Documents

Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships

Federal Register · Proposed Rule · May 8, 2018

Solicitation of Comment VII. Small Business Regulatory Enforcement Fairness Act VIII. Statutory Basis I. Background A. … Act and periodic reports, proxy and information statements, or other reports under the Exchange Act or the Investment Company Act, as well as smaller registered investment advisers and smaller accounting

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Section X of the ISE Fee Schedule

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; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule

Federal Register · Notice · May 19, 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; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGX Exchange, Inc.

Federal Register · Notice · Jun 6, 2017

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 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

Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.

Federal Register · Notice · Jun 6, 2017

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 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

OTC Derivatives Dealers

Federal Register · Rule · Nov 3, 1998

In response to comments raised by the SIA,\81\ the final rule also distinguishes between government securities forwards and other securities forwards with respect to duration periods. … No small entities, as defined in Rule 0-10 under the Exchange Act, submitted comments addressing this issue.

Self-Regulatory Organizations; Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 to a Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Definition of Volatile Days in the Specialist Capital Utilization Measure

Federal Register · Notice · Jul 7, 1999

These two percentages are calculated separately for base periods (i.e., non- volatile periods) and volatile periods, so that the performance of a unit relative to other units can be compared as to volatile … 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

Solicitations of Interest Prior to a Registered Public Offering

Federal Register · Proposed Rule · Feb 28, 2019

Request for Comment IV. Paperwork Reduction Act V. Small Business Regulatory Enforcement Fairness Act VI. Initial Regulatory Flexibility Act Analysis A. … Res. 795, 795-836 (2017) (“CHM Study”), at 828 (using a three-year period post-JOBS Act and finding that “with few exceptions, the equity-market conditions of our post-Act sample period have been generally

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.16 With Respect to Its Risk Monitor Mechanism, To Provide Members With Additional Flexibility in Establishing How Their Trading Activity Counts Towards Certain Risk Parameters

Federal Register · Notice · Jan 28, 2026

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

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34(c) With Respect to Its Risk Monitor Mechanism, To Provide Trading Permit Holders (“TPHs”) With Additional Flexibility in Establishing How Their Trading Activity Counts Towards Certain Risk Parameters

Federal Register · Notice · Jan 28, 2026

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

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.16 With Respect to Its Risk Monitor Mechanism, To Provide Members With Additional Flexibility in Establishing How Their Trading Activity Counts Towards Certain Risk Parameters

Federal Register · Notice · Jan 27, 2026

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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

During the exposure period, all Users may submit responses to the exposure message. … 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 · Mar 10, 2020

is a similar recordkeeping retention period as imposed on all advisers under rule 204-2 of the Advisers Act. … Responses generally are kept confidential pursuant to section 210(b) of the Advisers Act. 7 Written comments are invited on: (a) Whether the collection of information is necessary for the proper performance

Proposed Collection; Comment Request

Federal Register · Notice · Mar 2, 2017

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; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the Examination Specifications and Study Outline for the Direct Participation Programs Limited Principal (Series 39) Examination

Federal Register · Uncategorized Document · Aug 18, 1994

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on July 26, 1994, the National Association of Securities Dealers, Inc. … (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. III.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No.1 Thereto by the Chicago Board Options Exchange, Incorporated Relating to Calendar Year 2004 Fees

Federal Register · Notice · Jan 29, 2004

period to have begun on January 16, 2004, the date the CBOE submitted Amendment No. 1. … the Act.

Submission for OMB Review; Comment Request

Federal Register · Notice · Jun 9, 2010

The Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. (the “Act”) sets forth a regulatory scheme for national securities exchanges. … exchange was continuing to operate in compliance with the Act.

Submission for OMB Review; Comment Request

Federal Register · Notice · Jul 14, 2004

The Securities Exchange Act of 1934 (“Act”) sets forth a regulatory scheme for national securities exchanges. … periodic updates of certain information provided in the initial Form 1, whether such information has changed or not.

Self-Regulatory Organizations; Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. to the Corporate Financing Rule at Article III, Section 44 of the Rules of Fair Practice Regarding Rights of First Refusal

Federal Register · Notice · Jul 19, 1995

One commenter suggested that offerings that meet the definition of ``small business issuer'' under Regulation S-B of the Securities Act of 1933 (the ``Securities Act'') and offerings conducted under Regulation … period should begin anew as vis-a-vis the spinoff.

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Boston Stock Exchange, Inc. to Amend Chapter XXVII, Section 10 of the Rules of the Board of Governors By Adding Requirements Concerning Corporate Governance Standards of Exchange-Listed Companies

Federal Register · Notice · Jul 9, 2004

This transition period is not intended to supplant any applicable requirements of Rule 10A-3 under the Act. … rule-comments@sec.gov.