Documents

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for an Additional 12 Months, To Expire on July 31, 2014

Federal Register · Notice · Aug 8, 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

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Dec 22, 2014

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 … Timetable:   Action Date FR Cite NPRM 05/06/11 76 FR 26550 NPRM Comment Period End 07/05/11 Final Action 01/08/14 79 FR 1522 Final Action Effective 07

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the Automated Improvement Mechanism and the Solicitation Auction Mechanism

Federal Register · Notice · Apr 14, 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; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Continued Listing Requirement

Federal Register · Notice · Jun 25, 2026

Comments received on the proposed rule change are available at: https://www.sec.gov/rules-regulations/public-comments/sr-nasdaq-2026-004. 4   See Securities Exchange Act Release No. 104968 … 1, is consistent with the Act.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Free Period for the Limit Up/Limit Down Band Lookup Add-On Service to TradeInfo Under Rule 7015(f)

Federal Register · Notice · Apr 30, 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; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 7400 Series

Federal Register · Notice · Sep 8, 2021

period”). … believe it would be appropriate for the 180-day period to commence prior to the October 26, 2020 compliance date. 12 12   See FINRA's Response to Comments, supra note 7.

Regulation S-AM: Limitations on Affiliate Marketing

Federal Register · Rule · Aug 11, 2009

Exchange Act of 1934 (the “Exchange Act”), 2 the Investment Company Act of 1940 (the “Investment Company Act”), 3 and the Investment Advisers Act (the “Advisers Act”). 4 1  Public … time period would be viewed as a de facto minimum even though we had stated it would not. 260 Most commenters however, objected to informing the consumer that he or she has a specific period of time

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records

Federal Register · Notice · Aug 5, 2014

NAIPFA further comments that since Exchange Act Rule 15Ba1-8 mandates a five-year retention period following a person's disassociation, it would make sense to impose a similar five-year retention requirement … Therefore, the MSRB is not proposing any revisions in response to NAIPFA's comments on the retention periods.

Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares; and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF

Federal Register · Notice · Dec 18, 2017

The proposed rule change was published for comment in the Federal Register on June 19, 2017. 3 On July 28, 2017, pursuant to Section 19(b)(2) of the Exchange Act, 4 the Commission designated … Commission initially received four comment letters on the proposed rule change. 6 On September 13, 2017, the Commission instituted proceedings under Section 19(b)(2)(B) of the Exchange Act  7

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports)

Federal Register · Notice · Aug 22, 2019

The proposed rule change was published for comment in the Federal Register on July 8, 2019. 4 The public comment period closed on July 29, 2019. … Under Rule 2241, quiet periods for both research reports and public appearances are the same, and FINRA believes elimination of both quiet periods would advance the policy objectives of the FAIR Act.

Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act

Federal Register · Proposed Rule · Apr 20, 2009

ACTION: Proposed rule; reopening of comment period. … of 2006 (the “Act”), enacted on October 13, 2006. 2 The proposal was published on March 29, 2007, and the comment period closed on May 29, 2007.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) To Reduce the 15-Minute TRACE Reporting Timeframe to One Minute

Federal Register · Notice · Apr 26, 2024

Some comments address the proposed implementation period. … Several commenters question the proposed rule's consistency with the Exchange Act.

OTC Derivatives Dealers, Net Capital Rule

Federal Register · Proposed Rule · Mar 6, 1998

'') is extending the comment periods for two releases proposing rules and rule amendments under the Securities Exchange Act of 1934 (Release Nos. 34- 39454 and 34-39455) and one concept release (Release … Therefore, the comment period for Release No. 34- 39454 (OTC Derivatives Dealers) is extended from March 2, 1998 to April 6, 1998, and the comment periods for Release Nos. 34-39455 (Net Capital Rule--Interest

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Relating to Market Maker Incentive Programs for Certain Exchange-Traded Products

Federal Register · Notice · Jul 17, 2012

192 In addition, this commenter suggests that NASDAQ provide the Commission with detailed reporting of all trades and quotes in all securities for a pre-event period and a post-event period (with … of the Act.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Automated Improvement Mechanism

Federal Register · Notice · Jul 19, 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; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility

Federal Register · Notice · Oct 21, 2019

the Act. … Instead, it removes one aspect of the proposed rule change that does not alter remaining aspects of the proposal, which was subject to a full notice and comment period during which no comments were

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Federal Register · Notice · May 12, 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

Rules of PracticeExtension of Comment Period

Federal Register · Uncategorized Document · Jan 11, 1994

, 1994 to February 4, 1994 the comment period for Securities Exchange Act Release No. 34-33163 (58 FR 61732 [Nov. 22, 1993]), which proposed comprehensive revisions to the Commission's Rules of Practice … comment period is appropriate.

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 7400 Series

Federal Register · Notice · Sep 20, 2021

period”). … believe it would be appropriate for the 180-day period to commence prior to the October 26, 2020 compliance date. 13 13   See FINRA's Response to Comments, supra note 8.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 6.7400-E Series

Federal Register · Notice · Sep 20, 2021

period”). … believe it would be appropriate for the 180-day period to commence prior to the October 26, 2020 compliance date. 13 13   See FINRA's Response to Comments, supra note 8.