Documents

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the CDSClear Select Membership Model

Federal Register · Notice · Mar 28, 2024

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

Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for C2 Real-Time Data Feeds

Federal Register · Notice · Jan 5, 2017

The data in the BBO Data Feed is refreshed periodically during the trading session. … The data in the Book Depth Data Feed is refreshed periodically during the trading session.

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the iShares MSCI Japan Index Fund

Federal Register · Notice · Aug 8, 2002

The calculation method weights stocks in the index by their beginning-of-period market capitalization. … Shares prices area “swept clean” daily and adjusted for any rights issues, stock dividends, or splits.

Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed for C2 Listed Options

Federal Register · Notice · Oct 22, 2013

The Exchange also proposes to make several formatting and clean up changes to the MDX fee schedule. … rule-comments@sec.gov.

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; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Chapter XV, Section 2, Which Governs the Pricing for Nasdaq Participants Using The Nasdaq Options Market

Federal Register · Notice · Mar 29, 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service

Federal Register · Notice · Apr 8, 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; New York Stock Exchange LLC; Order Approving a Proposed Rule Change to Rule 431 (“Margin Requirements”) and Rule 726 (“Delivery of Options Disclosure Document and Prospectus”), and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change Relating to Customer Portfolio Margining

Federal Register · Notice · Dec 18, 2006

period for the original proposed rule filing until May 11, 2006. 6 The Commission received 8 comment letters in response to the Federal Register notice. 7 On July 20, 2006, the Exchange … Two of these comment letters related to the extension of the comment period for the proposed rule change.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed for CBOE Listed Options

Federal Register · Notice · Oct 22, 2013

The Exchange also proposes to make several formatting and clean up changes to the MDX fee schedule. … 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 Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the Shares of the Breakwave Tanker Shipping ETF

Federal Register · Notice · Mar 23, 2023

(“Exchange” or “NYSE Arca”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1)  1 of the Securities Exchange Act of 1934 (“Act” or “Exchange Act”)  … On November 2, 2022, pursuant to Section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or

ABX Air, Inc.: No Action, Interpretive and/or Exemptive Letter of June 13, 2007

Agency decision · Agency decision

ABX Air, Inc.: No Action, Interpretive and/or Exemptive Letter of June 13, 2007 Home | Previous Page Securities Act of 1934 Rule … Holdings Common Stock in exchange for Company Common Stock may take into account the periods during which they held the Company Common Stock for the purpose of calculating their holding periods for Holdings

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Amending NASD Code of Arbitration Rules 10335 and 10205(h) Regarding Injunctive Relief

Federal Register · Notice · Apr 7, 2000

Rule 10335 took effect on January 3, 1996 for a one-year pilot period. … The Commission seeks comments on this fee structure, including whether the proposal is consistent with the Act which, among other things, prohibits the imposition of inappropriate and unnecessary burdens

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Operational Risk Management Framework

Federal Register · Notice · Jul 20, 2026

The Proposed Rule Change was published for comment in the Federal Register on June 8, 2026. 3 The Commission has not received comments regarding the Proposed Rule Change. … Finally, ICC is making clean-up changes through minor language clarifications and grammatical alterations to the ORMF.

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments No. 1 and No. 2 thereto by the American Stock Exchange LLC Relating to the Listing and Trading of Notes Based on the Select European 50 Index

Federal Register · Notice · Jun 10, 2002

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 proposed rule change is consistent with the Act.

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

Federal Register · Notice · Mar 8, 2002

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27493] Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) March 1, 2002. … Applicants request the following authority for the period ending June 30, 2005 (“Authorization Period”): Development and Administrative Activities Exelon requests authority, directly or through subsidiaries

Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change Relating to the Listing and Trading of Investment Company Units, Including World Equity Benchmark Shares (``WEBS'')

Federal Register · Notice · Oct 15, 1999

Share prices are ``swept clean'' daily and adjusted for any rights issues, stock dividends, or splits. … Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning Amendment No. 1, including whether Amendments No. 1 is consistent with the Act.

Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Granting Accelerated Approval of Proposed Rule Change and Amendments 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 to Proposed Rule Change Relating to Automated Opening Rotations

Federal Register · Notice · Oct 7, 1999

(``PCX'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder, … Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning Amendment No. 3, including whether Amendment No. 3 is consistent with the Act.

Issuer Delisting; Notice of Application of Air Products and Chemicals, Inc. To Withdraw Its Common Stock, $1.00 Par Value, From Listing and Registration on the Pacific Exchange, Inc. File No. 1-04534

Federal Register · Notice · Aug 4, 2005

SECURITIES AND EXCHANGE COMMISSION Issuer Delisting; Notice of Application of Air Products and Chemicals, Inc. … Exchange Act of 1934 (“Act”)  1 and Rule 12d2-2(d) thereunder, 2 to withdraw its common stock, $1.00 par value (“Security”), from listing and registration on the Pacific Exchange, Inc.

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

UNITED STATES OF AMERICA

Agency decision · Agency decision

of 1934 (“Exchange Act”) against BMO Capital Markets Corp. … in violation of Section 17(a)(3) of the Securities Act of 1933 (“Securities Act”).