Documents

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12

Federal Register · Notice · Mar 21, 2022

rule-comments@sec.gov. … All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions.

Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program

Federal Register · Notice · Jan 13, 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

Publication or Submission of Quotations Without Specified Information

Federal Register · Proposed Rule · Apr 14, 1999

period for a release reproposing amendments to Rule 15c2-11 under the Securities Exchange Act of 1934 (Release No. 34-41110) which was published in the Federal Register on [[Page 18394]] March 8, 1999 … The Commission has recently received several requests to extend the comment period and believes that extending the comment period is appropriate in order to give the public additional time to comment on

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Inc. To Amend Its Obvious Error Rule

Federal Register · Notice · Dec 28, 2004

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Previously Approved Rules Relating To a New Class of Off-Floor Market Maker Called Designated Amex Remote Traders

Federal Register · Notice · Nov 14, 2007

The Exchange plans to refile the proposed rule change with some revisions and subject to a new comment period. … The Commission has determined to waive the five-day pre-filing notice period in this case.

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 To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust

Federal Register · Notice · Dec 12, 2018

On August 7, 2018, 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 institute … at 48667 (citing 15 U.S.C. 78f(b)(5)). 8  All comments on the proposed rule change are available on the Commission's website at: https://www.sec.gov/comments/sr-cboebzx-2018-040/cboebzx2018040

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Chicago Stock Exchange, Inc. Relating to the Listing and Trading of Trust Issued Receipts

Federal Register · Notice · Jul 7, 2000

No comments were received. … the Act.

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NYSE National Rule 11.5190

Federal Register · Notice · Dec 2, 2019

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 MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rules 340, 341, and 359 To Extend the Time Within Which a Member, Member Organization, or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration (“U5”)

Federal Register · Notice · Aug 23, 2016

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

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 965NY, Which Governs NDX and RUT Combination Orders

Federal Register · Notice · Aug 26, 2013

Exchange. 5 1  15 U.S.C. 78s(b)(1). 2  17 CFR 240.19b-4. 3   See Securities Exchange Act Release No. 69919 (July 2, 2013), 78 FR 41168. 4   See comment … 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 this proposed rule change, the comment

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Disapproving a Proposed Rule Change To Amend Nasdaq Rule 5704

Federal Register · Notice · Apr 6, 2021

On September 10, 2020, pursuant to Section 19(b)(2) of the Exchange Act, 4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule … The commenter conducted a survey of its members that sought information on level of assets, number of beneficial holders, and various trading measures of newly-listed ETFs over different periods following

Notice of Extension of Comment Period; Request by ProTrade for Exemption From Registration as a Clearing Agency

Federal Register · Notice · Feb 27, 1996

period is appropriate. … Therefore, the Commission is extending the comment period for responding to Securities Exchange Act Release No. 36587 [File No. 600-28] from February 16, 1996, until March 8, 1996.

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change To Establish Certain Fees With Respect to Transactions Executed Through the Intermarket Trading System

Federal Register · Notice · Oct 18, 2005

rule-comments@sec.gov . … In this case, the Commission does not believe a comment period is necessary because all of the parties affected by the proposed fee—the other ITS participant exchanges—have already consented to and will

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Units of the Sprott Physical Copper Trust

Federal Register · Notice · Dec 12, 2025

Comments on the proposed rule change are available at: https://www.sec.gov/comments/sr-nysearca-2025-24/srnysearca202524.htm. … On August 5, 2025, 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 institute

Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change to Amend Exchange Rule 11.19 Entitled “Clearly Erroneous Executions” To Add Provisions Regarding Executions Based on Incorrect or Grossly Misinterpreted Issuance Information and Executions Occurring After a Trading Halt Has Been Declared

Federal Register · Notice · May 6, 2014

with the pilot period for the Limit Up-Limit Down Plan, including any extensions to the pilot period for the Plan. … 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; Long-Term Stock Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Regarding Complimentary Products and Services Offered by the Exchange

Federal Register · Notice · Apr 20, 2026

The proposed rule change was published for comment in the Federal Register on January 16, 2026. 4 On February 26, 2026, pursuant to Section 19(b)(2) of the Act, 5 the Commission designated … 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; New York Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Proposed Rule Change Relating to a One-Year Pilot Program for Transmission of Proxy and Other Shareholder Communication

Federal Register · Notice · Mar 24, 1997

effectiveness of the proposal during the pilot period.\83\ Moreover, one commenter suggests that unresolved issues can be addressed by an industry committee during the pilot period.\84\ One commenter … The Commission will continue to consider the comments during the one-year pilot period and reevaluate these comments before approving a permanent fee schedule.

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Date of Implementation of the NASD's Primary Market Maker Standards and the Duration of the Pilot Program for the NASD's Short Sale Rule

Federal Register · Notice · Sep 7, 1995

The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants, or Others Comments were neither solicited nor received. III.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Representation Regarding the VanEck Merk Gold Trust

Federal Register · Notice · Aug 7, 2023

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

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Rule · Dec 30, 2009

In conjunction with recently reopening the comment period for the proposal with respect to Rule 206(3)-3T, the Commission requested comment on whether it should substitute an approach that uses credit … The re-opened comment period closed on December 8, 2009.