Documents

Proposed Collection; Comment Request; Extension: Rule 203A-2(e)

Federal Register · Notice · Jan 18, 2023

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq. ) (“PRA”), the Securities and Exchange Commission (“Commission”) is soliciting comments on the collections … is a similar recordkeeping retention period as imposed on all advisers under rule 204-2 of the Advisers Act.

Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of a Proposed Rule Change to Amend the Participants Fund Formula for Continuous Net Settlement Participants

Federal Register · Notice · Dec 27, 1996

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on August 21, 1996, the Stock Clearing Corporation of Philadelphia (``SCCP'') filed with the … (C) 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 with respect

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Modify the DTC Settlement Service Guide

Federal Register · Notice · Dec 28, 2023

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 December 20, 2023, The Depository Trust Company (“DTC … 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.

Proposed Collection; Comment Request

Federal Register · Notice · Feb 17, 2016

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq. ), the Securities and Exchange Commission (the “Commission”) is soliciting comments on the collection … business development company (“BDC”) under the Investment Company Act, so long as the aggregate offering price of all securities of the issuer that may be sold within a 12-month period does not exceed

Proposed Collection; Comment Request

Federal Register · Notice · Apr 29, 2010

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq. ), the Securities and Exchange Commission (the “Commission”) is soliciting comments on the collection … under the Securities Act of 1933 (“Securities Act”) (15 U.S.C. 77a et seq. ), so long as the aggregate offering price of all securities of the issuer that may be sold within a 12-month period does

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System

Federal Register · Notice · Jun 8, 2015

Pursuant to Section 19(b)(1)  1 of the Securities Exchange Act of 1934 (“Act”) and Rule 19b-4  2 thereunder, notice is hereby given that on May 27, 2015, The Depository Trust Company (“DTC”) … 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 Organization; Municipal Securities Rulemaking Board

Federal Register · Uncategorized Document · Apr 13, 1994

The Commission published notice to the proposal in the Federal Register on January 21, 1994.\2\ On February 4, 1994, the Commission extended the comment period for the proposal by 30 days, to March 11, … The amendments, in conjunction with the proposal's notice and comment period, will provide municipal securities dealers sufficient time to adopt and implement procedures to comply with the proposal.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC To Amend ISE Rule 2128 Relating to Clearly Erroneous Trades

Federal Register · Notice · Feb 8, 2013

(Extending the pilot period to April 11, 2011). 5   See Securities and Exchange Act Release No. 64231 (April 7, 2011), 76 FR 20733 (April 13, 2011) (SR-ISE-2011-19). 6   See Securities … 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 Approving Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Require an NASD Market Participant To Provide Written Notice Before Denying Any NASD Member Direct Electronic Access to Its Quote in the ADF

Federal Register · Notice · Aug 24, 2004

The 14-day period would begin on the first business day that ADF Market Operations has receipt of the notice. … The Commission notes that the proposed rule change and Amendment No. 1 thereto were noticed for the full comment period and that no comments were received.

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt the Clearing Agency Framework for Certain Requirements on Governance and Conflicts of Interest

Federal Register · Notice · Oct 21, 2024

act as provided in Section 19(b)(2)(ii) of the Exchange Act. 6 Section 19(b)(2)(ii) of the Exchange Act allows the Commission to designate a longer period for review (up to 90 days from the publication … To provide the Commission with sufficient time to consider the Proposed Rule Change, the Commission finds that it is appropriate to designate a longer period within which to act on the Proposed Rule Change

UNITED STATES OF AMERICA

Agency decision · Agency decision

NOTICE AND COMMENT PERIOD 101. … an email to rule-comments@sec.gov.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 3100, 3301A and 3301B

Federal Register · Notice · Sep 20, 2022

by posting advance notice of the applicable time period on its website). … 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; C2 Options Exchange, Incorporated; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Price Protection Mechanisms for Quotes and Orders

Federal Register · Notice · Jan 27, 2016

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether Amendment No. 2 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; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Establish a Regulatory Fee and To Increase Market Data Revenue Sharing

Federal Register · Notice · May 17, 2002

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 proposal is consistent with the Act.

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy

Federal Register · Notice · Jan 31, 2020

, or advance notice 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; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing of Units of the United States Short Oil Fund

Federal Register · Notice · Dec 1, 2008

The Commission has determined that a 15-day comment period is appropriate in this case. IV. … rule-comments@sec.gov.

Self Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Boston Stock Exchange, Inc. To Establish a Six-Month Pilot for Market Opening Procedures of the Boston Options Exchange

Federal Register · Notice · Feb 12, 2004

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-BSE-2004-05.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

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 (https://www.sec.gov/rules/sro.shtml); or • Send an email to rule-comments

Proposed Collection; Comment Request

Federal Register · Notice · Oct 23, 2009

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520), the Securities and Exchange Commission (the “Commission”) is soliciting comments on the collection of … The Commission periodically inspects the operations of all funds to ensure their compliance with the provisions of the Act and the rules under the Act.

Proposed Rules for Nationally Recognized Statistical Rating Organizations

Federal Register · Proposed Rule · Jun 25, 2008

periods in specific years so that the performance statistics generated by the NRSROs cover comparable time periods. … Act. 138 For example, the 1 year period would provide users with information about how the credit ratings are currently performing.