Documents

Ownership Reports and Trading by Officers, Directors and Principal Security Holders

Federal Register · Uncategorized Document · Sep 22, 1994

of 1934 (``Exchange Act''). … The comment period for the Proposing Release also is extended until November 1, 1994. DATES: Comments should be received on or before November 1, 1994.

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice 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 Risk Charge in the VaR Charge

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. 6  Comments received are available at https … extend the public comment period before the Commission makes a substantive determination.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for an Additional 12 Months, To Expire on July 31, 2014

Federal Register · Notice · Aug 8, 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; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility

Federal Register · Notice · Apr 14, 2014

(the “Limit Up-Limit Down Plan” or the “Plan”). 3 The Exchange proposes to extend the pilot period until February 20, 2015. 3  Securities Exchange Act Release Nos. 69140 (March 15, 2013), … 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 Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility

Federal Register · Notice · Apr 14, 2014

(the “Limit Up-Limit Down Plan” or the “Plan”). 3 The Exchange proposes to extend the pilot period until February 20, 2015. 3  Securities Exchange Act Release Nos. 69142 (March 15, 2013), … 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 Adopt an Intraday Mark-to-Market Charge at GSD

Federal Register · Notice · Mar 27, 2025

information from comment submissions. … All prospective commenters should follow the Commission's instructions on how to submit comments, available at www.sec.gov/regulatory-actions/how-to-submit-comments .

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors

Federal Register · Notice · Jan 19, 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

Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies

Federal Register · Rule · Mar 9, 2004

, the Exchange Act, and the Investment Company Act to improve the quality of periodic disclosure provided by funds about their costs, portfolio investments, and past performance. … Other Periods.

Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Eighth and Ninth Substantive Amendments to the Second Restatement of the Consolidated Tape Association Plan and the Sixth Substantive Amendment to the Restated Consolidated Quotation Plan

Federal Register · Notice · Jun 30, 2006

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed Plans amendments are consistent with the Act … rule-comments@sec.gov .

Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey

Federal Register · Notice · Sep 2, 2021

The proposed rule changes were published for comment in the Federal Register on March 4, 2021. 3 On April 7, 2021, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … rule changes, the issues raised in the comment letter that has been submitted in connection therewith, and the Exchanges' response to the comment letter.

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Settlement Timing

Federal Register · Notice · May 25, 2022

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 … All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions.

Self-Regulatory Organizations; The Depository Trust Company; 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 the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility

Federal Register · Notice · Jun 11, 2019

to approve or disapprove the proposed rule change (“OIP”). 7 The Commission received two comments on the proposal in response to the OIP. 8 3  Securities Exchange Act Release No. 84751 … rule change and the comment letters.

Self-Regulatory Organizations: Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rule 12905 of the Code of Arbitration Procedure for Customer Disputes and Rule 13905 of the Code of Arbitration Procedure for Industry Disputes To Permit Submissions Under Limited Circumstances to Arbitrators After a Case Has Closed

Federal Register · Notice · Oct 14, 2008

to extend the 30-day period for payment of award. 14 A number of commenters stated that the proposed rule conflicts with the policy of finality in arbitration. 15 Several commenters argued that … Act.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Rule 2128 Relating to Clearly Erroneous Trades

Federal Register · Notice · May 6, 2014

As proposed, similar to other provisions added in recent years, as described above, both paragraph (j) and paragraph (k) would be subject to a pilot period, which will coincide with the pilot period for … 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

Amendments to Financial Disclosures About Acquired and Disposed Businesses

Federal Register · Rule · Aug 31, 2020

Securities Act and Exchange Act filings or for the same number of periods as the 50 percent threshold would require, prior to proceeding with a securities offering. … However, in response to comments, we are modifying the requisite time period.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Decommission Extension Fee for Receipt of the NYSE Arca Integrated Feed Market Data Product

Federal Register · Notice · Dec 22, 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

Rulemaking for the EDGAR System

Federal Register · Proposed Rule · Dec 12, 1996

DATES: Comments should be received on or before January 13, 1997. ADDRESSES: Comments should be submitted in triplicate to Jonathan G. … All comments will be considered by the Commission in complying with its responsibility under section 23(a) of the Exchange Act.91 Comments received will be available for inspection and copying in the Commission's

Options Clearing Corporation Self-Regulatory Organizations; the Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Requirement for Clearing Members To Participate in Default Management Testing

Federal Register · Notice · Apr 10, 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; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments to NASD Rule 9522 (“Initiation of Eligibility Proceeding; Member Regulation Consideration”)

Federal Register · Notice · Nov 10, 2004

(ii) includes such restrictions or limitations for a specified time period and such time period has elapsed[. … 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; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18

Federal Register · Notice · Oct 14, 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