Documents

Joint Industry Plan; Notice of Filing of the Twenty-Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Establish Temporary Price Band Protections in Overnight Trading

Federal Register · Notice · Jun 4, 2026

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; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Program for NYSE Arca Realtime Reference Prices Service

Federal Register · Notice · Nov 12, 2008

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

UNITED STATES OF AMERICA

Agency decision · Agency decision

NOTICE AND COMMENT PERIOD 102. … an email to rule-comments@sec.gov.

Self-Regulatory Organizations: Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Supervision of Market Letters

Federal Register · Notice · Dec 18, 2008

The proposed rule change was published for comment in the Federal Register on October 1, 2008. 3 The Commission received four comment letters on the proposal. 4 This order approves the proposed … Comment Letters The Commission received four comment letters on the proposal, all of which expressed support for the proposed rule change. 8 For example, one commenter stated that it supported

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval To Proposed Rule Change by American Stock Exchange, Inc. Relating to a Pilot Program for Execution of Odd-lot Market Orders.

Federal Register · Uncategorized Document · Nov 15, 1994

\11\See footnote 9 of Securities Exchange Act Release No. 29922 (November 8, 1991), 56 FR 58409. --------------------------------------------------------------------------- During that period … In addition, the procedures the Exchange proposes to continue using are substantially identical to the procedures that were published in the Federal Register for the full comment period and were approved

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change by American Stock Exchange, Inc. Relating to a Pilot Program for Execution of Odd-lot Market Orders

Federal Register · Notice · Feb 14, 1995

In addition, the procedures the Exchange proposes to continue using are substantially identical to the procedures that were published in the Federal Register for the full comment period and were approved … (SR-Amex-95-03) is approved for a twelve month period ending on February 8, 1996

Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Operational Arrangements as It Applies to Structured Securities

Federal Register · Notice · Mar 27, 2008

of 1934 (“Act”). 1 The proposed rule change was published for comment in the Federal Register on November 26, 2007. 2 The Commission received four comments to the proposed rule change. … four comment letters.

Self-Regulatory Organizations; NYSE National, Inc.; Order Approving a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed

Federal Register · Notice · Oct 22, 2020

6   See Securities Exchange Act Release No. 89065, 85 FR 37123 (June 19, 2020) (“Request for Comment”). … In addition, this commenter refers to the comment letter it submitted on SR-NYSENAT-2019-31 in stating that the proposal does not meet the requirements of the Act.

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Hearing Procedures Afforded to an Interested Person and Harmonize Them With Similar Rules of Its Affiliates

Federal Register · Notice · Dec 6, 2007

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 .

Consolidated Tape Association; Order Approving the Fortieth Substantive Amendment to the Second Restatement of the CTA Plan and Thirty-First Substantive Amendment to the Restated CQ Plan, as Modified by Amendment No. 1 Thereto

Federal Register · Notice · Jul 1, 2026

The Proposal was published for comment in the Federal Register on January 27, 2026. 6 The Commission received no comment letters on the Proposal. … . 8 The Commission received no comments on the Amended Proposal.

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members

Federal Register · Notice · Sep 2, 2015

NSCC expects to run these changes in a test environment for a three month parallel period prior to implementation. … 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)

Federal Register · Notice · May 24, 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)

Federal Register · Notice · Dec 1, 2016

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.; Order Granting Approval to Proposed Rule Change Relating to a Specialist's De-Registration in an Issue

Federal Register · Notice · Sep 15, 1997

(``CHX'' or ``Exchange'') submitted to the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder … No comments were received on the proposal. This order approves the proposed rule change. II.

Conformed to Federal Register version

Agency decision · Agency decision

PROCEDURAL AND OTHER MATTERS The Administrative Procedure Act (“APA”) generally requires an agency to publish notice of a rulemaking in the Federal Register and provide an opportunity for public comment … Given the time constraints, a notice and comment period could not reasonably be completed prior to the Current Compliance Date.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products

Federal Register · Notice · Nov 14, 2019

The proposed rule change was published for comment in the Federal Register on August 23, 2019. 3 On October 4, 2019, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a … the Act.

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program

Federal Register · Notice · Jun 21, 2022

period prior to the initiation of the pilot. … 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

). 1 Securities Act Rel. … Comments submitted should include “Administrative Proceeding File No. 3-16575” in the subject line. Comments received will be publicly available.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Quorum Requirement

Federal Register · Notice · Apr 20, 2021

The proposed rule change was published for comment in the Federal Register on January 15, 2021. 3 On February 25, 2021, pursuant to Section 19(b(2) of the Act, 4 the Commission designated … 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; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule to Extend the Sunset Provision Related to the Options Regulatory Fee (ORF)

Federal Register · Notice · Nov 18, 2024

is not precluded from adopting said alternative during the proposed sunset period. … 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