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Federal Register · Notice · Sep 2, 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. … rule-comments@sec.gov.
74 FR 45504Securities and Exchange CommissionFederal Register · Notice · Mar 24, 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
74 FR 12426Securities and Exchange CommissionFederal Register · Notice · Jun 21, 2005
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
70 FR 35753Securities and Exchange CommissionFederal Register · Rule · Jun 29, 2011
We are persuaded, however, that the four month transition period we proposed would be inadequate and have extended the period to one year. 47 47 The one year period would not begin to run … Several commenters suggested that we provide a transition period to allow family offices time to determine whether they meet the exclusion or to restructure or register under the Advisers Act if they do
76 FR 37983Securities and Exchange CommissionFederal Register · Notice · Apr 14, 2006
the Act. … rule-comments@sec.gov.
71 FR 19568Securities and Exchange CommissionFederal Register · Notice · Oct 24, 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. … 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
73 FR 63533Securities and Exchange CommissionFederal Register · Notice · Oct 28, 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 email to rule-comments
76 FR 67012Securities and Exchange CommissionFederal Register · Notice · Oct 2, 2001
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. III. … 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.
66 FR 50237Securities and Exchange CommissionFederal Register · Notice · Oct 3, 2005
. 17 17 For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change, as amended, under Section 19(b)(3)(C) of the Act, the Commission … 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
70 FR 57632Securities and Exchange CommissionFederal Register · Notice · Nov 14, 2011
Reporting Period Several commenters recommended that reporting of the proposed SSOI be on a quarterly basis. 30 These commenters stated that “[m]any firms as a matter of course have more detailed … Comment Period One commenter expressed disappointment that the comment period ended the same day FINRA sent the Notice. 49 The commenter believed that FINRA did not give the public ample opportunity
76 FR 70523Securities and Exchange CommissionFederal Register · Notice · Nov 25, 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
87 FR 72523Securities and Exchange CommissionTransaction Fee Pilot for NMS Stocks
Federal Register · Rule · Feb 20, 2019
Two commenters supported the proposed six-month pre-Pilot and post-Pilot data collection periods. 337 In contrast, two commenters suggested adopting three-month long pre-Pilot and post-Pilot Periods … Act.
84 FR 5202Securities and Exchange CommissionFederal Register · Notice · Feb 14, 2007
(i) $100 per week for the first late filing in a three-year period. (ii) $300 per week for the second late filing in a three-year period. … (iii) $1,000 per week for the third late filing in a three-year period. II.
72 FR 7104Securities and Exchange CommissionFederal Register · Notice · Oct 5, 2004
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 .
69 FR 59628Securities and Exchange CommissionFederal 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
76 FR 12157Securities and Exchange CommissionFederal Register · Notice · Jul 19, 2022
Section 19(b)(2) of the Act 4 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 Commission finds that it is appropriate to designate a longer period within which to take action on the proposed rule change in order to consider the proposed rule change and the comments received.
87 FR 43065Securities and Exchange CommissionFederal Register · Notice · Feb 1, 2022
of 1934 (“Act”) 1 and Rule 19b-4 thereunder. 2 The Proposed Rule Change was published for comment in the Federal Register on December 29, 2021, 3 and the Commission has received comments … SR-NSCC-2021-016). 4 Comments are available at https://www.sec.gov/comments/sr-nscc-2021-016/srnscc2021016.htm.
87 FR 5544Securities and Exchange CommissionFederal Register · Notice · Dec 21, 2021
Section 19(b)(2) of the Act 4 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 (i) as the Commission may … the comments received.
86 FR 72291Securities and Exchange CommissionFederal Register · Notice · Jan 8, 2016
The Commission has received one comment letter on the proposal. 4 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 See Securities Exchange Act Release No. 76486 (Nov. … 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 designate
81 FR 987Securities and Exchange CommissionFederal Register · Notice · Mar 6, 2024
The proposed rule change was published for comment in the Federal Register on January 25, 2024. 3 section 19(b)(2) of the Act 4 provides that, within 45 days of the publication of notice … the comments received.
89 FR 16042Securities and Exchange Commission
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