … 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; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Modify Nasdaq's Auditor Peer Review Requirement

Federal Register · Notice · Oct 26, 2005

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: Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to the Precedence of Customer Limit Orders on the Book

Federal Register · Notice · Apr 13, 2001

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. … Commission Findings and Order Granting Partial Accelerated Approval of the Proposed Rule Change for a Pilot Period The Commission finds that the proposed rule change is consistent with the Act and the

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Opening Process

Federal Register · Notice · Jun 10, 2015

The proposed rule change was published for comment in the Federal Register on December 10, 2014. 3 On January 23, 2015, the Commission extended the time period within which to approve the proposed … The Commission finds that it is appropriate to designate a longer period within which to take action on the proposed rule change so that it has sufficient time to consider the comment letters and take

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 4 and 5 Relating to Back-Up Trading Arrangements

Federal Register · Notice · May 25, 2005

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

Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies

Federal Register · Proposed Rule · Mar 23, 1998

Transition Period G. Form N-1 III. General Request for Comments IV. Paperwork Reduction Act V. Cost/Benefit Analysis VI. Regulatory Flexibility Act Certification VII. … The Commission requests comment on the proposed transition period. G.

Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Chicago Stock Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Investors Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules

Federal Register · Notice · Oct 16, 2018

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 … All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions.