Documents

Request for Comment on Earnings Releases and Quarterly Reports

Federal Register · Proposed Rule · Dec 21, 2018

Background Overview of Quarterly Reporting In addition to annual and current reports, companies subject to the periodic reporting requirements under the Securities Exchange Act of 1934 (“Exchange Act … Purpose of Request for Comment The purpose of this Request for Comment is to solicit public input on the nature, timing, format and frequency of periodic reporting, as well as the relationship between

Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants

Federal Register · Proposed Rule · Aug 26, 2016

ACTION: Proposed rule; extension of comment period. … in Item 102 of Regulation S-K under the Securities Act of 1933 and the Securities Exchange Act of 1934 and in Industry Guide 7.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Federal Register · Notice · Jun 2, 2022

The proposed rule change was published for comment in the Federal Register on April 8, 2022. 3 On May 19, 2022, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … 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

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail Regarding Cost Savings Measures

Federal Register · Notice · Oct 15, 2024

Comments received in response to the Notice can be found on the Commission's website at https://www.sec.gov/comments/4-698/4-698-d.htm. … The Commission is extending this 180-day period. 13  17 CFR 242.608(b)(2)(i).

Conformed to Federal Register version and consolidated with correction 33-11238A

Agency decision · Agency decision

Comment Letter. 212 See, e.g., Fidelity Comment Letter. 72 more than a specified period of time (e.g., 30, 60, or 90 days etc.). 213 Some commenters suggested that after a certain period of time following … See supra section II.A.2. 408 The six-year retention period under the final amendments is designed to be generally consistent with other recordkeeping retention periods provided in rules under the Act

Conformed to Federal Register version

Agency decision · Agency decision

Some commenters urged the Commission to reconsider the proposed 30-day period and instead maintain the current standard. 211 Additionally, commenters suggested alternative time periods to require funds … extended period.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision)

Federal Register · Notice · Apr 6, 2023

SR-FINRA-2022-001), https://www.sec.gov/comments/sr-finra-2022-001/srfinra2022001.htm; and Submitted Comments to Securities Exchange Act Release No. 89188 (June 30, 2020), 85 FR 40713 (July 7, 2020 … of the comment period on August 23, 2022, the SEC had received 20 unique comment letters, then subsequently received six more comment letters. 123 On October 31, 2022, FINRA responded to the comments

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs That Permit the Exchange To Have No Minimum Size Requirement for Orders Entered Into the PIP (“PIP Pilot Program”) and COPIP (“COPIP Pilot Program”) Until December 18, 2014

Federal Register · Notice · Oct 14, 2014

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 by National Association of Securities Dealers, Inc. Relating to Guidelines Regarding the Use of Rankings in Mutual Fund Advertisements and Sales Literature

Federal Register · Uncategorized Document · Feb 15, 1994

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 November 22, 1993, the National Association of Securities Dealers, Inc … Written comments were neither solicited nor received. III.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt Listing Rules To Require Companies Listed on the Exchange To Develop, Implement, and Disclose a Written Compensation Recovery Policy To Comply With Rule 10D-1 Under the Exchange Act and Make Other Related Changes

Federal Register · Notice · Jun 15, 2023

or left uncorrected in the current period, as required by section 10D-1 under the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; NYSE American LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 915 (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs

Federal Register · Notice · Aug 2, 2023

The proposed rule change was published for comment in the Federal Register on May 1, 2023. 3 One comment letter was received on the proposed rule change. 4 1  15 U.S.C. 78s(b)(1). … On June 13, 2023, pursuant to Section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the GSD and MBSD Schedules of Haircuts for Eligible Clearing Fund Securities

Federal Register · Notice · Oct 4, 2023

information from comment submissions. … 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 Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto by the National Association of Securities Dealers, Inc. To Modify an Existing Pilot Program Relating to the Bid Price Test of the Nasdaq Maintenance Listing Standards

Federal Register · Notice · Feb 11, 2004

Solicitation of Comments on Amendment No. 3 Interested persons are invited to submit written data, views, and arguments on Amendment No. 3, including whether the amendment is consistent with the Act … Comments also may be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comments should refer to File No. SR-NASD-2003-44.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to the Volume-Based and Multi-Trigger Threshold

Federal Register · Notice · Jul 14, 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; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Establish an Automated Improvement Mechanism and a Solicitation Auction Mechanism for FLEX Options

Federal Register · Notice · Apr 5, 2012

The proposed rule change was published for comment in the Federal Register on January 4, 2012. 3 The Commission received two comment letters regarding the proposal. 4 The Exchange submitted … One commenter argued that the proposed three second RFR period for a new FLEX strike and cross would present an exceptional technological challenge to market making firms attempting to provide liquidity

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Obvious Errors

Federal Register · Notice · Mar 18, 2008

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. … rule-comments@sec.gov.

Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Detection of Loss of Connection

Federal Register · Notice · Jul 6, 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, Inc.; Order Approving Proposed Rule Change and Amendment No. 3 Thereto Relating to Procedures for Companies That Fail To File Annual Reports in a Timely Manner

Federal Register · Notice · Jun 8, 2005

In response to Nasdaq's comment that the proposal would give a blanket nine month extension to delinquent issuers, the NYSE stated that, during the nine month period, it is in frequent contact with the … The Commission notes that this amendment was published for notice and comment and that no comments were received addressing this issue.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5

Federal Register · Notice · Apr 28, 1998

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on April 21, 1998, NASD Regulation, Inc. … Some commenters stated that the period was too short for meaningful review of the Form U-5, while other commenters felt that the period was too long in that it left broker/dealers only 20 days within which

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF Under NYSE Arca Rule 8.200-E

Federal Register · Notice · May 21, 2019

On March 26, 2019, 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 … This process is commonly referred to as “rolling.” 11  The return of a Fund for a period longer than a single trading day is the result of its return for each day compounded over the period