Documents

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 24, 2009

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; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Reduce the Waiting Period for the Release of Information Reported on Form U5

Federal Register · Notice · Nov 12, 2015

According to FINRA, this 15-day waiting period was established to give brokers on whose behalf the Form U5 was submitted an opportunity to comment on the disclosure event either through a Form U4, or by … submitting a comment directly to FINRA to be included on BrokerCheck. 7 6   See Notice, supra note 3, at 59216. 7   See Securities Exchange Act Release No. 55127 (January

Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Federal Register · Rule · Jan 26, 2011

Comments on the Proposed Amendments 3. Final Rule C. Disclosure Requirements for NRSROs 1. Proposed New Rule 17g-7 2. Comments on the Proposed Rule 3. Final Rule III. Transition Period IV. … Comments regarding the proposal to provide repurchase history for an initial five-year look back period were mixed.

Certain Broker-Dealers Deemed Not To Be Investment Advisers

Federal Register · Proposed Rule · Aug 20, 2004

ACTION: Proposed rule; reopening of comment period. … SUMMARY: The Securities and Exchange Commission is reopening the period for public comment on a rule proposal under the Investment Advisers Act of 1940 that would address the application of the Advisers

Regulatory Flexibility Agenda

Federal 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

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Feb 9, 2024

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 … 04/18/22 NPRM Comment Period Reopened 05/12/22 87 FR 29059 NPRM Comment Period Reopened End 06/13/22 NPRM Comment Period Reopened 05/05/23 88 FR 29448 NPRM Comment

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obvious Error Pilot Program

Federal Register · Notice · Oct 28, 2015

the pilot period for the Plan. 3  Securities Exchange Act Release Nos. 69140 (March 15, 2013), 78 FR 17255 (March 20, 2013); and 69343 (April 8, 2013), 78 FR 21982 (April 12, 2013) (SR-BX-2013- … 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; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change as Modified by Amendment No. 1 To Modify Rule 4770 To Enhance Trading in the NASDAQ Crossing Network

Federal Register · Notice · Aug 21, 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

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge

Federal Register · Notice · Mar 24, 2023

NSCC uses a look-back period of not less than ten years plus a one-year stress period, and if the one-year stress period overlaps with the look-back period, only the non-overlapping period would be combined … with the look-back period.

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Implement Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook

Federal Register · Notice · Jun 7, 2018

Separate from those comments, two commenters also raised concerns with the proposed extended look-back period. … of the Blackout Period Exposure Charge in response to commenters.

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility

Federal Register · Notice · Nov 26, 2018

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

Conformed to Federal Register version

Agency decision · Agency decision

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 Commission … , and comment period, which the commenter believes would be inappropriate and unwarranted.

Certification of Disclosure in Companies' Quarterly and Annual Reports

Federal Register · Proposed Rule · Aug 8, 2002

than August 29, 2002, require, for each company filing periodic reports under section 13(a) or 15(d) of the Exchange Act, 10 that: 10  15 U.S.C. 78m(a) or 78o(d). … Both our proposed form of certification and that required by the Act address the material accuracy and completeness of the periodic reports that they cover.

Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations

Federal Register · Rule · Apr 13, 2005

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Jonathan G. … Such contracts may also violate the antifraud provisions of the Securities Act of 1933 (Securities Act) and the Exchange Act, and Section 5 of the Securities Act.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments To Reduce the Reporting Period for Transactions in TRACE-Eligible Securities

Federal Register · Notice · Apr 29, 2004

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. … to rule-comments@sec.gov.

Self-Regulatory Organizations; NYSE MKT, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period Applicable to the Customer Best Execution Auction per Rule 971.1 NY, Until July 17, 2015

Federal Register · Notice · Apr 15, 2015

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; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 440B to Modify the Exchange's Procedures for Handling Short Sale Orders During a Period When the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO are In Effect

Federal Register · Notice · Apr 1, 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. … rule-comments@sec.gov.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change To Modify the Application of the Minimum Bid Price Compliance Periods and the Delisting Appeals Process for Bid Price Non-Compliance in Listing Rules 5810 and 5815 Under Certain Circumstances

Federal Register · Notice · Jan 23, 2025

The proposed rule change was published for comment in the Federal Register on August 23, 2024. 3 On October 3, 2024, pursuant to Section 19(b)(2) of the Exchange Act, 4 the Commission designated … While this commenter suggests an alternative that is different from Nasdaq's proposal, for the reasons discussed herein, the Commission finds that Nasdaq's proposal is consistent with these Exchange Act

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Dec 23, 2016

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 … Timetable:   Action Date FR Cite NPRM 07/24/13 78 FR 44806 NPRM Comment Period End 09/23/13 NPRM Comment Period Reopened 10/03/13 78 FR 61222 NPRM Comment

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy

Federal Register · Notice · Jan 30, 2018

in furtherance of the Act. … period prior to implementation and would continue to be subject to the Commission's rule filing process, including the notice and public comment period.