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Disclosure of Order Handling Information
Federal Register · Rule · Nov 19, 2018
for orders handled during the grace period, as the grace period is not part of the Compliance Period. … of three years from the initial date of posting on the website. 448 While one commenter suggested a two-year posting period instead of a three-year period, the three-year period is consistent with
83 FR 58338Securities and Exchange CommissionAgency decision · Agency decision
(“Securities Act”). … BROMLEY FRANKFURT • COLOGNE • ROME • MILAN • HONG KONG BEIJING • BUENOS AIRES • SÅO PAULO • ABU DHABI • SEOUL LAWRENCE FRIEDMAN NICOLAS GRANAR CHRISTOPHER E. AUSTIN NANDRA L. FLOW FRANCISCO L.
Securities and Exchange CommissionConformed to Federal Register version
Agency decision · Agency decision
Four commenters stated that the comment period was inadequate and/or recommended extending the comment period. … To the extent one commenter appeared to suggest that the minimum dissemination period should be the same as the IPO “48 hour” rule of Exchange Act Rule 15c2-8,519 we do not believe a 48-hour period would
Securities and Exchange CommissionFilings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Federal Register · Notice · Jun 8, 2005
Exelon requests authority to engage in such transactions, to the extent that they are not exempt under the Act and rules under the Act, through the Authorization Period. … to retrieve these costs within nine years of enactment of the Competition Act (or an alternate period, as permitted by the PUC, upon good cause shown).
70 FR 33539Securities and Exchange CommissionSpecial Purpose Acquisition Companies, Shell Companies, and Projections
Federal Register · Rule · Feb 26, 2024
Four commenters stated that the comment period was inadequate and/or recommended extending the comment period. … To the extent one commenter appeared to suggest that the minimum dissemination period should be the same as the IPO “48 hour” rule of Exchange Act Rule 15c2-8, 519 we do not believe a 48-hour period
89 FR 14158Securities and Exchange CommissionFederal Register · Notice · Sep 13, 2023
The commenter states that Nasdaq did not describe how it determined the 5% of activity during that period to exclude from its analysis. 97 For example, the commenter states that it is not clear whether … the Act.
88 FR 62850Securities and Exchange CommissionRevisions to Rules 144 and 145
Federal Register · Rule · Dec 17, 2007
Amendments to Holding Periods for Restricted Securities 1. Six-Month Rule 144(d) Holding Period Requirement for Exchange Act Reporting Companies 2. … period requirement than the proposed six-month period, with one commenter advocating a four-month holding period and the other a three-month holding period. 49 Two commenters opposed shortening the
72 FR 71546Securities and Exchange CommissionFederal Register · Notice · Jun 2, 2008
of Title I of the Act. … rule-comments@sec.gov .
73 FR 31517Securities and Exchange CommissionFederal Register · Proposed Rule · Aug 24, 2017
Timetable: Action Date FR Cite NPRM 06/27/16 81 FR 41652 NPRM Comment Period End 08/26/16 NPRM Comment Period Extended 08/26/16 81 FR 58877 NPRM Comment … Timetable: Action Date FR Cite NPRM 08/04/16 81 FR 51607 NPRM Comment Period Extended 09/29/16 81 FR 66898 NPRM Comment Period End 10/03/16 NPRM Comment
82 FR 40451Securities and Exchange CommissionPrivate Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Federal Register · Proposed Rule · Mar 24, 2022
184 184 See, e.g., In the Matter of Clean Energy Capital LLC, Investment Advisers Act Release No. 3955 (Oct. 17, 2014) (settled action) (alleging that a private equity fund adviser … We request comments on the proposed transition period: • Do commenters agree that a one-year transition period following each rule's effective date if adopted is appropriate?
87 FR 16886Securities and Exchange CommissionFederal Register · Notice · Apr 13, 2023
The proposed rule change was published for comment in the Federal Register on January 10, 2023. 3 On February 22, 2023, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … rule-comments@sec.gov.
88 FR 22498Securities and Exchange CommissionRegulation of NMS Stock Alternative Trading Systems
Federal Register · Rule · Aug 7, 2018
We received three comments regarding the length of the Commission review period and extended review period for Form ATS-N filings. 293 One commenter states that the 120-calendar day period for the … , and comment period, which the commenter believes would be inappropriate and unwarranted.
83 FR 38768Securities and Exchange CommissionConformed to Federal Register version
Agency decision · Agency decision
If not, what grace period do commenters think would be appropriate? Would one month be sufficient in this context? … -day maximum time for Commission action after filing to approve or disapprove the filing), and a 90-day period). 583 Securities Exchange Act Release No. 95851 (Sept. 21, 2022) (Order Disapproving the
Securities and Exchange CommissionFederal Register · Notice · Oct 2, 2013
of the proposal, no commenters argued that the proposed rule change was inconsistent with the applicable provisions of the Act. … with the Act.
78 FR 60956Securities and Exchange CommissionFederal Register · Rule · Dec 28, 2011
Time Periods Covered Section 1503(a) of the Act states that each periodic report must include disclosure “for the time period covered by such report.” a. … 1503 and asserted that such a requirement would go beyond the scope of the Act. 104 Some commentators expressed concern that the requirement could lead to inquiries to reconcile period-to-period
76 FR 81762Securities and Exchange CommissionFederal Register · Notice · Jul 9, 2007
period begins. … Title I of the Act.
72 FR 37281Securities and Exchange CommissionInitial Decision Release No. 1383
Agency decision · Agency decision
) (imposing a penalty despite respondent’s clean regulatory history and the absence of unjust enrichment). 110 111 15 U.S.C. § 78u-2(c)(1). 17 indicate that Peraza’s violations were knowing or reckless … requirement of the Exchange Act.
Securities and Exchange CommissionFederal Register · Notice · Sep 25, 2002
Comments Opposing the Proposal In general, five commenters believed that a shortened response period would not allow enough time for members of the electronic trading crowd to respond to a facilitation … Three commenters provided additional comments after the filing of Amendment No. 1 to the proposal to provide for an exposure period of 10 seconds rather than five seconds. 37 Two of these commenters
67 FR 60267Securities and Exchange CommissionFederal Register · Notice · Jul 14, 2008
, or as authorized under, Title II of th[e] Act.” … of Title I of the Act.
73 FR 40418Securities and Exchange CommissionFederal Register · Proposed Rule · Nov 16, 2018
Timetable: Action Date FR Cite NPRM 06/27/16 81 FR 41652 NPRM Comment Period End 08/26/16 NPRM Comment Period Extended 08/26/16 81 FR 58877 NPRM Comment … Timetable: Action Date FR Cite NPRM 08/04/16 81 FR 51607 NPRM Comment Period Extended 09/29/16 81 FR 66898 NPRM Comment Period End 10/03/16 NPRM Comment
83 FR 58168Securities and Exchange Commission
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