Documents

Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Demutualization of the Pacific Exchange, Inc.

Federal Register · Notice · May 24, 2004

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@sec.gov.

Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fingerprinting

Federal Register · Notice · Jun 27, 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; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Third Party Market Data Delivered by NASDAQ

Federal Register · Notice · Jul 1, 2013

Wireless connectivity involves the beaming of signals through the air between towers that are within sight of one another. … rule-comments@sec.gov.

Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change Amending NYSE MKT Rules 13-Equities, 70.25-Equities, 107C-Equities and 1000-Equities To Adopt a New Order Type Called a Midpoint Passive Liquidity Order

Federal Register · Notice · Jan 23, 2014

The proposed rule change was published for comment in the Federal Register on December 4, 2013. 3 The Commission received no comment letters on the proposed rule change. … execute with the RPIs at the clean-up price.

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending NYSE Rules 13, 70.25, 107C and 1000 To Adopt a New Order Type Called a Midpoint Passive Liquidity Order

Federal Register · Notice · Jan 23, 2014

The proposed rule change was published for comment in the Federal Register on December 4, 2013. 3 The Commission received no comment letters on the proposed rule change. … execute with the RPIs at the clean-up price.

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend Certain Parts of Its Opening and Closing Auctions

Federal Register · Notice · Jul 7, 2026

Finally, the Exchange believes that the proposed clarifying clean-up and corresponding numbering changes are consistent with the Act because they make the Exchange's Rules more clear and understandable … with the Act.

Processing Requirements for Cancelled Security Certificates

Federal Register · Rule · Dec 23, 2003

In another instance, a transfer agent's shipping bags filled with cancelled certificates were stolen while in commercial air transit. … We received five comments on this proposal. 43 The commenters said that the proposed time frame of ten business days was too short a period for transfer agents to verify the non-delivery, to investigate

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 2030 and FINRA Rule 4580 To Establish “Pay-To-Play” and Related Rules

Federal Register · Notice · Aug 31, 2016

Finally, one commenter believes that the cooling-off period in the proposal should be at least four years. 222 PIABA believes that the two-year cooling-off period does not adequately reduce the incentive … We do not understand FINRA to be engaging in broad electoral reform or trying to clean up the electoral process.

Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Filings of Partial Amendment No. 3 and Order Granting Accelerated Approval to Proposed Rule Changes, Each as Modified by Partial Amendment No. 3, To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections

Federal Register · Notice · Oct 21, 2020

in the Federal Register on August 7, 2020. 12 On August 12, 2020, pursuant to Section 19(b)(2) of the Act, 13 the Commission designated a longer period for Commission action on proceedings … , accounting for over-the-air geographic differences in connecting to Third Party Data Centers. 135 This commenter previously argued that, after accounting for “over-the-air latency differentials”

Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change To Modify Qualified Contingent Cross Order Rules

Federal Register · Notice · Mar 2, 2011

Commenter's to ISE's Original QCC Order Proposal In its Petition for Review and statements in support thereof, CBOE argued that ISE's Original QCC Order proposal was inconsistent with the Act  30 … in an auction setting.”  31 CBOE and certain commenters objected to the Original QCC Order proposal because, for crosses that satisfy the QCC's requirements, a member of ISE could execute a clean

Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Interest Rates Used for Options Pricing in the STANS Methodology Description

Federal Register · Notice · Oct 22, 2021

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Exchange Act” or “Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on October 6, 2021, the Options Clearing … 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 Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology

Federal Register · Notice · Mar 7, 2018

designated a longer period of time for Commission action on the Proposed Rule Change. 4 As of February 20, 2018, 5 the Commission has received one comment letter on the proposal contained in … SR-OCC-2017-022). 5  The comment period closed on December 26, 2017. 6   See letter from Michael Kitlas, dated November 28, 2017, to Eduardo A.

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the CDS Clearing Rule Book, Supplement, and Procedures

Federal Register · Notice · Mar 21, 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; Chicago Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Relating to Crossing Orders of 25,000 Shares or More

Federal Register · Notice · Feb 5, 1999

.\3\ No comments were received on the proposal. … depth of the prevailing bid or offer may be less likely to satisfy either side of the clean cross.

Self-Regulatory Organizations; National Association of Securities Dealers, Inc; Order Granting Approval of Proposed Rule Change and Amendment No. 1, Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2, Thereto, Relating to Proposed NASD Rule 2130 Concerning the Expungement of Customer Dispute Information From the Central Registration Depository System

Federal Register · Notice · Dec 24, 2003

(“NASD” or “Association”) filed with the Securities and Exchange Commission (“SEC” or “Commission”), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)  1 and Rule 19b-4 thereunder … 15A  32 of the Act.

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Proposed Rule Change Relating to Trades One or Two Points Away From the Last Sale and To Stop Orders

Federal Register · Uncategorized Document · Jun 7, 1994

No comments were received on the proposal. II. … official approval when a specialist elects stop orders through his own bid or offer are intended to address, in part, the situation where a specialist has an accumulation of stop orders and desires to ``clean

Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)

Federal Register · Notice · Dec 1, 2003

; (vii) Sale of energy-peaking services via propane-air or liquefied natural gas (“LNG”), which involves the provision of back-up electricity or gas supply in periods of high or “peak” energy demand using … under the Act under section 3(a)(1) of the Act.

Self-Regulatory Organizations; Philadelphia Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of a Proposed Rule Change To Appoint the Canadian Depository for Securities as a Correspondent Depository

Federal Register · Notice · Nov 8, 1996

Securities will be shipped to Philadep by licensed air courier or by other carrier agreed upon by the parties. … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others Written comments were neither solicited nor received with respect

Pax Clean Energy, Inc.; Order of Suspension of Trading

Federal Register · Notice · Apr 30, 2009

SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] Pax Clean Energy, Inc.; Order of Suspension of Trading April 28, 2009. … Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the above listed company is suspended for the period from 9:30 a.m.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy

Federal Register · Notice · Dec 1, 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