Documents

Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 6, To Establish a New Hybrid Trading System Known as AEMISM

Federal Register · Notice · Oct 10, 2006

If the AEMI Book is still locked or crossed after the initial ten-second period and the Specialist has not acted, AEMI would attempt to re-enable auto-ex in ten-second intervals. … rule-comments@sec.gov.

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market Order Collar for BATS Options

Federal Register · Notice · Apr 23, 2013

The Exchange is also proposing to make two clean-up changes by eliminating references to discretionary orders in Rule 21.8. … 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.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

ICC also proposes clean-up changes to its overview of initial default auctions for the CDS clearing service. … 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 e-mail to rule-comments

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Designated Liquidity Provider and Market Quality Supporter Programs in Equity 7, Section 114

Federal Register · Notice · Mar 23, 2026

These are non-substantive clean-up changes that are intended to enhance rule clarity and transparency. B. … 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; The Options Clearing Corporation; Notice of No Objection To Advance Notice Filing Concerning The Options Clearing Corporation's Margin Methodology

Federal Register · Notice · May 29, 2018

Since the proposal contained in the Advance Notice was also filed as a proposed rule change, all public comments received on the proposal are considered regardless of whether the comments are submitted … Act.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Establish a New Optional Wireless Connectivity for Colocated Clients

Federal Register · Notice · Jan 31, 2013

As noted by the Exchange, wireless connectivity involves the beaming of signals through the air between towers that are within sight of one another. … the Act.

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add 75 Classes to the Penny Pilot Program

Federal Register · Notice · May 11, 2010

For example, the quarterly additions to be added on May 3, 2010 shall be determined using data from the six month period ending March 31, 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.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Company Listing Fees Under Exchange Rule 14.13

Federal Register · Notice · Jul 15, 2024

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

Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)

Federal Register · Notice · Jul 28, 2000

, by rule 2 under the Act, from registration under section 5 of the Act, has filed an application under sections 9(a)(2) and 10 of the Act. … The transactions would be for fixed periods and stated notional amounts.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc., to Change Its Original and Continued Quantitative Listing Standards

Federal Register · Notice · Jul 2, 2004

the Act. … rule-comments@sec.gov.

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

Federal Register · Uncategorized Document · Jun 17, 1994

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26064] Filings Under the Public Utility Holding Company Act of 1935 (``Act'') June 10, 1994. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by July 5, 1994, to the Secretary, Securities and Exchange Commission

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees

Federal Register · Notice · Apr 15, 2014

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

Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)

Federal Register · Notice · Mar 20, 2003

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27658] Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) March 14, 2003. … Notice is hereby given that the following filings have been made with the Commission pursuant to provisions of the Act and rules promulgated under the Act.

Self-Regulatory Organizations; Order Granting Approval to Proposed Rule Change by the Chicago Stock Exchange, Inc., Relating to Trading of Particular Investment Company Units

Federal Register · Notice · Sep 29, 1997

The calculation method weights stocks in an index by their beginning-of-period market capitalization. … Share prices are ``swept clean'' daily and adjusted for any rights issues, stock dividends or splits.

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Schedule of Fees

Federal Register · Notice · May 22, 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

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Phlx Permit Fee, Order Entry Port Fee, Clearing Trade Interface Port Fee, and Active Specialized Quote Feed Port Fee

Federal Register · Notice · May 5, 2015

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

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

Federal Register · Notice · Jan 27, 1997

SECURITIES AND EXCHANGE COMMISSION [Release No. 35--26648] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') January 17, 1997. … Act Release No. 13105 (Feb. 16, 1969), amended, Holding Co. Act Release No. 16369 (May 8, 1969); Holding Co. Act Release No. 13105 (Feb. 16, 1969), amended, Holding Co.

Power Air Corporation, Wescorp Energy, Inc., and World Ventures, Inc.; Order of Suspension of Trading

Federal Register · Notice · Jan 17, 2014

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Power Air Corporation because it has not filed any periodic … Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for Certain CBOE Real-Time Data Feeds

Federal Register · Notice · Jan 11, 2016

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 and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the Pacific Exchange, Inc. Relating to Membership, Options Floor and Market Maker Fees

Federal Register · Notice · Jul 25, 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.