Documents

Rule 701Exempt Offerings Pursuant to Compensatory Arrangements

Federal Register · Rule · Mar 8, 1999

We received no comments in response to this request either. A copy of the Final Regulatory Flexibility Act Analysis may be obtained from Twanna M. … period of time before the date of sale: (1) If the plan is subject to the Employee Retirement Income Security Act of 1974 (``ERISA'') (29 U.S.C. 1104-1107), a copy of the summary plan description

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Amending the Exchange's Clearing the Post Policy for Cabinet Securities

Federal Register · Notice · Nov 28, 1997

rule change and discussed any comments it received on the proposed rule change. … 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.

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 980NY(e), Electronic Complex Order Auction Process Removing the Limitation on Who Can Respond to a COA and Provide a Response Time Interval of at Least 500 Milliseconds; and Amend Rule 935NY, Order Exposure Requirements To Add Use of the COA for a User To Satisfy the Order Exposure Requirement in Rule 935NY and Delete the Reference in Rule 980NY(e) to the Order Exposure Requirements Being Separate From the Duration of the COA Response Time Interval

Federal Register · Notice · Jun 8, 2015

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; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Extend and Expand the Pilot Program To Quote Certain Options in Pennies

Federal Register · Notice · Aug 21, 2007

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.

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rules 340, 341, and 359 To Extend the Time Within Which a Member or Member Organization or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration

Federal Register · Notice · Jul 7, 2016

Pursuant to Section 19(b)(1)  1 of the Securities Exchange Act of 1934 (the “Act”)  2 and Rule 19b-4 thereunder, 3 notice is hereby given that, on June 16, 2016, NYSE MKT LLC (the “Exchange … 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.

Options Price Reporting Authority; Notice of Filing and Order Granting Accelerated Effectiveness of Amendment to OPRA Plan Adopting a Temporary Capacity Allocation Plan

Federal Register · Notice · May 19, 2000

In addition, the Commission has sought public comment on two alternative formulas for allocating OPRA systems capacity during peak usage periods. … Second, the Commission recently requested comment on its proposed amendment to the OPRA Plan to adopt an objective capacity allocation formula. 11 The Commission notes that the comment period on that

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 to Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Standards for Individual Correspondence

Federal Register · Notice · May 8, 1998

(I) Periodic Investment Plans. … Act.

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, as Modified by Amendment No. 3, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF

Federal Register · Notice · Jul 2, 2019

The proposed rule change was published for comment in the Federal Register on December 31, 2018. 3 On February 13, 2019, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … The Commission may extend the period for issuing an order approving or disapproving the proposed rule change, however, by not more than 60 days if the Commission determines that a longer period is appropriate

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Federal Register · Notice · Dec 26, 2013

The Commission, however, may 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 … and the Securities Act of 1933 and the rules thereunder.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Federal Register · Notice · Sep 22, 2022

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 … 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; Filing of Proposed Rule Change by New York Stock Exchange, Inc. Relating to Additions to the ``List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A''

Federal Register · Uncategorized Document · Apr 6, 1994

Pursuant to sections 19 (b)(1) and (d)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s (b)(1) and (d)(1), notice is hereby given that on March 2, 1994, the New York Stock Exchange, Inc … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants or Others The Exchange has neither solicited nor received written comments on the

Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies

Federal Register · Rule · Feb 7, 2003

ACTION: Final rule; request for comments on Paperwork Reduction Act burden estimate. … Comment Date: Comments regarding the “collection of information” requirements, within the meaning of the Paperwork Reduction Act of 1995, of Form N-PX should be received by March 14, 2003.

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee (ORF)

Federal Register · Notice · Dec 16, 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; Order Approving Proposed Rule Change and Amendments No. 1 and 2 by National Association of Securities Dealers, Inc. Relating to Internal Controls and Supervisory Control Amendments and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3.

Federal Register · Notice · Jun 23, 2004

On December 18, 2002, the Commission extended the 21-day comment period for an additional 30 days. … On September 8, 2003, the Commission extended the 21-day comment period for an additional 30 days.

Penalty-Reduction Policy for Small Entities

Federal Register · Rule · Apr 4, 1997

After the comment period has closed and the Commission has gained experience in applying the policy, the Commission intends to re- evaluate the policy in light of its experience and the comments of interested … The Commission intends to revisit the Policy when a reasonable period has passed after the end of the comment period.

In the Matter of the Application of Dream Exchange Holdings, Inc. for Registration as a National Securities Exchange; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934

Federal Register · Notice · Aug 27, 2025

exchange under section 6 of the Act. 1 Notice of the application was published for comment in the Federal Register on March 3, 2025. 2 The Commission received no comments on the Form 1. … exchange under section 6 of the Act. 4 On July 8, 2025, DreamEx filed an amendment to the Form 1 (“Amendment No. 1”). 5 Amendment No. 1 was published for comment in the Federal Register

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend the Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements

Federal Register · Notice · Feb 19, 2021

and superseded the proposed rule change in its entirety. 4 On July 27, 2020, pursuant to Section 19(b)(2) of the Act, 5 the Commission designated a longer period within which to approve … the Act.

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amended Proposed Rule Change Amending FAST and DRS Limited Participant Requirements for Transfer Agents

Federal Register · Notice · Jun 19, 2008

The comment letters can be found at http://www.sec.gov/comments/sr-dtc-2006-16/dtc200616.shtml. III. … 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; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Extend the Waiver Period for Certain Non-Transaction Fees and To Extend the SPIKES Options Market Maker Incentive Program Until December 31, 2022

Federal Register · Notice · Oct 13, 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

Initial Decision Release No. 1378

Agency decision · Agency decision

The third company was called The Spongebuddy, LLC, and the pitch to investors involved a cleaning glove called the “Spongebuddy.” Id. at 9. … Other Factors In her opposition, Monaco points to her seventy-four month prison sentence and three-year period of supervised release to argue that she is not a threat.