Documents

Certification of Disclosure in Companies' Quarterly and Annual Reports

Federal Register · Proposed Rule · Jun 20, 2002

Comments also may be submitted electronically at the following electronic mail address: rule-comments@sec.gov. All comment letters should refer to File No. … (that is, companies that have been subject to the reporting requirements of the Exchange Act for an extended period of time) to incorporate information from their Exchange Act reports into their registration

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reducing From 10 Days to Five Days the Shareholder Notification Period That Is a Condition to a Waiver of the NYSE's Shareholder Approval Requirements Pursuant to Section 312.05 of the Exchange's Listed Company Manual

Federal Register · Notice · Aug 10, 2012

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

Anti-manipulation Rules Concerning Securities Offerings

Federal Register · Rule · Jan 3, 1997

Commenters generally supported shortening the restricted periods, and favored the one and five business days periods keyed off the offering's pricing. -------------------------------------------------- … Many commenters questioned the application of Rule 101's restricted periods to mergers, acquisitions, and exchange offers.

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jun 18, 2015

Startups Act The Commission invites public comment on the agenda and on the individual agenda entries. … 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; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 Concerning Drill-Through Protection and Fat Finger Check

Federal Register · Notice · Oct 13, 2022

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 To Shorten the Time Period Before a Letter of Acceptance, Waiver, and Consent Under Rule 9216 and an Uncontested Offer of Settlement Under Rule 9270(f)

Federal Register · Notice · Nov 25, 2020

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

Matria Healthcare, Inc.: No Action, Interpretive and/or Exemptive Letter of February 10, 2005

Agency decision · Agency decision

periods for Holdings Common Stock pursuant to Rule 144(d) under the Securities Act. … Air, Inc. (Available July 1, 1982); The Limited Stores, Inc. (available May 12, 1982); and Anheuser Busch, Incorporated (available April 16, 1979).

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Apr 26, 2010

Period End 04/27/98 Second NPRM 03/08/99 64 FR 11124 Second NPRM Comment Period End 04/07/99 Second NPRM Comment Period Extended … 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

Short Selling in Connection With a Public Offering

Federal Register · Proposed Rule · Dec 13, 2006

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Nancy M. … Exchange Act Release No. 26028 (Aug. 31, 1988), 53 FR 33455 (Aug. 31, 1988). The Commission proposed the rule for public comment in 1987.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New Section 303A.14 of the NYSE Listed Company Manual To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation

Federal Register · Notice · Jun 14, 2023

Comments received on the proposed rule change are available at: https://www.sec.gov/comments/sr-nyse-2023-12/srnyse202312.htm. 4   See Securities Exchange Act Release No. 97354, 88 FR 26371 … 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

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Eligible Members Another Opportunity To Elect To Participate in the Maintaining Qualifications Program

Federal Register · Notice · Sep 29, 2023

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

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified and Superseded by Amendment No. 1, To Amend Rule 4.21 (Series of FLEX Options)

Federal Register · Notice · Jul 21, 2026

The proposed rule change was published for comment in the Federal Register on April 22, 2026. 3 On June 2, 2026, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … 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

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Bid Price Compliance Periods and Market Value of Publicly Held Shares Requirements

Federal Register · Notice · Oct 21, 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. … 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; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend MIAX Options Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism

Federal Register · Notice · May 5, 2017

mechanisms, the Securities and Exchange Commission (“SEC”) concluded that reducing the time periods was consistent with the Securities Exchange Act of 1934 (the “Act”). 7 3  The term “Member … The Commission notes that CBOE's proposed rule change to amend its auction response period was published in the Federal Register on April 14, 2017 and is subject to a public comment period expiring

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jan 12, 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

Self-Regulatory Organizations; New York Stock Exchange 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 Section 802.01C of the NYSE Listed Company Manual

Federal Register · Notice · Mar 20, 2026

the original proposed rule change in its entirety. 4 On January 28, 2026, pursuant to Section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to take action on … 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

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Establish the “Midpoint Extended Life Order + Continuous Book” as a New Order Type

Federal Register · Notice · Sep 17, 2019

consistent with the Act. … period during which no comments were received.

Insider Trades During Pension Fund Blackout Periods

Federal Register · Rule · Jan 28, 2003

Several commenters opposed expanding the definition of the term “blackout period” to encompass periods of three business days or less. … consistent with the rules under Section 306(b) of the Act adopted by the Department of Labor (the “DOL Rules”), so that issuers are not subject to different blackout period rules. 93 Two commenters

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Rule 4753(c)

Federal Register · Notice · Aug 26, 2011

At the conclusion of the Display Only Period, the queued orders are executed at a single price, pursuant to NASDAQ's Halt Cross mechanism. 5 3   See Securities Exchange Act Release No. 64071 … to submit comments on the Plan ended on June 22, 2011, and the Commission stated that it will determine whether to approve it shortly after the expiration of the comment period. 10 The SROs propose

Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of a Proposed Rule Change Amending Rule 476A-Imposition of Fines for Minor Violations of Rules

Federal Register · Notice · Aug 26, 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