Documents

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Closing Rotation Procedures for S&P 500 Index Options

Federal Register · Notice · Jun 5, 2014

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

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Dec 20, 2010

Period End 08/17/09 Comment Period Extended 12/18/09 74 FR 67145 Comment Period End 02/16/10 Final Action 09/16/10 … Period End 04/12/04 NPRM Comment Period Extended 03/04/05 70 FR 10521 NPRM Comment Period End 04/04/05 Next Action Undetermined Regulatory Flexibility Analysis

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendments No. 3 and No. 4, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 3 and No. 4, To Introduce Periodic Auctions for the Trading of U.S. Equity Securities

Federal Register · Notice · Apr 1, 2021

Commenters also suggest modifications to BYX's proposal that they think could be beneficial, although commenters do not raise concerns that the proposal is inconsistent with the Exchange Act if the Exchange … The same commenter suggests that Continuous Book Orders be excluded from the Periodic Auctions. 124 That commenter and another commenter also suggest making Continuous Book Order participation in

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt the Midpoint Extended Life Order

Federal Register · Notice · Nov 9, 2017

21, 2017, pursuant to Section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute … of the Act.

Short Selling in Connection With a Public Offering

Federal Register · Rule · Aug 10, 2007

Section 23(a)(2) of the Exchange Act  103 requires the Commission, in adopting rules under the Exchange Act, to consider the anticompetitive effects of any rules it adopts under the Exchange Act. … Securities Act Section 5.

Private 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?

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Modify the Procedures Followed When a Listed Company Falls Below Certain Listing Requirements

Federal Register · Notice · Feb 5, 2010

the 30-day period required to trigger non-compliance. 35   See CFA Comment Letter, supra note 5. … in filing their periodic reports. 43 The FTI Comment Letter expressed support for this portion of CTA's comment letter asserting that Nasdaq should be required to provide additional information and

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67 To Specify That D-Quote Functionality Under Rule 67(f)(5) Will Continue To Be in Effect Until Six Months After the End of the Pilot Period

Federal Register · Notice · Oct 5, 2018

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

Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports

Federal Register · Rule · Sep 16, 2002

We received responses to our proposals from 305 commenters. 26 302 commented on the acceleration of periodic report deadlines. Generally, these commenters fell into two groups. … Comments on the Proposal We received responses from 302 commenters on the proposals to accelerate periodic report deadlines. Generally, these commenters fell into two groups.

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jul 27, 2023

Period Extended End 01/13/12 NPRM Comment Period Extended 01/03/12 77 FR 24 NPRM Comment Period Extended End 02/13/12 Second NPRM 02/14/23 88 FR 9678 Second NPRM Comment … Period End 11/22/21 NPRM Comment Period Reopened 06/14/22 87 FR 35938 NPRM Comment Period End 07/14/22 Final Action 11/28/22 87 FR 73076 Final Action Effective 01

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Order Handling Period for Directed Orders From Three Seconds to One Second

Federal Register · Notice · Feb 23, 2016

The Exchange believes the proposed rule change is not unfairly discriminatory because the time period for acting upon Directed Orders would be the same for all EPs. … 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

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jan 31, 2022

Timetable:   Action Date FR Cite NPRM 05/07/15 80 FR 26329 NPRM Comment Period End 07/06/15 NPRM Comment Period Reopened 04/00/22 Regulatory Flexibility … Timetable:   Action Date FR Cite NPRM 11/10/16 81 FR 79122 NPRM Comment Period End 01/09/17 NPRM Comment Period Reopened 05/06/21 86 FR 24364 NPRM Comment

Pamela L. Marcogliese, Esq.

Agency 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.

Banco Bilbao Vizcaya Argentaria, S.A. for Series B Shares and American Depository Shares of Grupo Financiero BBVA Bancomer, S.A. de C.V.: No

Agency decision · Agency decision

of 1934 (Exchange Act). … BBVA's ordinary shares are also listed on the Buenos Aires, Frankfurt, Milan, Zurich and London Stock Exchanges.

Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers

Federal Register · Uncategorized Document · May 3, 1994

\2\A number of potential commenters have called the staff to inquire whether the Commission will extend the comment period. … However, only five of those 17 comments were received during the initial comment period; the remaining 12 comments were submitted during the subsequent 45-day extended period.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Eliminate Expired and Obsolete Pillar Port Transition Fee Pricing

Federal Register · Notice · Nov 5, 2021

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

Indexed Annuities and Certain Other Insurance Contracts

Federal Register · Proposed Rule · Oct 17, 2008

ACTION: Proposed rule; reopening of comment period. … SUMMARY: The Securities and Exchange Commission is reopening the period for public comment on new rules that it originally proposed in Securities Act Release No. 8933 (June 25, 2008) [73 FR 37752 (July

Insider Trades During Pension Fund Blackout Periods

Federal Register · Proposed Rule · Nov 15, 2002

To help us process and review your comments more efficiently, comments should be submitted by one method only. All comment letters should refer to File No. … Request for Comment • Is it necessary or appropriate to clarify in proposed Exchange Act rule 102(a) that a regularly scheduled blackout period will be considered “incorporated” into an individual account

Regulation 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.

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 3 to a Proposed Rule Change, as Previously Modified by Amendment Nos. 1 and 2, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs

Federal Register · Notice · Oct 22, 2013

of 1934 (“Exchange Act”)  1 and Rule 19b-4 thereunder. 2 The Proposed Rule Change was published for comment in the Federal Register on April 10, 2013. 3 On April 19, 2013, NSCC filed … (B) Comments on Competition NSCC believes that the revised SLD Proposal will not impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Exchange Act