Documents

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

• Under amended Section 3.5, the ROO, in consultation with the CDS Risk Committee, sets an established periodicity for independent periodic review. … 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; New York Stock Exchange LLC; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent the Retail Liquidity Program Pilot, Rule 107C, Which is Set To Expire on June 30, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS

Federal Register · Notice · Feb 22, 2019

with the RPIs at the clean-up price. … The clean-up price is $10.005. Because the clean-up price is equal to the midpoint of the PBBO, RPIs will receive priority over MPL Orders.

Self-Regulatory Organizations; American Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to Specialist Participation in the After-Hours Trading Facility in Portfolio Depositary Receipts and Investment Trust Securities Based on Stock Indexes for a One-Year Pilot Period

Federal Register · Notice · Sep 2, 1994

No comments were received on the proposal. This order approves the proposed rule change as amended for a one year period. II. … It is therefore ordered, Pursuant to Section 19(b)(2) of the Act\13\ that the proposed rule change (SR-Amex-93-15) is hereby approved for a one year period until August 29, 1995.

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Operational Risk Management Framework

Federal Register · Notice · Jun 8, 2026

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-regulations/self-regulatory-organization-rulemaking

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .08, Related Futures Cross (“RFC”) Order Type

Federal Register · Notice · May 20, 2020

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; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Treasury Clearing Service Initial Margin Approach Model Description Document, Treasury Clearing Service Guaranty Fund and Stress Test Approach Model Description Document, and Treasury Clearing Service Risk Parameter Setting and Review Policy

Federal Register · Notice · Jun 10, 2026

(IV) 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 of Proposed Rule Change by the American Stock Exchange, Inc., Relating to the Permanent Approval of the Exchange's Pilot Program for Specialists in Portfolio Depositary Receipts, Investments Trust Securities, and Index Fund Shares To Participate In the After-Hours Trading Facility

Federal Register · Notice · Jul 23, 1998

The pilot was scheduled to expire on August 29, 1995, but was extended for three successive one-year periods in Securities Exchange Act Release Nos. 36123 (Aug. 18, 1995), 60 FR 44519 (Aug. 28, 1995); … 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; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures

Federal Register · Notice · Apr 15, 2020

” • Subsection 9.2 (Initiating a Cooling-Off Period), to replace “Colling-Off Period” with “Cooling-Off Period. … 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; American Stock Exchange, Inc.; Order Granting Permanent Approval of the Exchange's Pilot Program for Specialists in Portfolio Depositary Receipts, Investment Trust Securities, and Index Fund Shares To Participate in the After-Hours Trading Facility

Federal Register · Notice · Nov 5, 1998

Fund Shares to participate in the after-hours trading (``AHT'') facility to ``clean- up'' order imbalances and to effect closing price coupled orders.\4\ The proposed rule change was published for comment … .\6\ The pilot was scheduled to expire on August 29, 1995, but was extended for three successive one- year periods, and a thirty-day period.\7\ With this proposed rule change, the Amex seeks permanent

Self-Regulatory Organizations; Order Approving Proposed Rule Change by the American Stock Exchange LLC Relating to the Amendment of Rule 126 on a Pilot Program Basis

Federal Register · Notice · Sep 22, 2000

The proposed rule change was published for comment in the Federal Register on June 7, 2000.  3 No comments were received on the proposal. … Moreover, the program will not apply to “clean-up” sales of blocks because the Exchange believes that the current procedure for affecting a clean-up sale at a single price outside the APQ is fairest to

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to Amendments to the Exchange's Automatic Execution Facility (NYSE Direct+)

Federal Register · Notice · Feb 5, 2003

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange has neither solicited nor received written comments on the … Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposal, as amended, is consistent with the Act.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC Relating to the Amendment of Rule 126 on a Pilot Program Basis

Federal Register · Notice · Jun 7, 2000

Commentary .03 would be effective for a six months pilot period. … 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; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Governance Playbook, ICC Risk Management Framework, and ICC Treasury Operations Policies and Procedures

Federal Register · Notice · Jul 20, 2021

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, (the “Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on June 30, 2021, ICE Clear Credit LLC (“ICC”) filed … 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; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rule G-39, on Telemarketing

Federal Register · Notice · Mar 4, 2013

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 of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Additions to ``List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A''

Federal Register · Notice · Jan 29, 1996

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. Sec. 78s(b)(1), notice is hereby given that on December 28, 1995, the New York Stock Exchange, Inc. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were either solicited or received. III.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by Pacific Stock Exchange, Inc., Relating to the Execution of Cross Transactions on the PSE Equities Floors

Federal Register · Uncategorized Document · Oct 25, 1994

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on August 18, 1994, the Pacific Stock Exchange, Inc. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others Written comments on the proposed rule change were neither solicited nor

UNITED STATES OF AMERICA

Agency decision · Agency decision

defeat devices in violation of the Clean Air Act and U.S. environmental regulations. … NOTICE AND COMMENT PERIOD 95.

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to the ICC Risk Management Framework, ICC Risk Management Model Description, ICC Risk Parameter Setting and Review Policy, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework

Federal Register · Notice · Jul 16, 2020

ICC also proposes other minor clarification or clean-up changes to the RMMD. … 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; New York Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, and 5 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 6, 7, and 8 to the Proposed Rule Change to Establish the Hybrid Market

Federal Register · Notice · Mar 31, 2006

price within the same time period. … The Commission believes that it is consistent with the requirements of the Act to disengage Autoquote for limited periods to accommodate these specific activities in the auction market.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the American Stock Exchange, Inc. Relating to Specialist Participation in the After-Hours Trading Facility in Portfolio Depositary Receipts and Investment Trust Securities Based on Stock Indexes

Federal Register · Uncategorized Document · Jul 12, 1994

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 April 21, 1993, the American Stock Exchange, Inc. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received with respect of the proposed