Documents

Submission for OMB Review; Comment Request

Federal Register · Notice · Sep 14, 2000

Companies that file under this rule are required to retain records for a period of six years. This retention period allows the Commission to perform its audit functions. … Comments must be submitted to OMB within 30 days of this notice. Dated: September 5, 2000. Margaret H. McFarland, Deputy Secretary.

Disclosure of Order Execution Information

Federal Register · Rule · Apr 15, 2024

The release was posted on the Commission's website that day, and comment letters were received beginning the same day. The comment period closed on Mar. 31, 2023. … The comment period was reopened on May 9, 2022, and ended on June 13, 2022: Securities Exchange Act Release No. 94868 (May 9, 2022), 87 FR 29059 (May 12, 2022).

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Registration Rules in General 4

Federal Register · Notice · Mar 17, 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; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000

Federal Register · Notice · Apr 10, 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; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Modify the Listing Rules for Compensation Committees To Comply With Rule 10C-1 under the Exchange Act and Make Other Related Changes

Federal Register · Notice · Oct 15, 2012

This transition period is similar to the transition period used when Nasdaq implemented similar requirements for audit committees in 2003. 73 73   See Securities Exchange Act Release No. … 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; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 7.35C

Federal Register · Notice · Feb 17, 2021

2020 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; National Association of Securities Dealers, Inc; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Modifying Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross

Federal Register · Notice · Jul 27, 2004

the Act. … rule-comments@sec.gov.

Notice of Assumption or Termination of Transfer Agent Services

Federal Register · Uncategorized Document · Dec 8, 1994

Introduction and Summary On January 10, 1992, the Commission published for comment proposed Rule 17Ad-16 pursuant to section 17A(d)(1) of the Act.\1\ Section 17A(d)(1) of the Act provides, among other … The Commission is modifying proposed Rule 17Ad-16(b) to reflect commenter suggestions that the two business day notification period under this section and under proposed Rule 17Ad-16(a) is inadequate to

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Opening Triggers for its Opening Rotation Process for Equity Options

Federal Register · Notice · Jan 10, 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; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Sections 1003 and 1009 of the NYSE American Company Guide

Federal Register · Notice · Jun 5, 2026

period within which to take action on the proposed rule change. 5 The Commission is instituting proceedings pursuant to Section 19(b)(2)(B) of the Act  6 to determine whether to approve or disapprove … For example, the commenter suggests (1) using other liquidity-based thresholds ( e.g., publicly held shares, trading volume, or bid-ask spreads); (2) providing a cure period; (3) conditioning delisting

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Fees Applicable to the NASD Alternative Display Facility

Federal Register · Notice · Feb 14, 2003

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 proposal is consistent with the Act.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Obvious Errors

Federal Register · Notice · Jan 16, 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. … rule-comments@sec.gov.

Purchases of Certain Equity Securities by the Issuer and Others

Federal Register · Proposed Rule · Jan 29, 2010

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … We also seek comment regarding other matters that may have an effect on the proposed amendments. V. Paperwork Reduction Act A.

Self-Regulatory Organizations; Cboe BZX Exchange, 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, To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Federal Register · Notice · Jan 31, 2022

Comments on the proposed rule change can be found at: https://www.sec.gov/comments/sr-cboebzx-2021-051/srcboebzx2021051.htm. … On September 15, 2021, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Conform Rule 2001(b)(2)(viii) to the Seventeenth Amendment of the Intermarket Trading System Plan

Federal Register · Notice · Nov 30, 2001

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. … Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consisten with the Act.

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval of Proposed Rule Change and Amendment No. 1 To Be Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Microcap Initiatives-Amendments to NASD Rules 6530 and 6540

Federal Register · Notice · Jan 8, 1999

Summary of Comments The Commission received three comments on the proposed amendments.\14\ All three commenters supported the proposal; noting that the proposed amendments should help to reduce fraud … The Commission believes that the phase-in period is reasonable and consistent with the Act.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to Approval of Applicants to Membership

Federal Register · Notice · Dec 16, 1996

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. … (C) Self-Regulatory Organization's Statement of Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received. III.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Section 802.01C of the NYSE Listed Company Manual (Price Criteria for Capital or Common Stock) To Restrict the Use of Reverse Stock Splits in Certain Circumstances

Federal Register · Notice · Dec 2, 2024

Comments on the proposed rule change are available at: https://www.sec.gov/comments/sr-nyse-2024-48/srnyse202448.htm. … The Commission finds it appropriate to designate a longer period within which to take action on the proposed rule change, so that it has sufficient time to consider the proposed rule change and comments

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to Its Specialist Performance Evaluation Program

Federal Register · Notice · Jan 27, 1997

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Other No written comments were either solicited or received. III. … In addition, the rule change that implemented the pilot program was published in the Federal Register for the full comment period, and no comments were received.\25\ Accordingly, the Commission believes

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Amend the Gross FOCUS Fee

Federal Register · Notice · Aug 7, 2007

The report is filed periodically with the Commission pursuant to Rule 17a-5 under the Act. 7  17 CFR 240.17d-1. … For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change under Section 19(b)(3)(C) of the Act, the Commission considers the period to commence