Documents

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

Federal Register · Notice · Sep 10, 2001

E-L Enterprises holds all of the issued and outstanding stock of Modern Air Conditioning, Inc. (“Modern AC”) and R.L. Anderson, Inc. (R.L. … and rule 40 under the Act.

Conectiv, Inc.; Order Authorizing Acquisition of Public Utility Companies and Related Transactions; Approving Organization of Service Company Subsidiary; Authorizing Certain Affiliate Transactions; Approving Service Agreements; and Reserving Jurisdiction

Federal Register · Notice · Mar 4, 1998

[[Page 10658]] South Jersey filed supplemental comments on November 7, 1997. By letter dated December 22, 1997, South Jersey withdrew its request for a hearing. I. … The applicable waiting period expired on August 25, 1997 without any comments being provided on the filing. --------------------------------------------------------------------------- \20\ See Atlantic

Proposed Collection; Comment Request

Federal Register · Notice · Aug 2, 2019

Each of the rule's safe harbors imposes conditions designed to assure that there is a clean break between the abandoned offering and the later offering. … Please direct your written comments to Charles Riddle, Acting Director/Chief Information Officer, Securities and Exchange Commission, c/o Candace Kenner, 100 F Street NE, Washington, DC 20549 or send an

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

Federal Register · Notice · Jun 27, 1996

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26535] Filings Under the Public Utility Holding Company Act of 1935, As Amended (``Act'') June 21, 1996. … 9(a) and 10 of the Act, and rule 54 thereunder.

Self-Regulatory Organizations; LCH SA; Notice of Filing of Amendment No. 1 and Partial Amendment No. 1 to Proposed Rule Change Relating to the CDSClear Select Membership Model

Federal Register · Notice · Oct 24, 2024

The Proposed Rule Change was published for public comment in the Federal Register on March 28, 2024. 3 On May 9, 2024, pursuant to Section 19(b)(2) of the Exchange Act, 4 the Commission … 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; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Modify Complex Order Fees and Rebates

Federal Register · Notice · Feb 12, 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 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, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading

Federal Register · Notice · Aug 8, 2014

The proposed rule change was published for comment in the Federal Register on May 13, 2014. 3 On June 23, 2014, the Commission extended the time period in which to either approve the Proposal, … to small orders on the floor will further skew participants' incentives to bring orders to the floor to achieve a frictionless “clean cross” and deprive customers of vigorous competition for these orders

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modernize and Simplify NASD Rule 2720

Federal Register · Notice · Jun 19, 2009

The proposal would, however, shorten the relevant period from five to three years and would impose, as discussed above, the requirement that a QIU must have acted as a managing underwriter in at least … actions, FINRA enunciated its belief that issuers' periodic reporting requirements under the Exchange Act have been enhanced and listing standard changes intended to improve corporate governance and enhance

Save The World Air, Inc.; Order of Suspension of Trading

Federal Register · Notice · Jul 24, 2000

tests of STW Air's “Zero Emission Fuel Saver” device and STW Air's purported relationship with the Ford Motor Company. … Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the above listed company is suspended for the period from 9:30 a.m.

Proposed Collection; Comment Request; Extension: Rule 155

Federal Register · Notice · Nov 18, 2022

and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-2736 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq. … Each of the rule's safe harbors imposes conditions designed to assure that there is a clean break between the abandoned offering and the later offering.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment Nos. 1 and 2 to the Proposed Rule Change Relating to Customer Portfolio Margining; Order Granting Accelerated Approval to the Proposed Rule Change, as Amended

Federal Register · Notice · Dec 18, 2006

A clean copy of the proposed rule, as amended by Amendment Nos. 1 and 2, is attached to this order as Exhibit A. … One of the comment letters related to the extension of the comment period for the proposed rule change.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. and Order Granting Accelerated Approval of the Proposed Rule Change To Establish a Pilot Program To Amend the Minimum Numerical Standards (Sections 102.01C, 103.01B, 802.01B, and 802.01C of the Listed Company Manual)

Federal Register · Notice · Feb 5, 2004

the Act. … Comments may also be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. SR-NYSE-2003-43.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee

Federal Register · Notice · Aug 23, 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; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. Relating to the Addition of Interpretive Material to Several Exchange Rules

Federal Register · Notice · Jun 9, 2003

The specialist must keep such memoranda records for a period of three years. … the Act.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.201

Federal Register · Notice · Aug 2, 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

Commission Statement in Support of Convergence and Global Accounting Standards

Federal Register · Notice · Mar 2, 2010

(“Air Products”), Community Health Systems, Inc. … Timeliness The IASB normally allows a period of 120 days for comment on a discussion paper and exposure draft.

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee

Federal Register · Notice · Aug 23, 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; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Voluntary Termination by Offset and Re-Matching of Matched-Book Positions in the Stock Loan/Hedge Program

Federal Register · Notice · Mar 28, 2016

OCC also proposes conforming and clean-up changes to Article XXI, Sections 2, 3 and 4 of its By-Laws. … 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; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as Modified by Amendment No. 2, Changing Certain NYSE Rules and Rule Interpretations To Harmonize Them With Changes to Corresponding Rules Recently Filed by the Financial Industry Regulatory Authority, Inc.

Federal Register · Notice · Apr 6, 2009

In this filing, FINRA proposed additional clean-up rule changes, including to FINRA Rules 3130, 4560 and 5190 addressed in this filing. … 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 e-mail to rule-comments

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.201

Federal Register · Notice · Mar 1, 2017

On September 6, 2016, 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 … , 7 the Commission designated a longer period within which to approve or disapprove the proposed rule change. 8 The Commission has received nine comments on the proposed rule change. 9