Documents

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Partial Customer Account Transfers

Federal Register · Notice · Jul 22, 2004

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. … The Commission received no comment letters opposing the NYSE rule. It is therefore ordered , pursuant to Section 19(b)(2) of the Act, that the proposed rule change (File No.

Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change To Amend the Corporate Documents of the Exchange's Parent Company

Federal Register · Notice · Nov 3, 2021

Clean-Up Amendments Lastly, the Exchange is proposing to make various non-substantive “clean-up” amendments throughout the Holdco LLC Agreement to correct typos, update section references, make minor … 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; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, To List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust

Federal Register · Notice · Jul 14, 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

Joint Industry Plan; Notice of Filing of a National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.

Federal Register · Notice · Jun 1, 2011

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 … (including the period of the Limit State)

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework

Federal Register · Notice · Dec 12, 2023

FICC filed the proposed rule change pursuant to section 19(b)(3)(A) of the Act  3 and Rule 19b-4(f)(4) thereunder. 4 The Commission is publishing this notice to solicit comments on the proposed … 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; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Strategy Fee Cap and Clarifications to the CBOE Fees Schedule

Federal Register · Notice · May 16, 2011

The Exchange also proposes a clean-up change to the Fees 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 e-mail to rule-comments

Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange Price List

Federal Register · Notice · Jan 11, 2011

This is a clean-up change and is not substantive in nature. These changes are intended to be effective immediately for all transactions beginning January 3, 2011. 2. … 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; LCH SA; Order Approving Proposed Rule Change Relating to Extension of Weekly Backloading Cycle to Index Swaptions

Federal Register · Notice · Oct 18, 2019

Rules”) to make conforming, clarifying, and clean-up changes intended to extend the weekly backloading process to Index Swaptions and amend the structure of the documentation relating to the backloading … process (“Weekly Backloading Cycle”). 3 The proposed rule change was published for comment in the Federal Register on September 9, 2019. 4 The Commission has not received any comments on

Amendments to Regulation SHO

Federal Register · Proposed Rule · Jul 21, 2006

General Request for Comment The Commission seeks comment generally on all aspects of the proposed amendments to Regulation SHO under the Exchange Act. … We are seeking comment on an appropriate length of implementation period that should provide sufficient notice.

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework

Federal Register · Notice · Dec 13, 2023

DTC filed the proposed rule change pursuant to section 19(b)(3)(A) of the Act  3 and Rule 19b-4(f)(4) thereunder. 4 The Commission is publishing this notice to solicit comments on the proposed … 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; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework

Federal Register · Notice · Dec 12, 2023

NSCC filed the proposed rule change pursuant to section 19(b)(3)(A) of the Act  3 and Rule 19b-4(f)(4) thereunder. 4 The Commission is publishing this notice to solicit comments on the proposed … 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; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Relating to Interpretation of Rule G-38 on Consultants Concerning Bank Affiliates and the Definition of Payment

Federal Register · Notice · May 28, 1998

See Securities Exchange Act Rel. No. 39391 (December 3, 1997), 62 FR 65114 (December 10, 1997) (SR-MSRB-97-8). The Commission received four comment letters on the filing. See infra note 6. … To provide additional time to fully air the concerns raised by the commenters, the Board agreed to withdraw this filing and resubmit it, pursuant to Section 19(b)(2). See letter from Diane G.

Rescission of Climate-Related Disclosure Rules

Federal Register · Proposed Rule · Jun 3, 2026

period for Proposing Release); Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments, Release No. 33- … Air Res.

UNITED STATES OF AMERICA

Agency decision · Agency decision

NOTICE AND COMMENT PERIOD 103. … an email to rule-comments@sec.gov.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule

Federal Register · Notice · Mar 10, 2021

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; Cboe Exchange, Inc.; 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 Make Qualified Contingent Cross Orders Available for FLEX Option Trading

Federal Register · Notice · Nov 24, 2020

The proposed rule change was published for comment in the Federal Register on August 20, 2020. 3 On October 1, 2020, the Commission designated a longer period for Commission action on the proposed … 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; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize Various Fees Within the Exchange Fee Schedule

Federal Register · Notice · Apr 28, 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; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.24

Federal Register · Notice · Apr 1, 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

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

Federal Register · Notice · Sep 14, 1995

prior to the interest period. … The Old Bonds were issued to finance the acquisition and improvements of air and water pollution control facilities at two plants--the Barney M.

Self-Regulatory Organizations; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to the Proposed Rule Change by the New York Stock Exchange, Inc. To Amend Rule 123A.40

Federal Register · Notice · Feb 17, 2000

The proposed rule change was published for comment in the Federal Register on July 22, 1999. 3 On November 1, 1999, the Exchange filed Amendment No. 1. 4 The Commission received no comments … Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning Amendment No. 1, including whether Amendment No. 1 is consistent with the Act.