Documents

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Agreement for Clearing and Settlement Services Between The Options Clearing Corporation and Small Exchange, Inc.

Federal Register · Notice · Dec 23, 2019

in furtherance of the purposes of the Act. … Act.

Self-Regulatory Organizations; American Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 to Proposed Rule Change Relating to Priority of Agency Orders to Cross Blocks of 25,000 Shares or More Under Rule 126(g), Commentary .01 and .02.

Federal Register · Uncategorized Document · May 26, 1994

The Commission received no comment letters. This order approves the proposed rule change, including Amendment No. 1. II. … \14\See Securities Exchange Act Release No. 31343 (October 21, 1992), 57 FR 48645 (October 27, 1992) (File No. SR-NYSE-90-39) (``NYSE Clean Cross Order'').

Ampco-Pittsburgh Corporation: No Action, Interpretive and/or Exemptive Letter of January 22, 2004

Agency decision · Agency decision

The Air and Liquid Processing segment consists of: Aerofin Corporation, which produces heat exchange coils; Buffalo Air Handling, which produces air handling systems; and Buffalo Pumps, Inc., which produces … Skov at 412.355.8983 with your questions, comments or requests for additional information.

Self-Regulatory Organizations; LCH SA; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the CDS Select Membership Model

Federal Register · Notice · Jun 27, 2024

conforming, clarifying and clean-up changes to implement a new model of CDSClear select membership. … On May 9, 2024, pursuant to section 19(b)(2) of the Exchange Act, 4 the Commission designated a longer period within which to approve, disapprove, or institute proceedings to determine whether to

Self-Regulatory Organizations; Order Granting Accelerated Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Initial Fees and Continuing Annual Fees for Domestic and Non-U.S. Issuers, Technical Original Listing Fees, and Supplemental Listing Applications Fees

Federal Register · Notice · Jan 10, 2003

The 15-day comment period expired on December 31, 2002. 5   See Letter from Darla Stuckey, Corporate Secretary, NYSE, to Nancy Sanow, Assistant Director, Division of Market Regulation, Commission … Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning Amendment No. 1, including whether the proposed amendment is consistent with the Act.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 4121

Federal Register · Notice · Oct 29, 2019

, or (ii) all market orders will not be executed in the cross. 5  The Exchange also proposes a number of formatting clean-ups in Nasdaq Rule 4121. … 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

In the Matter of Encore Clean Energy, Inc., Energy & Engine Technology Corp., Equity Media Holdings Corporation, eTotalSource, Inc., Extensions, Inc., Firepond, Inc., and GNC Energy Corporation; Order of Suspension of Trading

Federal Register · Notice · Dec 4, 2012

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Encore Clean Energy, Inc. because it has not filed any periodic … Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

(cleaned up)); Lopez v. … 13 (Jan. 9, 2015) (cleaned up), petition denied, 641 F.

Self-Regulatory Organizations; Notice of Filing of Amendment Nos. 2 and 3 to a Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Enhancements to the Exchange's Existing Automatic Execution Facility Pilot (NYSE Direct+)

Federal Register · Notice · Nov 22, 2004

Federal Register on August 16, 2004. 6 On August 26, 2004, the Commission extended the public comment period with respect to the Notice to September 22, 2004. 7 The Commission received 15 … 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!

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of Fees for New Optional Means for Clients To Receive BX TotalView ITCH Market Data

Federal Register · Notice · Mar 5, 2014

These fees are subject to a 30-day testing period during which otherwise applicable fees are waived, and a one-year minimum purchase period. … Wireless connectivity involves the beaming of signals through the air between towers that are within sight of one another.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rule 6.53(u), Relating to Qualified Contingent Cross Orders

Federal Register · Notice · Jul 15, 2013

period for Commission action on the proposal to July 15, 2013. 6 The Commission received no comments regarding the proposal, as amended. … above, QCC Orders provide assurance to the parties to a stock-option qualified contingent trade that their hedge will be maintained by allowing the options component of the order to be executed as a clean

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Inc., Relating To Crossing Orders of 25,000 Shares or More

Federal Register · Notice · Dec 15, 1998

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'' or ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on November 5, 1998, the Chicago Stock Exchange … Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposal is consistent with the Act.

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to the ICC Clearing Rules

Federal Register · Notice · Apr 20, 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

In the Matter of: Acclaim Entertainment, Inc., Benguet Corp., Clean Systems Technology Group, Ltd., Family Golf Centers, Inc., Graham-Field Health Products, Inc., Lechters, Inc., Symbiat, Inc., Texfi Industries, Inc., and Value Holdings, Inc. (n/k/a Galea Life Sciences, Inc.); Order of Suspension of Trading

Federal Register · Notice · Jun 25, 2008

SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] In the Matter of: Acclaim Entertainment, Inc., Benguet Corp., Clean Systems Technology Group, Ltd., Family Golf Centers, Inc., Graham-Field Health … Therefore, it is ordered, pursuant to section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m.

Self-Regulatory Organizations; National Stock Exchange; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Its Trading Rules To Provide for a Strict Price-Time Priority Market and Other Related Changes

Federal Register · Notice · Jul 6, 2006

(d) Clean Cross. … 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

Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)

Federal Register · Notice · Oct 23, 2000

and rule 54 under the Act to a declaration previously filed under the Act. … and rule 54 under the Act to its declaration previously filed under the Act.

Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)

Federal Register · Notice · Dec 22, 2004

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27926] Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) December 17, 2004. … Notice is hereby given that the following filing(s) has/have been made with the Commission pursuant to provisions of the Act and rules promulgated under the Act.

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to CDS Clearing Supplement To Reflect the ISDA NTCE Protocol and Supplement

Federal Register · Notice · Dec 9, 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; NYSE MKT LLC; Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to These Services

Federal Register · Notice · Nov 12, 2015

Wireless connections involve beaming signals through the air between antennas that are within sight of one another. … 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

In the Matter of Act Clean Technologies, Inc.; Order of Suspension of Trading

Federal Register · Notice · May 27, 2010

SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] In the Matter of Act Clean Technologies, Inc.; Order of Suspension of Trading May 25, 2010. … Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the above-listed company is suspended for the period from 9:30 a.m.