Documents

Transaction Fee Pilot for NMS Stocks

Federal Register · Rule · Feb 20, 2019

Two commenters supported the proposed six-month pre-Pilot and post-Pilot data collection periods. 337 In contrast, two commenters suggested adopting three-month long pre-Pilot and post-Pilot Periods … Act.

Modernization of Rules and Forms for Compensatory Securities Offerings and Sales

Federal Register · Proposed Rule · Dec 11, 2020

SUMMARY: The Securities and Exchange Commission (“Commission”) is proposing for public comment amendments to Rule 701 under the Securities Act of 1933 (the “Securities Act”), which provides an exemption … Request for Comments VIII. Small Business Regulatory Enforcement Fairness Act IX. Statutory Authority I.

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend LTSE Rule 14.501 To Specify the Process for Enforcing Compliance With LTSE Rule 14.425 for Listed Companies

Federal Register · Notice · Feb 4, 2021

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 Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook, as Modified by Amendment No. 1

Federal Register · Notice · Dec 30, 2013

The comment period ended on July 29, 2013 and the Commission received the 17 individual comment letters listed above as well as 560 comments using a form comment letter. 15 A few commenters generally … One commenter to the Proposing Release requested that FINRA expand the record retention period in proposed FINRA Rule 3110.09 to six years to match the record retention period in Exchange Act Rule 17a-

Joint Industry Plan; Order Approving the Eighteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.

Federal Register · Notice · Apr 17, 2019

Summary of Comments Received The Commission received three comment letters regarding the amendment. 19 All three commenter letters support approval of the Eighteenth Amendment. 20 Two commenters … specifically support the proposal to transition the plan from a pilot to operating on a permanent basis, subject to periodic review and assessment. 21 Two commenters support the proposal to eliminate

Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Permit the Listing and Trading of P.M.-Settled NASDAQ-100 Index® Options on a Pilot Basis

Federal Register · Notice · May 9, 2017

The proposed rule change was published for comment in the Federal Register on February 3, 2017. 3 On March 14, 2017, the Commission extended the time period within which to approve the proposed … Accordingly, the Commission solicits comment, analysis, and data concerning whether the Exchange's proposal is consistent with the Act.

Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers

Federal Register · Proposed Rule · Jan 22, 2013

ACTION: Proposed rule; extension of comment period. … Therefore, the Commission is extending the public comment period for 31 days until Friday, February 22, 2013. 1   See Exchange Act Release No. 68071 (Oct. 18, 2012), 77 FR 70213 (Nov. 23, 2012

Joint Industry Plan; Notice of Filing of Amendment No. 10 to the Plan of the Purpose of Creating and Operating an Intermarket Options Linkage Regarding the Handling of Principal Acting as Agent Orders

Federal Register · Notice · May 19, 2004

Currently, the applicable time period for each such circumstance is 15 seconds. … with the Act.

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Institute Supplemental Liquidity Deposits to Its Clearing Funding Designed To Increase Liquidity Resources To Meet Its Liquidity Needs

Federal Register · Notice · Oct 1, 2013

of 2010 (“Clearing Supervision Act”) and Rule 19b-4(n)(1)(i) thereunder. … comments.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Temporarily the Auction Collars for Exchange-Facilitated Core Open Auctions Under Rule 7.35C

Federal Register · Notice · Jun 18, 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

Self-Regulatory Organizations; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendments Nos. 6, 7, 8, 9, and 10 by the National Association of Securities Dealers, Inc. Relating to Its Corporate Financing Rule

Federal Register · Notice · Dec 31, 2003

The Commission also notes that commenters generally supported shortening the look-back period to 180 days. … Commenters suggested various shorter time period requirements for the initial acquisitions that would broaden the availability of the exception.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the First Trust Municipal High Income ETF

Federal Register · Notice · Jun 2, 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; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Proposed Interpretive Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities

Federal Register · Notice · Sep 9, 2011

Retail Order Periods. … Retail Order Periods • Comments: Retail Orders.

Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews

Federal Register · Rule · Sep 14, 2023

and Reopening of Comment Periods for Certain Rulemaking Releases, Investment Advisers Act Release No. 6162 (Oct. 7, 2022) [87 FR 63016 (Oct. 18, 2022)]. … Safeguarding Advisory Client Assets; Reopening of Comment Period, Investment Advisers Act Release No. 6384 (August 23, 2023). 6.

Registration Fees for Certain Investment Companies

Federal Register · Proposed Rule · Feb 7, 1995

All comment letters should refer to File No. S7-3-95. … ' time periods, respectively.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Relating to an Extension of a Temporary Waiver of Associate Member Fees for Persons Trading Nasdaq Securities Admitted to Unlisted Trading Privileges Through the Exchange's Electronic Order Routing Systems

Federal Register · Notice · Dec 27, 2002

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received with respect to the proposed … 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; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Extending the FLEX Exercise Settlement Values Pilot

Federal Register · Notice · Nov 8, 2012

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; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Give Authority to a 3-Member Subcommittee of NASD's Market Regulation Committee to Review Alternative Display Facility System Outage and Denial of Excused Withdrawal Determinations

Federal Register · Notice · Dec 15, 2003

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 also be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. SR-NASD-2003-145.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 To Amend the Listing Rules for Compensation Committees To Comply With Rule 10C-1 Under the Act and Make Other Related Changes

Federal Register · Notice · Jan 22, 2013

Transition Period One commenter voiced support for the transition period proposed by Nasdaq for compliance with the new compensation committee independence standard, but believed that the Exchange should … The Commission further notes that it has approved a similar cure period in the context of other Nasdaq corporate governance requirements. 206 206   See Securities Exchange Act Release No

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Establish Nasdaq Last Sale Data Feeds

Federal Register · Notice · Jun 20, 2008

In addition, the Commission notes that the proposal is approved only on a four-month pilot period while the Commission analyzes comments on the Draft Approval Order. … 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