Documents

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Establish a Pilot Program To Modify FLEX Option Exercise Settlement Values and Minimum Value Sizes

Federal Register · Notice · Feb 4, 2010

(“FLEX Options”). 3 The proposed rule change was published for comment in the Federal Register on December 24, 2009. 4 The Commission received six comments regarding the proposal. … One commenter provided background information about financial derivatives as they related to variable annuity products, 5 and five commenters supported the proposed rule change. 6 1  15

Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies

Federal Register · Proposed Rule · Aug 6, 2008

ACTION: Proposed rule; reopening of comment period. … Accordingly, we will extend the comment period until August 29, 2008. By the Commission. Dated: July 31, 2008. Florence E. Harmon, Acting Secretary. [FR Doc.

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees

Federal Register · Notice · Dec 14, 2017

See Securities Exchange Act Rel. … Act.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees

Federal Register · Notice · Dec 14, 2017

No. 80698 (May 16, 2017), 82 FR 23457 (May 22, 2017) (SR-NYSEArca-2017-52). 26  For a summary of comments, see generally Securities Exchange Act Rel. … Act.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 2 (“Member,” “Membership,” “Member Firm,” etc.)

Federal Register · Notice · Dec 19, 2007

This grace period began on October 12, 2007, the date of Commission approval of the Exchange's rule filing. … 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.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Recent Changes to Rules 4751(h) and 4754(b)

Federal Register · Notice · Jul 2, 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; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3 to a Proposed Rule Change and Order Granting Accelerated Approval to the Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Adopt Rule 4753(c) as a Six-Month Pilot in 100 NASDAQ-Listed Securities

Federal Register · Notice · Mar 17, 2011

Nasdaq responded to these comments on August 12, 2010. 5 The Commission subsequently extended the time period in which to either approve the proposed rule change, or to institute proceedings … with the Act.

Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Notification and Reporting Provisions for Exchange of Contract for Related Position Transactions and Block Trades

Federal Register · Notice · Oct 22, 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; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Procedures Followed When a Listed Company Falls Below Certain Listing Requirements

Federal Register · Notice · Sep 8, 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; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities 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. … 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; Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Consultants

Federal Register · Notice · Dec 5, 1995

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on September 28, 1995,\1\ the Municipal Securities Rulemaking Board (MSRB … The Commission requests that, in addition to any general comments concerning whether the proposed rule change is consistent with Section 15(b)(2)(C) of the Act, commentators address whether the proposed

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until June 30, 2018

Federal Register · Notice · Dec 15, 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; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Clearing Agency Risk Management Framework

Federal Register · Notice · May 14, 2024

SR-FICC-2024-006) (“Notice of Filing”). 5  Comments on the Proposed Rule Change are available at https://www.sec.gov/comments/sr-ficc-2024-006/srficc2024006.htm. … act as provided in Section 19(b)(2)(ii) of the Exchange Act. 7 Section 19(b)(2)(ii) of the Exchange Act allows the Commission to designate a longer period for review (up to 90 days from the publication

Money Market Fund Reforms

Federal Register · Proposed Rule · Feb 8, 2022

Act. … “Securities Act” means the Securities Act of 1933 [15 U.S.C. 77a-aa].

Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934

Federal Register · Proposed Rule · Jun 22, 2004

Prior to issuing an order, the Commission may also order a hearing on the matter and can impose such terms as necessary for the protection of investors. 12 After expiration of the comment period, … Act by Section 12(g)(2)(A) 77 of the Exchange Act. 76  For purposes of proposed Rule 12d2-2, the period of such suspension would include the 60 day grace period described under proposed

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 To Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month

Federal Register · Notice · Jul 18, 2011

The Exchange proposes to extend the waiver of the following installation fees during the extended period: 3   See Securities Exchange Act Release No. 64630 (June 8, 2011), 76 FR 34783 (June … 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.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PIXL and Adopt New Auctions

Federal Register · Notice · Aug 13, 2025

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 … Paper Comments • Send paper comments in triplicate to Vanessa Countryman, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the GSD Rules (i) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a

Federal Register · Notice · Apr 30, 2024

SR-FICC-2024-007) (“Notice of Filing”). 7  Comments on the Proposed Rule Change are available at https://www.sec.gov/comments/sr-ficc-2024-007/srficc2024007.htm. … act as provided in Section 19(b)(2)(ii) of the Exchange Act. 9 Section 19(b)(2)(ii) of the Exchange Act allows the Commission to designate a longer period for review (up to 90 days from the publication

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)

Federal Register · Notice · Feb 18, 2015

assessment period. 8 Most recently, on October 9, 2014, FINRA further extended the Pilot period to permit FINRA and the Commission to consider the implications of the data collected since June 30, … 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

Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC

Federal Register · Proposed Rule · Mar 8, 2011

ACTION: Proposed rule; reopening of comment period. … SUMMARY: The Securities and Exchange Commission (“Commission”) is reopening the period for public comment on proposed Regulation MC under the Securities Exchange Act of 1934 (“Exchange Act”), which is