Documents

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Exchange Fees for Trading Floor Members Participating in the Wireless Telephone System

Federal Register · Notice · Jun 2, 1999

The twelve-month period will commence on the date of the agreement signed by the participant. At the end of the twelve-month period, a new agreement will be presented to the participant. … 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

UNITED STATES OF AMERICA

Agency decision · Agency decision

NOTICE OF PROPOSED PLAN AND OPPORTUNITY FOR COMMENT 85. … Comments submitted by e-mail or via the Commission’s website should include “Administrative Proceeding File No. 3-21602 in the subject line. Comments received will be publicly available.

In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934

Federal Register · Notice · Sep 6, 2024

as a national securities exchange under Section 6 of the Act. 1 Notice of the application was published for comment in the Federal Register on March 4, 2024. 2 The Commission received … Act  4 to determine whether to grant or deny 24X's application for registration as a national securities exchange under Section 6 of the Act (the “OIP”). 5 The Commission received comment letters

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Establish a Logon Identification Fee for Nasdaq's Mutual Fund Quotation System

Federal Register · Notice · Oct 19, 1998

The Commission, however, has decided the proposed rule should be subjected to the notice and comment period found in Section 19(b)(2) of the Act. ------------------------------------------------------- … Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule is consistent with the Act.

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Grandfathered Rules of the Exchange

Federal Register · Notice · Sep 8, 2009

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

Cross-Border Tender Offers, Business Combinations and Rights Offerings

Federal Register · Proposed Rule · Dec 15, 1998

Paperwork Reduction Act VI. Request for Comments VII. Statutory Basis of Proposals Text of Proposals I. … We request comment on whether it is necessary to require that offers commence within 30 days of announcement. Is a different time period more appropriate?

UNITED STATES OF AMERICA

Agency decision · Agency decision

The Commission received no comments on the Plan. … The class actions recovery periods were longer than, but completely subsume, the recovery periods in this action.

Self-Regulatory Organizations; The Depository Trust Company; Order Temporarily Approving a Proposed Rule Change Expanding the Money Market Instrument Settlement Program on a Pilot Basis

Federal Register · Uncategorized Document · May 3, 1994

DTC received ten comment letters. … the Act, and the rules and regulations thereunder.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust To Hold Certain Instruments in a Manner That May Not Comply With Rule 14.11(i), Managed Fund Shares

Federal Register · Notice · Jun 3, 2019

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.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Interpretation of Rules G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and G-38, on Consultants

Federal Register · Notice · Mar 11, 2004

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. … 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-MSRB-2004-01.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Requirement Applicable to Special Purpose Acquisition Companies Upon Consummation of a Business Combination Concerning Compliance With the Round Lot Shareholder Requirement

Federal Register · Notice · Nov 16, 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval to a Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1, 2, and 3

Federal Register · Notice · Jun 21, 2016

The proposed rule change was published for comment in the Federal Register on October 20, 2015. 3 On November 10, 2015, FINRA extended the time period in which the Commission must approve the … Implementation Period In response to solicitation of comments on the Amendment No. 2 Notice, 60 and similar to comments received on the Notice and the Order Instituting Proceedings, 61 one

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

Federal Register · Notice · Jun 1, 2022

about a tiered model moot. 62  For a discussion of comments on prior fee models, see, e.g., Securities Exchange Act Rel. … 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

Submission for OMB Review; Comment Request

Federal Register · Notice · Jan 6, 2009

of providing disclosure of all Funds' proxy voting records over a uniform period of time. … Comments must be submitted to OMB within 30 days of this notice. Dated: December 29, 2008. Florence E. Harmon, Acting Secretary. [FR Doc.

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until April 18, 2022

Federal Register · Notice · Mar 23, 2022

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.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend FINRA Rule 2267 (Investor Education and Protection)

Federal Register · Notice · Mar 13, 2013

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 … comments received, and any response to the comments submitted by FINRA.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rules 7.31-E and 7.35-E

Federal Register · Notice · Nov 8, 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

Joint Industry Plan; Notice of Filing of Joint Amendment No. 16 to the Intermarket Option Linkage Plan Relating to the Definition of Firm Customer Quote Size and Restrictions on Sending Certain Principal Acting as Agent Orders

Federal Register · Notice · Sep 16, 2005

with the Act. … rule-comments@sec.gov .

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy

Federal Register · Notice · May 3, 2016

The proposed rule change was published for comment in the Federal Register on March 18, 2016. 3 To date, the Commission has received 6 comment letters on the proposal. 4 1  15 U.S.C … To date, the Commission has not received any comments on the advance notice. 3  Securities Exchange Act Release No. 34-77358 (March 14, 2016), 81 FR 14921 (March 18, 2016) (File No.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Allow for the Listing and Trading of Index-Linked Exchangeable Notes

Federal Register · Notice · Mar 5, 2008

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@sec.gov .