Documents

Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT

Federal Register · Notice · Jun 5, 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; Cboe 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, as Modified by Amendment No. 1, To List and Trade Options on the Fidelity Ethereum Fund

Federal Register · Notice · Mar 6, 2025

On October 11, 2024, 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 … Amendment No. 1 is available at: https://www.sec.gov/comments/sr-cboe-2024-036/srcboe2024036-575275-1648743.pdf. 10  Comments on the proposal are available at: https://www.sec.gov/comments

Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions

Federal Register · Proposed Rule · Jun 26, 2023

ACTION: Proposed rule; reopening of comment period. … We are, therefore, reopening the comment period to permit interested parties to comment on the staff memorandum, which has been included in the comment file.

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Relating to Voting of Proxies by Member Firms for Holders of Auction Rate Preferred Securities

Federal Register · Notice · Mar 29, 1996

reset periods. --------------------------------------------------------------------------- The proposed rule change was published for comment in Securities Exchange Act Release No. 36813 (February … Summary of Comments The Commission received one comment letter from the Investment Company Institute (the ``Comment Letter'').\10\ The Comment Letter supported the proposed amendment and urged the

Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B (Short Sales) in Order To Implement the Provisions of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934

Federal Register · Notice · Mar 4, 2011

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

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 7.31-E(h)(3) Relating to Discretionary Pegged Orders

Federal Register · Notice · Jun 30, 2022

The proposed rule change was published for comment in the Federal Register on March 28, 2022. 3 On May 6, 2022, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … Act.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Wise Origin Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Federal Register · Notice · Jul 19, 2021

)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 91994 (May 25, 2021), 86 FR 29321 (June 1, 2021). 4  Comments received on the proposed rule change … the comments received.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 5.4 and Make Corresponding Changes to Other Rules

Federal Register · Notice · Oct 4, 2021

Section 19(b)(2) of the Act  5 provides that, within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may … the comments received.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance With Open Outcry Priority and Allocation Requirements and Trade-Through Prohibitions

Federal Register · Notice · Feb 6, 2017

Section 19(b)(2) of the Act  5 provides that, within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may … the comment letter.

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules To Govern the Trading of Options on the Exchange for a New Facility Called IEX Options

Federal Register · Notice · Mar 12, 2025

(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 102190 (Jan. 14, 2025), 90 FR 7205. 4  Comments on the proposed rule change are available at … The Commission finds it appropriate to designate a longer period within which to take action on the proposed rule change so that it has sufficient time to consider the proposed rule change and the comments

Role of Independent Directors of Investment Companies

Federal Register · Rule · Jan 16, 2001

These commenters argued that a two-year time period is consistent with the time limit for material business or professional relationships in section 2(a)(19) of the Act. … We extended one of the proposed time periods for rule 10e-1 in response to concerns voiced by commenters, and we believe that the periods for which the rule would suspend the independent director minimum

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Rule 2102 To Add Additional Securities to the Pilot Rule

Federal Register · Notice · Jul 7, 2010

the Act. … All submissions should refer to File Number SR-ISE-2010-66 and should be submitted on or before July 19, 2010. 10 10  The Commission believes that a 10-day comment period is reasonable, given

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program

Federal Register · Notice · Feb 8, 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; Cboe 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 Adopt Rule 8.23

Federal Register · Notice · Aug 4, 2026

The proposed rule change was immediately effective upon filing with the Commission pursuant to Section 19(b)(3)(A) of the Act. 3 The proposed rule change was published for comment in the Federal … rule change and submitted comments, and the issues raised therein.

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Federal Register · Notice · Apr 18, 2022

period of time to set up and test a new market data product. … 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; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Federal Register · Notice · Apr 18, 2022

period of time to set up and test a new market data product. … 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.

Submission for OMB Review; Comment Request

Federal Register · Notice · Oct 7, 2003

Form N-27F-1, which is prescribed by rule 27f-1, is used to notify recent purchasers of periodic payment plan certificates of their right under section 27(f) of the Act to return the certificates within … Comments must be submitted to OMB within 30 days of this notice. Dated: September 29, 2003. Jill M. Peterson, Assistant Secretary.

Self-Regulatory Organizations; Notice of Extension of the Comment Period for the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Shareholder Approval or Stock Option Plans

Federal Register · Notice · Jan 5, 1999

to Section 19(b)(2) of the Act.\5\ Accordingly, the [[Page 562]] comment period shall be extended until January 25, 1999. --------------------------------------------------------------------------- … As originally noticed, the comment period expired on December 10, 1998.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Amending NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares

Federal Register · Notice · May 26, 2016

On January 4, 2016, 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 … The Commission may, however, extend the period for issuing an order approving or disapproving the proposed rule change by not more than 60 days if the Commission determines that a longer period is appropriate

Filings Under the Public Utility Holding Company Act of 1935, as amended (``Act'')

Federal Register · Notice · Aug 9, 1996

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26550] Filings Under the Public Utility Holding Company Act of 1935, as amended (``Act'') August 2, 1996. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by August 26, 1996, to the Secretary, Securities and Exchange