Documents

Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Allows for No Minimum Size Order Requirement for the Price Improvement Period Process

Federal Register · Notice · Aug 3, 2005

Solicitation of Comment 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 .

Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs

Federal Register · Rule · Feb 27, 2018

of 1940 [15 U.S.C. 80a-1 et seq. ] (“Investment Company Act” or “Act”). … We request comment on the six-month compliance period extension that we are adopting today.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 2, Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Granting Accelerated Approval of Amendment No. 2, of a Proposed Rule Change To Establish a Nonstandard Expirations Pilot Program

Federal Register · Notice · Dec 21, 2017

No. 2”). 4 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 No. … rule change is consistent with the Act.

Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission

Federal Register · Proposed Rule · Feb 7, 2023

• Send an email to rule-comments@sec.gov. … They are therefore not subject to the provisions of the APA requiring notice, opportunity for public comment, and publication. The Regulatory Flexibility Act of 1980  2 therefore does not apply.

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Proposed Rule · Oct 12, 2012

• If we extend the rule's sunset date, is two years an appropriate period of time to extend the sunset date? Or should we extend the rule's sunset date for a different period of time? … We will continue to assess the rule's operation and impact along with intervening developments during the period of the extension. 34  We received several comments in connection with prior extensions

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value

Federal Register · Notice · Apr 10, 2018

Section 19(b)(2) of the Act  5 provides that, within 45 days of the publication of the notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission … the comment letters.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change With Respect to INAV Pegged Orders for ETFs

Federal Register · Notice · Jan 23, 2013

to Section 19(b)(2) of the Act, 6 the Commission designated a longer period within which to either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings … the Act.

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Sapphire, LLC To Amend the Fee Schedule Related to Fee Waivers and the Open-Close Report

Federal Register · Notice · Mar 17, 2025

expired and the discount period is set to expire on February 28, 2025. … 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; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, Amending the Exchange's Minor Rule Violation Plan

Federal Register · Notice · Feb 25, 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; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Add New Paragraphs (h) and (i) to Rule 11890, Entitled “Clearly Erroneous Transactions”

Federal Register · Notice · May 6, 2014

for the Plan, including any extensions to the pilot period for the Plan. 7 3  Securities Exchange Act Release No. 62886 (Sept. 10, 2010), 75 FR 56613 (Sept. 16, 2010) (SR-NASDAQ-2010-076). … 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

Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3

Federal Register · Rule · Dec 27, 2007

Paperwork Reduction Act A. Background B. Summary of Information Collections C. Summary of Comments and Revisions to Amendments D. Revised Paperwork Reduction Act Burden Estimates III. … Summary of Comments and Revisions to Amendments None of the commenters addressed our request for comment on the Paperwork Reduction Act analysis contained in the Proposing Release.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Listing Requirements Related to Special Purpose Acquisition Companies To Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing From 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination

Federal Register · Notice · Apr 12, 2018

The Commission may, however, extend the period for issuing an order approving or disapproving the proposed rule change by not more than 60 days if the Commission determines that a longer period is appropriate … rule change and the comment letters.

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 2 and Notice of No Objection to Advance Notice, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges

Federal Register · Notice · Oct 2, 2020

The comment period for the related Proposed Rule Change filing closed on September 10, 2020, and the Commission received no comments. 6  As the proposals contained in the Advance Notice were … the three day period.

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals, and the Proposed Deletion of Interpretive Guidance

Federal Register · Notice · Mar 13, 2014

Summary of Comments Received and the MSRB's Response On October 22, 2013, the Commission published the MSRB's proposed rule change in the Federal Register . 27 The comment period ended on November … Extend Implementation Period to One Year One commenter advocated for a one year implementation period, stating that the period proposed by the MSRB was too brief given the scope of the training and

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Under NYSE Arca Equities Rule 8.600 Shares of Nine Series of the IndexIQ Active ETF Trust

Federal Register · Notice · Dec 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; America Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Extension of the Pilot Period Applicable to the Listing and Trading of Options on the iShares MSCI Emerging Markets Index

Federal Register · Notice · Jul 10, 2006

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 .

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 May 1, 2026, pursuant to Section 19(b)(2) of the Act,4 the Commission designated a longer period within … The Commission has received no comment letters on the proposed rule change. 4 15 U.S.C. 78s(b)(2). 5 See Securities Exchange Act Release No. 105339, 91 FR 24625 (May 6, 2026).

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted

Federal Register · Notice · Jan 2, 2013

The Exchange requests that the Commission waive the 30-day operative delay period contained in Exchange Act Rule 19b-4(f)(6)(iii)  4 to the extent needed for timely industry-wide implementation of … 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; National Association of Securities Dealers, Inc; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend the Time for Non-Member Broker/Dealers To Access the Brut and INET Facilities

Federal Register · Notice · Aug 7, 2006

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Concerning Priority in Trades Involving Synthetic Option Orders

Federal Register · Notice · Jun 27, 2006

The Exchange requests that the Commission waive the 5-day pre-filing period and 30-day operative period under Rule 19b-(f)(6)(iii)  14 in order to ensure the continuity of the pilot. … 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.