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Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Cincinnati Stock Exchange Relating to Shareholder Approval of Equity Compensation Plans
Federal Register · Notice · Nov 7, 2003
An equity compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides … . employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides to its U.S. employees, but for features necessary
68 FR 63166Securities and Exchange Commission
Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Boston Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans
Federal Register · Notice · Nov 7, 2003
An equity-compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides … . employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides to its U.S. employees, but for features necessary
68 FR 63143Securities and Exchange Commission
Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Pacific Exchange, Inc. Relating to its Shareholder Approval Policy for Its Listed Companies Regarding Stock Option Plans and Other Equity Compensation Arrangements
Federal Register · Notice · Nov 7, 2003
(iv) An equity compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company … . employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides to its U.S. employees, but for features necessary
68 FR 63173Securities and Exchange Commission
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies
Federal Register · Notice · Oct 11, 2002
Plans such as Section 401(a) plans and Section 423 plans are already regulated under the Internal Revenue Code and Treasury regulations. … Equity compensation plans that would qualify for the exception described in this paragraph but for features necessary to comply with foreign tax law in the non-U.S. jurisdiction in which the employees
67 FR 63486Securities and Exchange Commission
Submission for OMB Review; Comment Request
Federal Register · Notice · Jan 28, 2009
SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S. … Extension: Rule 15c1-6; OMB Control No. 3235-0472; SEC File No. 270-423.
74 FR 4989Securities and Exchange Commission
Submission for OMB Review; Comment Request
Federal Register · Notice · Dec 4, 2017
SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No. 3235-0472] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S.
82 FR 57320Securities and Exchange Commission
Proposed Collection; Comment Request; Extension: Rule 15c1-6
Federal Register · Notice · Jul 26, 2023
SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No. 3235-0472] Proposed Collection; Comment Request; Extension: Rule 15c1-6 Upon Written Request, Copies Available From: … U.S.
88 FR 48279Securities and Exchange Commission
Proposed Collection; Comment Request
Federal Register · Notice · Sep 12, 2017
SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. … Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 20549-2736 Extension: Rule 15c1-6, SEC File No. 270-423, OMB Control No. 3235-0472 Notice is
82 FR 42870Securities and Exchange Commission
Self-Regulatory Organizations; New York Stock Exchange, Inc. and National Association of Securities Dealers, Inc.; Order Approving NYSE and Nasdaq Proposed Rule Changes and Nasdaq Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to NYSE Amendments No. 1 and 2 and Nasdaq Amendments No. 2 and 3 Thereto Relating to Equity Compensation Plans
Federal Register · Notice · Jul 3, 2003
While section 401(a) plans and parallel excess plans are not required to be approved by shareholders, U.S. … An equity-compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides
68 FR 39995Securities and Exchange Commission
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E
Federal Register · Notice · Oct 16, 2019
See supra notes 423-425 and accompanying text. … at 43. 482 See id.
84 FR 55382Securities and Exchange Commission
Submission for OMB Review; Comment Request
Federal Register · Notice · Nov 9, 2020
SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No. 3235-0472] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S.
85 FR 71383Securities and Exchange Commission
Submission for OMB Review; Comment Request
Federal Register · Notice · Dec 5, 2014
SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No.3235-0472] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S.
79 FR 72218Securities and Exchange Commission
Submission for OMB Review; Comment Request; Extension: Rule 15c1-6
Federal Register · Notice · Sep 29, 2023
SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No. 3235-0472] Submission for OMB Review; Comment Request; Extension: Rule 15c1-6 Upon Written Request, Copies Available From … : U.S.
88 FR 67385Securities and Exchange Commission
Proposed Collection; Comment Request
Federal Register · Notice · Nov 25, 2008
SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. … Extension: Rule 15c1-6 , OMB Control No. 3235-0472, SEC File No. 270-423.
73 FR 71708Securities and Exchange Commission
Proposed Collection; Comment Request
Federal Register · Notice · Oct 20, 2011
SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. … Extension: Rule 15c1-6; SEC File No. 270-423; OMB Control No.3235-0472.
76 FR 65220Securities and Exchange Commission
Proposed Collection; Comment Request
Federal Register · Notice · Oct 2, 2014
SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. … SEC File No. 270-423, OMB Control No.3235-0472 Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (“PRA”) (44 U.S.C. 3501 et seq. ), the Securities and Exchange Commission
79 FR 59522Securities and Exchange Commission
Proposed Collection; Comment Request
Federal Register · Notice · Aug 18, 2020
SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. … Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-2736 Extension: Rule 15c1-6; SEC File No. 270-423, OMB Control No.3235-0472 Notice is hereby
85 FR 50860Securities and Exchange Commission
Submission for OMB Review; Comment Request
Federal Register · Notice · Dec 23, 2011
SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S. … Extension: Rule 15c1-6, SEC File No. 270-423, OMB Control No. 3235-0472.
76 FR 80423Securities and Exchange Commission
Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change Relating to Enhancement of the Current Link With Deutsche Borse Clearing AG
Federal Register · Notice · Nov 18, 1998
agents that are not fully subject to U.S. regulation. … referenced National Association of Securities Dealers Rule 11860, New York Stock Exchange (``NYSE'') Rule 387(a)(5), Municipal Securities Rulemaking Board Rule G- 15(d)(ii), American Stock Exchange Rule 423
63 FR 64135Securities and Exchange Commission
Regulatory Flexibility Agenda
Federal Register · Notice · Aug 14, 2026
The items listed in the Regulatory Flexibility Agenda reflect only the priorities of the Chairman of the U.S. … Title Regulation Identifier No. 481 Rule 144 Safe Harbor 3235-AM78 482 Foreign Private Issuer Eligibility Enhancements 3235-AN35 483 Crypto Assets (Reg Plan Seq No. 162
91 FR 53164Securities and Exchange Commission

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