Documents

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Adding 75 Options Classes to the Penny Pilot Program

Federal Register · Notice · May 11, 2010

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; Applications for Unlisted Trading Privileges; Notice and Opportunity for Hearing; Philadelphia Stock Exchange, Incorporated

Federal Register · Uncategorized Document · Sep 19, 1994

Par Value (File No. 7- 12917) Air Cure Environmental, Inc. Common Stock, $.001 Par Value (File No. 7-12918) Grupo Industrial Durango S.A. de C.V. … Persons desiring to make written comments should file three copies thereof with the Secretary of the Securities and Exchange Commission, 450 5th Street, N.W., Washington, DC. 20549.

Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change to the Co-location Services Offered by the Exchange (the Offering of a Wireless Connection to Allow Users to Receive Market Data Feeds from Third Party Markets) and to Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to These Services

Federal Register · Notice · Dec 30, 2015

The proposed rule change was published in the Federal Register on November 12, 2015. 4 No comment letters were received in response to the Notice. … the Act.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Shares of Funds of the Rydex ETF Trust

Federal Register · Notice · Aug 14, 2007

Existing counterparties are reviewed periodically by the Board. … The Commission is considering granting accelerated approval of the proposed rule change at the end of a 15-day comment period. 48 48  In the Exchange Notice, Amex requested accelerated approval

Generation Investment Management US LLP and Generation Investment Management LLP

Federal Register · Notice · Apr 1, 2019

Notice of application for an exemptive order under Section 206A of the Investment Advisers Act of 1940 (the “Act”) and rule 206(4)-5(e) under the Act. … Applicants: Generation Investment Management US LLP, 555 Mission Street, Suite 3400, San Francisco, CA 94105 and Generation Investment Management LLP, 20 Air Street, 7th Floor, London, UK W1B 5AN.

Review of Antimanipulation Regulation of Securities Offerings

Federal Register · Uncategorized Document · Apr 26, 1994

Following review of public comments, the Commission will determine whether rulemaking or other action is appropriate. DATES: The comment period will expire on August 12, 1994. … ;'' Securities Exchange Act Release No. 33862 (April 5, 1994), 59 FR 17125 (``Cooling-Off Periods Release''), clarifying the availability of the cooling-off periods to foreign securities

Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'')

Federal Register · Notice · Jul 31, 1997

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26745] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') July 25, 1997. … Act.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to the Listing and Trading of Shares of Funds of the ProShares Trust

Federal Register · Notice · Dec 27, 2006

The Commission is considering granting accelerated approval of the proposed rule change, as amended, at the end of a 15-day comment period. 69 69  Amex has requested accelerated approval of … this proposed rule change, as amended, prior to the 30th day after the date of publication of the notice of the filing thereof, following the conclusion of a 15-day comment period.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees

Federal Register · Notice · Oct 26, 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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

4335036, at *17 (Sept. 28, 2017). 24 McCune, 2016 WL 1039460, at *7 (finding FINRA Rule 1122 to be, and applied in a manner consistent with, the purposes of the Exchange Act) (cleaned up). 25 2011). … Release No. 59328, 2009 WL 223611, at *17 n.54 (Jan. 30, 2009) (cleaned up), aff’d, 416 F.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Federal Register · Notice · Jun 13, 2023

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 and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Add Seventy-Five Options Classes to the Penny Pilot Program

Federal Register · Notice · May 10, 2010

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 Immediate Effectiveness of a Proposed Rule Change by the NASDAQ Stock Market LLC to Add Seventy-Five Options Classes to the Penny Pilot Program

Federal Register · Notice · May 10, 2010

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; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To List and Trade Shares of Grayscale Avalanche Trust (AVAX) Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)

Federal Register · Notice · Apr 16, 2025

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.

Registered Public-Utility Holding Companies and Internationalization

Federal Register · Proposed Rule · Dec 21, 1999

The Federal Aviation Act, for example, establishes percentage limitations on board membership and voting interests in determining whether an air carrier is considered a United States citizen.14 ------- … Areas for Comment 1.

Amendments To Rules On Shareholder Proposals

Federal Register · Rule · May 28, 1998

\54\ See, e.g., Air Products and Chemicals, Inc., Dec. 22, 1997; NationsBank, Nov. 21, 1997; BRT Letter; Sullivan & Cromwell Letter. … We received no Paperwork Reduction Act comments relating to the amendments.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E

Federal Register · Notice · Feb 26, 2020

and superseded the proposed rule change as originally filed. 4 On October 10, 2019, pursuant to Section 19(b)(2) of the Exchange Act, 5 the Commission designated a longer period within which … rule-comments@sec.gov.

INITIAL DECISION RELEASE NO. 1417

Agency decision · Agency decision

On October 25, 2024, Anthony amended Epic Capital’s application again in response to a comment letter from the Commission’s Division of Examinations. Div. Exs. 3, 38; Tr. 387-89. … (cleaned up) (collecting cases)), pet. denied, 773 F.3d 89 (D.C.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Form ADV . . . signals that the Commission had to find, based on substantial evidence, that at least one of TRG’s principals subjectively intended to omit material information from TRG’s Forms ADV” (cleaned … Because Respondents did not file amended Forms TA-1 correcting their principal office address within those periods—and have never done so—they violated Rule 17Ac2-1(c).24 18 See Services at the Roxbury

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

The PCAOB examined the Fund's financials and report thereon for the period ended February 28, 2006 and issued an affirming clean report thereon. … In fact, the PCAOB examined the Fund's auditor's finanCials and report thereon for the period ended February 28, 2006 and issued an affirming clean report thereon.