Documents

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; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of Changes to the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility

Federal Register · Notice · Feb 6, 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 OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to [sic] Proposes To Delay the Operative Date of a Rule Change to Exchange Rule 133

Federal Register · Notice · Feb 11, 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; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut Facility

Federal Register · Notice · Jan 17, 2006

For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change, as amended, the Commission considers the period to commence on December 30, 2005 … the Act.

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Short Interest Reporting

Federal Register · Notice · Oct 3, 2007

Periodic Reports Member organizations shall submit, as required by the Exchange, periodic reports with respect to short positions in securities. … rule-comments@sec.gov .

Self-Regulatory Organizations; Cboe 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 List and Trade Shares of the BondBloxx Private Credit Trust

Federal Register · Notice · Jun 27, 2025

Comments on the proposal are available at: https://www.sec.gov/comments/sr-cboebzx-2024-126/srcboebzx2024126.htm. … On February 7, 2025, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or

Self-Regulatory Organizations; Cboe 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 Generic Listing and Trading of Multi-Class ETF Shares

Federal Register · Notice · Oct 30, 2024

Comments on the proposed rule change are available at: https://www.sec.gov/comments/sr-cboebzx-2024-026/srcboebzx2024026.htm. … On May 30, 2024, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility

Federal Register · Notice · Jan 8, 2009

of the pilot period coincided with the expiration of the ADF pilot period. … 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

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; Fixed Income Clearing Corporation; 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 Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges

Federal Register · Notice · Oct 20, 2020

The comment period for the advance notice, as modified by Amendment No. 1 closed on September 21, 2020, and the Commission received no comments. … the three day period.

Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Rule 11.14, Entitled “Trading Halts Due to Extraordinary Market Volatility”

Federal Register · Notice · May 24, 2010

Act. … All submissions should refer to File Number SR-EDGX-2010-01 and should be submitted on or before June 3, 2010. 7 7  The Commission believes that a 10-day comment period is reasonable, given

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Mechanism by Which It Will Collect and Pass-Through Fees Owed by Participants to American Depository Receipt Agents for Certain Issues and To Collect a Charge for This Service

Federal Register · Notice · Jun 16, 2006

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 notice is hereby given that on April 28, 2006, The Depository Trust Company (“DTC”) filed with the Securities and Exchange … 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.

Disclosure Required by Sections 404, 406 and 407 of the Sarbanes- Oxley Act of 2002

Federal Register · Proposed Rule · Oct 30, 2002

Comments also may be submitted electronically at the following e-mail address: rule- comments@sec.gov. All comment letters should refer to File No. … ------------------------------ Request for Comment &sbull; Should we propose changes to Exchange Act Rules 13a–14, 13a–15, 15d–14 and 15d–15 to require periodic evaluations of both the company's

Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program

Federal Register · Notice · Dec 19, 2016

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. … 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 of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New NYSE Arca Rule 5.3-E(p) To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation

Federal Register · Notice · Jun 15, 2023

The proposed rule change was published for comment in the Federal Register on March 13, 2023. 3 On April 24, 2023, the Commission extended the time period within which to approve the proposed … 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; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Decreasing the Exposure Period for Crossing Orders Under Chapter V, Section 17, Supplementary Material .02 and .03

Federal Register · Notice · May 31, 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. … 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

Shareholder Approval of Executive Compensation of TARP Recipients

Federal Register · Proposed Rule · Jul 8, 2009

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … If a solicitation is made by a registrant that is a TARP recipient, as defined in section 111(a)(3) of the Emergency Economic Stabilization Act of 2008 (12 U.S.C. 5221(a)(3)), during the period in

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Procyclicality Framework

Federal Register · Notice · Nov 7, 2017

, including stress periods. … 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; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 3 of NYSE Arca Equities Rule 8 To Extend the Effectiveness of the Exchange Traded Product Incentive Program

Federal Register · Notice · Aug 12, 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; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01C and 103.01B of the Exchange's Listed Company Manual To Permit the Listing of Emerging Growth Companies on the Basis of Two Years of Reported Financial Data

Federal Register · Notice · May 21, 2012

Exchange Act of 1934 (“Exchange 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