Documents

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments To Conform the Board's Rules and Forms to the Dodd-Frank Act and Make Certain Updates and Clarifications

Federal Register · Notice · Feb 3, 2014

period. … Commenters indicated that certain of the proposed amendments, if adopted, would benefit from transition periods.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 2165 (Financial Exploitation of Specified Adults)

Federal Register · Notice · Jun 28, 2021

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act” or “Exchange Act”)  1 and Rule 19b-4 thereunder, 2 notice is hereby given that on June 9, 2021, the Financial Industry … NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation (NASAA Model Act). 29 28   See, e.g., comments to the Notice 20-34 Proposal from CAI, Cambridge, Commonwealth

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Brokers Executing as Principal Orders They Represent as Agent

Federal Register · Notice · Apr 13, 2006

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.

Problematic Practices Under Regulation S

Federal Register · Rule · Jul 10, 1995

Extend the Restricted Period. … Currently, the restricted period under the category 2 safe harbor 20 for offerings of securities of domestic companies that are reporting under the Securities Exchange Act of 1934 (the ``Exchange Act''

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Harmonize the Requirements of the NYSE MKT Company Guide With Respect to Periodic Reporting With Those of the NYSE

Federal Register · Notice · May 12, 2017

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; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent

Federal Register · Notice · Aug 6, 2018

Comments on the proposed rule change are available at https://www.sec.gov/comments/sr-finra-2018-015/finra2018015.htm. 5  15 U.S.C. 78s(b)(2). 6   See Securities Exchange Act … Comments on the Original Proposal are available at https://www.sec.gov/comments/sr-finra-2011-058/finra2011058.shtml. 10   See Securities Exchange Act Release No. 67208 (June 15, 2012),

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7130 (Execution and Price/Time Priority) To Adjust the NBBO Exposure Period

Federal Register · Notice · Jul 2, 2013

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; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.23, Auctions, To Lengthen the Auction Information Dissemination Periods for the Opening and Closing Auctions in BZX Listed Securities

Federal Register · Notice · Mar 8, 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

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(1)(i)(H) To Change The Required Advance Notice Period For Submitting Certain Notices to the Exchange

Federal Register · Notice · Oct 2, 2013

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; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating To Extending the Time Period by Which the Exchange Will Amend the NASD-PCX Agreement Pursuant to Rule 17d-2

Federal Register · Notice · Mar 30, 2006

This 90-day extension period expired on March 21, 2006. … the Act.

Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934

Federal Register · Uncategorized Document · Jul 7, 1994

action: Extension of comment period. ----------------------------------------------------------------------- summary: The Commission is extending the comment period from May 16, 1994 to September 16, … Conclusion The comment period for responding to Securities Exchange Act Release No. 33761 is extended until September 16, 1994. Dated: June 29, 1994. By the Commission. Jonathan G.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Exchange's Quote Lock Counting Period

Federal Register · Notice · Feb 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

Proposed Collection; Comment Request

Federal Register · Notice · Jul 11, 2000

of 1995 (44 U.S.C. 3501 et seq. ), the Securities and Exchange Commission (the “Commission” ) is soliciting comments on the collections of information under the Investment Company Act of 1940 (“Act … Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to Michael E.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change To Amend Rules 4702(b)(14) and (b)(15) To Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book

Federal Register · Notice · Apr 30, 2020

Comments on the proposed rule change can be found at: https://www.sec.gov/comments/sr-nasdaq-2020-011/srnasdaq2020011.htm. II. … expressed concern that the proposal would defeat the original intent of M-ELOs and that M-ELOs would lose a significant amount of protection as a result of the shortened Holding Period. 20 The commenter

Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 505 and Rule 506

Federal Register · Notice · Feb 18, 2016

The Registrant shall act as specialist for the options class for at least one year (“minimum specialist period”); unless some other period is defined by the Exchange pursuant to this rule. … act as a specialist in an options class (known as “alternate specialist period”).

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 14.12

Federal Register · Notice · Feb 3, 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

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt a Provision That the Exchange Will Not Review a Compliance Plan Submitted by a Listed Company That Is Below Compliance With a Continued Listing Standard if the Company Owes Any Unpaid Fees to the Exchange and Will Instead Immediately Commence Suspension and Delisting Procedures if Such Fees Are Not Paid in Full

Federal Register · Notice · Oct 16, 2024

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; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 4, 5, 6, and 7 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 8 Thereto to Amend Its Original and Continued Quantitative Listing Standards

Federal Register · Notice · Jun 20, 2005

The Commission notes that the notice and comment periods provided for this filing and the additional period of 30 trading-days from the date of Commission approval of the proposed amendments until such … No. 8, is consistent with the Act.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange Retail Liquidity Program Until September 30, 2019

Federal Register · Notice · Jul 2, 2019

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; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes

Federal Register · Notice · Mar 26, 2018

On February 8, 2018, pursuant to Section 19(b)(2)(A)(ii)(I) of the Act, 5 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether … On January 24, 2018, the Commission extended the review period of the Advance Notice for an additional 60 days pursuant to Section 806(e)(1)(H) of the Clearing Supervision Act.