Documents
Briefs, oral arguments, agency decisions and the Federal Register.
10,000+ results
0.10s
Federal Register · Notice · Oct 29, 2019
Extension of Time Period for Commission Action LCH SA does not consent to the extension of the time period listed in Section 19(b)(2) of the Securities Exchange Act of 1934 for Commission action. … 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
84 FR 57897Securities and Exchange CommissionFederal Register · Notice · Oct 19, 2006
period and Commission approval. … 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.
71 FR 61811Securities and Exchange CommissionFederal Register · Notice · Sep 29, 1998
SR-MSRB-97-15 (hereafter referred to as ``Amendment No. 1''), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder.\2\ Amendment No. 1 is described … Act.
63 FR 51976Securities and Exchange CommissionFederal Register · Notice · Feb 28, 2002
Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants or Others The Exchange neither solicited nor received written comments on the proposed … 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.
67 FR 9341Securities and Exchange CommissionFederal Register · Notice · Nov 9, 2004
The fee was established for a pilot period, which will expire on October 31, 2004. … NASD is not proposing to revise the fee during the extended pilot period.
69 FR 65005Securities and Exchange CommissionFederal Register · Notice · Sep 26, 2012
(the “Dodd-Frank Act”). … 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.
77 FR 59231Securities and Exchange CommissionFederal Register · Notice · Sep 24, 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. … rule-comments@sec.gov .
78 FR 58585Securities and Exchange CommissionFederal Register · Notice · Sep 24, 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. … rule-comments@sec.gov .
78 FR 58587Securities and Exchange CommissionFederal Register · Notice · Mar 8, 2006
The 90-day implementation period ended on February 16, 2006. 8 In addition, the PAR Official Rule Change exempted DPM organizations for the same period of time from complying with the seat ownership … the Act.
71 FR 11691Securities and Exchange CommissionFederal Register · Notice · Jan 23, 2006
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 .
71 FR 3569Securities and Exchange CommissionFederal Register · Notice · Mar 7, 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.
72 FR 10265Securities and Exchange CommissionFederal Register · Notice · Jul 6, 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
70 FR 38990Securities and Exchange CommissionFederal Register · Notice · Nov 6, 2007
(2) Formula In computing a period of time under the Rule 1010 Series, the day of the act, event, default, or lapse from which the period of time designated begins to run shall not be included. … rule-comments@sec.gov.
72 FR 62709Securities and Exchange CommissionFederal Register · Notice · Oct 29, 2014
in the Federal Register on February 26, 2014. 4 The Commission received one comment letter on the proposed rule change during the initial comment period. 5 1 15 U.S.C. 78s(b)(1). … On April 7, 2014, pursuant to Section 19(b)(2) of the Exchange Act, 6 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change
79 FR 64436Securities and Exchange CommissionFederal Register · Notice · Mar 28, 2001
Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received. III. … 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.
66 FR 16964Securities and Exchange CommissionAgency decision · Agency decision
All persons who desire to comment on the Proposed Plan may submit their comments, in writing, no later than thirty (30) days from the date of this Notice: 1. … by using the Commission’s Internet comment form (http://www.sec.gov/litigation/admin.shtml); or 3. by sending an e-mail to rule-comments@sec.gov.
Securities and Exchange CommissionProposed Collection; Comment Request
Federal Register · Notice · Feb 15, 2019
and Exchange Commission (the “Commission”) is soliciting comments on the collection of information summarized below. … Please direct your written comments to Charles Riddle, Acting Director/Chief Information Officer, Securities and Exchange Commission, C/O Candace Kenner, 100 F Street NE, Washington, DC 20549; or send
84 FR 4549Securities and Exchange CommissionFederal Register · Notice · Dec 27, 2022
DTC filed the proposed rule change pursuant to section 19(b)(3)(A) of the Act 3 and Rule 19b-4(f)(4) thereunder. 4 The Commission is publishing this notice to solicit comments on the proposed … 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
87 FR 79388Securities and Exchange CommissionImproper Influence on Conduct of Audits
Federal Register · Rule · May 28, 2003
audit or non-audit contracts for services. 53 These commenters indicated that section 206 of the Act, which requires a one-year “cooling off” period from the time certain officers of the issuer last … ” to be: “The period of the engagement to audit or review the audit client's financial statements or to prepare a report filed with the Commission,” and states: “(A) The professional engagement period
68 FR 31820Securities and Exchange CommissionFederal Register · Uncategorized Document · Mar 29, 1994
Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received with respect of the proposed … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The Exchange has neither solicited nor received comments on the proposed
Securities and Exchange Commission
Ask Donna what matters in the record.
She can read the source against your case and show you exactly where the answer came from.