Documents

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Related to Processing of Auction Responses and Length of Auction Timers

Federal Register · Notice · Jan 5, 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

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; Notice of Filing of Proposed Rule Change To Amend Rule 4120

Federal Register · Notice · Feb 11, 2016

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

Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information

Federal Register · Rule · Jan 11, 2021

Several commenters asked the Commission to clarify the period over which the changes in estimates should be described ( i.e., most recent period or all periods presented, including interim periods). … Comment letters related to the Request for Comment on Earnings Releases and Quarterly Reports are available at https://www.sec.gov/comments/s7-26-18/s72618.htm. V. Paperwork Reduction Act A.

Delayed Pricing for Certain Registrants

Federal Register · Proposed Rule · Feb 28, 1997

reports for this period. … month period.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Periods

Federal 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.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Trade Options on S&P 500 Annual Dividend Index With an Applied Scaling Factor of 1

Federal Register · Notice · May 10, 2010

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 e-mail to rule-comments

Rules of Practice Governing Disapproval Proceedings for SRO Proposed Rule

Agency decision · Agency decision

(c) Conduct of hearings. (1) Initial comment period in writing. … (ii) At the end of the initial comment period, the NMS plan participants will be given an opportunity to respond to any comments received.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit a Longer Period of Time for Companies To Regain Compliance With the Bid Price and Market Value of Publicly Held Shares Continued Listing Requirements by Tolling the Compliance Periods Through and Including June 30, 2020

Federal Register · Notice · Apr 23, 2020

Nasdaq has filed this proposal under Exchange Act Rule 19b-4(f)(6)  3 and requests that the Commission waive the 30-day operative delay period contained in Exchange Act Rule 19b-4(f)(6)(iii). 4 … 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; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Price Improvement Mechanism Pilot Program

Federal Register · Notice · Jul 26, 2011

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 e-mail to rule-comments

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Price Improvement Mechanism Pilot Program

Federal Register · Notice · Jul 28, 2008

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 e-mail to rule-comments

Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings

Federal Register · Proposed Rule · Jun 1, 2011

Uniform Look-Back Periods IV. General Request for Comment V. … Request for Comment (15) We note that certain regulatory orders and bars are required to have a ten-year look-back period under Section 926(2)(a)(ii) of the Dodd-Frank Act (discussed below).

Insider Trading Arrangements and Related Disclosures

Federal Register · Rule · Dec 29, 2022

The comment period closed on Apr. 1, 2022. We have considered all comments received since Dec. 15, 2021, and do not believe an extension of the comment period was necessary. … Many commenters opposed a cooling-off period for issuers, 71 largely due to issuers' use of Rule 10b5-1 plans in connection with share repurchase plans under Exchange Act Rule 10b-18. 72 One

Public Company Accounting Oversight Board; Notice of Filing of Proposed Changes Regarding Ethics and Independence Rule 3526, Communication With Audit Committees Concerning Independence, Amendment to Interim Independence Standards, and Amendment to Rule 3523, Tax Services for Persons in Financial Reporting Oversight Roles

Federal Register · Notice · Jul 14, 2008

, or as authorized under, Title II of th[e] Act.” … of Title I of the Act.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Regarding Ports

Federal Register · Notice · Jun 28, 2021

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 … All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions.

Conformed to Federal Register version

Agency decision · Agency decision

The comment period closed on Apr. 1, 2022. We have considered all comments received since Dec. 15, 2021, and do not believe an extension of the comment period was necessary. … period for issuers,71 largely due to issuers’ use of Rule 10b5-1 plans in connection with share repurchase plans under Exchange Act Rule 10b18.72 One of these commenters stated that Rule 10b5-1 plans

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations)

Federal Register · Notice · Apr 5, 2013

Any fine imposed pursuant to this Rule that (i) does not exceed $2,500 and (ii) is not contested, shall be reported on a periodic basis, except as may otherwise be required by Rule 19d-1 under 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

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; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ OMX PHLX, Inc. Relating to the Phlx XL Risk Monitor Mechanism

Federal Register · Notice · Oct 6, 2008

The specified time period may not exceed 15 seconds; Phlx XL participants may, however, set the specified time period for less than 15 seconds. 9   See Securities Exchange Act Release No. 53166 … 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 e-mail to rule-comments

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Innovator MSCI EAFE Power Buffer ETFs and Innovator MSCI Emerging Markets Power Buffer ETFs, Series of the Innovator ETFs Trust, Under NYSE Arca Rule 8.600-E

Federal Register · Notice · Nov 6, 2019

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