Documents

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to PCAOB Interim Independence Standards and PCAOB Rules To Align With Amendments to Rule 2-01 of Regulation S-X

Federal Register · Notice · Nov 27, 2020

of Title I of the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Price Improvement Program

Federal Register · Notice · Dec 21, 2018

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 Filing of Proposed Rule Change To Describe the Backtesting Charge and the Holiday Charge That May Be Imposed on Members

Federal Register · Notice · Sep 15, 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; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Establish Fees for NASDAQ OMX PSX

Federal Register · Notice · Sep 16, 2010

an individual one-month trial 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

Self-Regulatory Organizations; Fixed Income 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 Partial Amendment No. 1, Concerning the Adoption of a Minimum Margin Amount at GSD

Federal Register · Notice · Sep 12, 2024

of 1934 (“Act”)  1 and Rule 19b-4 thereunder. 2 The notice of filing of the proposed rule change was published for comment in the Federal Register on March 15, 2024. 3 On March 25, … /www.sec.gov/comments/sr-ficc-2024-003/srficc2024003.htm.

Self-Regulatory Organizations; New York Stock Exchange, Inc. (a/k/a New York Stock Exchange LLC); Notice of Filing of Proposed Rule Change and Amendments No. 1 & 2 Thereto Relating to the Treasury Share Exception in NYSE Listed Company Manual Section 312.03, Section 312.04 and Section 703.01(A)

Federal Register · Notice · Oct 16, 2006

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, (the “Act”)  1 and Rule 19b-4 thereunder, 2 notice is hereby given that on May 5, 2006, the New York Stock Exchange, LLC ( … the Act.

Submission for OMB Review; Comment Request

Federal Register · Notice · Sep 13, 2000

and Budget (“OMB”) a request for approval of the collections of information under the Investment Company Act of 1940 (“Act”) summarized below. … Rule 27e-1 [17 CFR 270.27e-1] is entitled “Requirements for Notice to be Mailed to Certain Purchasers of Periodic Payment Plan Certificates Sold Subject to Section 27(d) of the Act.”

Self-Regulatory Organizations; New York Stock Exchange, Inc., Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Relating to Amendments to Exchange Rule 607

Federal Register · Notice · Jun 23, 2005

Pursuant to Section 19(b)(1)  1 of the Securities Exchange Act of 1934 (“Exchange Act” or “Act”), 2 and Rule 19b-4 thereunder, 3 notice is hereby given that on January 4, 2005, the New York … the Act.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options

Federal Register · Notice · Nov 10, 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

Self-Regulatory Organizations; Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change by The Options Clearing Corporation Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility

Federal Register · Notice · Jul 24, 2024

of 1934 (“Exchange Act”)  1 and Rule 19b-4  2 thereunder to codify OCC's process for adjusting certain parameters in its proprietary system for calculating margin requirements during periods … SR-OCC-2024-001) (“Notice of Filing”). 5  Comments on the proposed rule change are available at https://www.sec.gov/comments/sr-occ-2024-001/srocc2024001.htm.

Submission for OMB Review; Comment Request

Federal Register · Notice · Sep 30, 2003

and Budget (“OMB”) a request for approval of the collection of information under the Investment Company Act of 1940 (“Act”) summarized below. … Rule 27e-1 [17 CFR 270.27e-1] is entitled “Requirements for Notice to be Mailed to Certain Purchasers of Periodic Payment Plan Certificates Sold Subject to section 27(d) of the Act.”

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Amending CBOE Rules Relating to the Penny Pilot Program

Federal Register · Notice · Jun 8, 2009

Statutory Basis The Exchange believes the rule proposal is consistent with Section 6(b) of the Securities Exchange Act of 1934 (“Act”) and the rule and regulations under the Act applicable to a national … 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; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4.3, Record of Written Complaints

Federal Register · Notice · Jul 9, 2015

iii) under the Act. 4 The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b- … 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

Nationally Recognized Statistical Rating Organizations

Federal Register · Rule · Sep 15, 2014

the period). … of 1934 and Request for Comment, Exchange Act Release No. 62120 (May 19, 2010).

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

Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT

Federal Register · Notice · Jun 1, 2017

See Securities Exchange Act Rel. … 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; 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 To Enhance Capital Requirements and Make Other Changes

Federal Register · Notice · Jun 29, 2022

of 1934 (“Act”)  1 and Rule 19b-4 thereunder. 2 The Proposed Rule Change was published for comment in the Federal Register on December 29, 2021, 3 and the Commission has received comments … SR-NSCC-2021-016) (“Notice”). 4  Comments are available at https://www.sec.gov/comments/sr-nscc-2021016/srnscc2021016.htm.

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 Amend Rule 14.11, Other Securities

Federal Register · Notice · Nov 3, 2020

The proposed rule change was published for comment in the Federal Register on May 7, 2020. 3 On June 16, 2020, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … 2020, the Commission instituted proceedings under Section 19(b)(2)(B) of the Act  6 to determine whether to approve or disapprove the proposed rule change. 7 The Commission has received one comment

Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders

Federal Register · Rule · Oct 8, 2024

Act is not circumscribed in the manner suggested by this commenter. … April 2020 is the hypothetical month in which the tick assignment is calculated and acts as the gap between the evaluation period and the operative period.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Expand OTC Equity Trading Volume Data Published on FINRA's Website

Federal Register · Notice · Jul 11, 2019

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)  1 and Rule 19b-4 thereunder, 2 notice is hereby given that on July 1, 2019, Financial Industry Regulatory Authority … 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.