Documents

Self-Regulatory Organizations; The Nasdaq Stock Market 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 Nos. 1 and 2, To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets

Federal Register · Notice · Dec 8, 2020

The proposed rule change was published for comment in the Federal Register on June 12, 2020. 3 On July 20, 2020, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer … Comments on the proposed rule change can be found at: https://www.sec.gov/comments/sr-nasdaq-2020-026/srnasdaq2020026.htm. 4  15 U.S.C. 78s(b)(2). 5   See Securities Exchange

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.2., Hybrid Opening (and Sometimes Closing) System (“HOSS”)

Federal Register · Notice · Jun 29, 2018

The Exchange filed the proposal pursuant to Section 19(b)(3)(A)(iii) of the Act  3 and Rule 19b-4(f)(6) thereunder. 4 The Commission is publishing this notice to solicit comments on the proposed … 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; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Provide OCC With Authority in Emergency Circumstances To Extend, Waive, or Suspend the Operation of Its By-Laws, Rules, Policies and Procedures, or Any Other Rules Issued by OCC

Federal Register · Notice · Jan 15, 2014

day period. … 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 Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Establish an Automated Improvement Mechanism and a Solicitation Auction Mechanism for FLEX Options

Federal Register · Notice · Apr 5, 2012

The proposed rule change was published for comment in the Federal Register on January 4, 2012. 3 The Commission received two comment letters regarding the proposal. 4 The Exchange submitted … One commenter argued that the proposed three second RFR period for a new FLEX strike and cross would present an exceptional technological challenge to market making firms attempting to provide liquidity

Self-Regulatory Organizations; Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2, and Order Granting Accelerated Approval to Amendment No. 5 Thereto, by the National Association of Securities Dealers, Inc. Relating to Amendments to NASD Membership and Registration, Investigation and Sanctions, Conduct and Code of Procedure Rules

Federal Register · Notice · Jan 5, 1999

\10\ See supra note 7, and infra Section IV, Comments and Responses. \11\ The Commission also solicits comments on Amendment No. 5. … Comments and Responses The Commission received one comment letter regarding the proposed rule change.\30\ Overall, the commenter agrees with the proposed rules, but believes the rules could be improved

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis

Federal Register · Notice · May 25, 2022

The Commission is extending this 180-day period. 7  17 CFR 242.608(b)(2)(i). 8   See Securities Exchange Act Release No. 94308 (Feb. 24, 2022), 87 FR 11755 (Mar. 2, 2022) (“OIP”). … and the comments received.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Programs Relating to FLEX Exercise Settlement Values and Minimum Value Sizes

Federal Register · Notice · Apr 5, 2012

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; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Rule 519A Risk Protection Monitor

Federal Register · Notice · Jan 28, 2015

1, 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

Lost Securityholders

Federal Register · Proposed Rule · Aug 28, 1996

For example, is the three month period between the mailing of two correspondences an appropriate time period? 2. … The Commission also is proposing an amendment to Rule 17Ad-7 under the Exchange Act to require that transfer agents maintain the records required by the proposed rule for a period of not less than three

Lost Securityholders

Federal Register · Rule · Oct 7, 1997

The Commission later extended the comment period contained in the Proposing Release. Securities Exchange Act Release No. 37949 (November 15, 1996), 61 FR 59046 (extending comment period). … Act.

Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to Collection of Exchange Fees

Federal Register · Notice · Dec 17, 2009

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)  1 , and Rule 19b-4  2 thereunder, notice is hereby given that on December 8, 2009, NASDAQ OMX PHLX, Inc. … 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.

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

Federal Register · Notice · Dec 4, 1996

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26615] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') November 27, 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 December 23, 1996, to the Secretary, Securities and Exchange

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Eliminate the Offset of Its Obligations With Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures

Federal Register · Notice · Jan 4, 2013

liquidation period. … 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; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 952NY

Federal Register · Notice · Jul 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; Miami International Securities Exchange, LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Fee Schedule

Federal Register · Notice · Dec 14, 2017

See Securities Exchange Act Rel. … Act.

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Dec 14, 2017

See Securities Exchange Act Rel. … Act.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Dec 15, 2017

No. 80822 (May 31, 2017), 82 FR 26148 (June 6, 2017) (SR-BatsBZX-2017-38). 26  For a summary of comments, see generally Securities Exchange Act Rel. … Act.

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Dec 14, 2017

No. 80809 (May 30, 2017), 82 FR 25837 (June 5, 2017) (SR-BatsBYX-2017-11). 26  For a summary of comments, see generally Securities Exchange Act Rel. … Act.

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. 1 Thereto, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600

Federal Register · Notice · Jun 13, 2016

On January 21, 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 … to the proposal. 9 The Commission received no comments on the proposed rule change. 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule on Auditing Standard No. 5, an Audit of Internal Control Over Financial Reporting That Is Integrated With an Audit of Financial Statements, and Related Independence Rule and Conforming Amendments

Federal Register · Notice · Jun 12, 2007

, for any interim period. … In light of the significant public interest in the implementation of section 404 of the Sarbanes-Oxley Act, the Commission is providing a 30-day comment period.