Documents

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Its Waiver of the Application of Certain of the Shareholder Approval Requirements in Section 312.03 of the NYSE Listed Company Manual Through March 31, 2021 Subject to Certain Conditions

Federal Register · Notice · Jan 13, 2021

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; Order Granting Accelerated Approval of Proposed Rule Change by the International Securities Exchange LLC Relating to Permanent Approval of Its Allocation Algorithm Pilot

Federal Register · Notice · Aug 8, 2001

In its original approval order for the ISE's allocation algorithm, the Commission, responding to various issues raised by commenters, stated that it intended to use the one-year pilot period to monitor … approval of the same provision will, as of the date of this order, have been subject to a full notice and comment period and no comment letters were received by the Commission.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule

Federal Register · Notice · Feb 3, 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; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment, No. 1, To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan is To Complete One or More Business Combinations

Federal Register · Notice · Mar 16, 2021

That comment letter addresses the issues raised in the CII comment letter. 16  Securities Exchange Act Release No. 90682 (December 21, 2021), 85 FR 83113 (December 16, 2020). 17   See … 1, is consistent with the Act.

Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 13, 2019

Request for Comment on the Economic Analysis V. Consideration of Impact on the Economy VI. Regulatory Flexibility Act Certification VII. … Period 2, Period 3, or Period 4?

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 11.27 Regarding the Quoting and Trading Requirements of the Tick Size Pilot Program

Federal Register · Notice · Dec 9, 2015

period for the Plan (including any extensions to the pilot period for the Plan). … and for the six-month period following the end of the Pilot Period.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

The proposed rule change was published for comment in the Federal Register on March 20, 2026.3 On April 29, 2026, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within … Comments received on the proposed rule change are available at: https://www.sec.gov/rules-regulations/public-comments/srnyseamer-2026-17. 4 15 U.S.C. 78s(b)(2). 5 See Securities Exchange Act Release

Self-Regulatory Organizations; New York Stock Exchange LLC; 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 Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and Make Related Changes to Rules 7.32, 7.35C, 46B, and 47

Federal Register · Notice · May 28, 2021

The proposed rule change was published for comment in the Federal Register on December 1, 2020. 3 On January 13, 2020, the Commission extended to March 1, 2021, the time period in which to approve … The Commission may extend the period for issuing an order approving or disapproving the proposed rule change, however, by not more than 60 days if the Commission determines that a longer period is

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the International Securities Exchange LLC Relating to Facilitation of Customer Orders

Federal Register · Notice · Aug 6, 2001

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 May 30, 2001, the International Securities Exchange … 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; Financial Industry Regulatory Authority, 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 FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes, as Modified by Partial Amendment No. 1

Federal Register · Notice · Nov 1, 2019

The proposed rule change was published for comment in the Federal Register on May 1, 2019. 3 On June 12, 2019, the Commission extended to July 30, 2019, the time period in which to approve the … Exchange Act  7 to determine whether to approve or disapprove the proposed rule change. 8 The Commission received three comment letters in response to the Order Instituting Proceedings. 9

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Codify Pre-Existing Practices and To Amend and Supplement Rule 24.9

Federal Register · Notice · Jul 16, 2007

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, a Proposed Rule Change in Connection With the Proposed Establishment of the Boston Security Token Exchange LLC as a Facility of the Exchange

Federal Register · Notice · Dec 1, 2020

The proposed rule change was published for comment in the Federal Register on June 1, 2020. 3 On July 16, 2020, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … This redline is available on the Commission's website at: https://www.sec.gov/comments/sr-box-2020-16/srbox202016-7525322-222100.pdf. 7   See Securities Exchange Act Release No. 89537 (

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 2, To Amend NYSE Rule 7.35C

Federal Register · Notice · Jul 15, 2021

2020 period … rule-comments@sec.gov.

Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 128 Relating to Clearly Erroneous Executions

Federal Register · Notice · Jun 28, 2010

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; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Gross Margining for Certain Categories of Customer Accounts

Federal Register · Notice · Dec 11, 2015

Such contracts are margined using a one-day period of risk. … 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; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule

Federal Register · Notice · May 1, 2023

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 ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Establish Market Data Fees

Federal Register · Notice · Nov 2, 2020

Section 916 further amended paragraph (C) of Section 19(b)(3) of the Act to read, in pertinent part, “At any time within the 60-day period beginning on the date of filing of such a proposed rule change … 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

Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies

Federal Register · Proposed Rule · May 20, 2002

You also may submit your comments electronically to the following address: rule-comments@sec.gov . All comment letters should refer to File No. … You may also submit comments electronically to the following e-mail address: rule-comments@sec.gov.   136 All comments should refer to file number S7-16-02.

Self-Regulatory Organizations; International Securities Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of Proposed Rule Change Relating to Modification of the Calculation of Its Clearing Fund Formula

Federal Register · Notice · Jul 21, 1995

Securities Exchange Act Release Act Release No. 34392, International Series Release No. 687 (July 15, 1994), 50 FE 37798. … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants, or Others ISCC will notify the Commission of any written comments it receives

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5.3-O

Federal Register · Notice · Mar 15, 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