Documents

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.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Gabelli ETFs Under Rule 8.900-E, Managed Portfolio Shares

Federal Register · Notice · Jun 3, 2020

The Fund intends to invest primarily in U.S. equity securities and depositary receipts issued by clean energy companies. … 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

Integration of Abandoned Offerings

Federal Register · Rule · Feb 5, 2001

ACTION: Final rule; solicitation of comment on Paperwork Reduction Act burden estimate. … Of the registration statements filed during the five-year period from January 1, 1995 to December 31, 1999, issuers withdrew 851 Securities Act registration statements.

Securities Whistleblower Incentives and Protections

Federal Register · Rule · Jun 13, 2011

App. 255, 258-59 (4th Cir. 2007) (Clean Air Act); Williams v. U.S. DOL, 157 Fed. … ); 42 U.S.C. 7622(g) (Clean Air Act); 42 U.S.C. 9610(d) (CERCLA); 42 U.S.C. 5851(g) (Energy Reorganization Act).

Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 33 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the 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., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.

Federal Register · Notice · Oct 7, 2014

Rather, if the Commission believes that a longer comment period is appropriate for a particular filing, it may extend the comment period or abrogate the filing. … The Commission's process, including public comment as appropriate and when permitted by the statutory language, then acts as an additional constraint on pricing.

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Treasury Clearing Service Initial Margin Approach Model Description Document, Treasury Clearing Service Guaranty Fund and Stress Test Approach Model Description Document, and Treasury Clearing Service Risk Parameter Setting and Review Policy

Federal Register · Notice · Jul 28, 2026

The proposed rule change was published for comment in the Federal Register on June 10, 2026. 3 The Commission did not receive comments regarding the proposed rule change. … However, the proposal would amend the GF and Stress Test Approach Model Description by including clarifications and other clean-up changes. 13   See Notice, 91 FR at 35287.

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules To Enable the Exchange To Offer Trading in Equity Securities and Exchange Traded Products 23 Hours per Day, Five Days per Week

Federal Register · Notice · Apr 15, 2026

This approach provides Members with a clean start to each trading day and reduces the risk of unintended executions based on stale order instructions. … 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

Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies

Federal Register · Uncategorized Document · Nov 8, 1994

The Federal Aviation Act, for example, establishes percentage limitations on board membership and voting interests in determining whether an air carrier is considered a United States citizen.88 ------- … Administrative Policy During the Period of Reexamination During the pendency of the review of comments elicited by this release, and while awaiting adoption of such legislative or administrative amendments

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

Federal Register · Notice · Dec 23, 1999

Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by January 10, 2000, to the Secretary, Securities and Exchange … under the Act.

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4626-Limitation of Liability

Federal Register · Notice · Aug 1, 2012

Section 405(c)(3)(B)(i) of the Air Transportation Safety and System Stabilization Act (requiring release by persons receiving compensation with respect to airline crashes on September 11, 2001). … Nasdaq will give due consideration to all comments submitted during the comment period, but notes that comments advocating different approaches should include a complete exposition of potentially relevant

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Procedures for Large and Complex Arbitration Cases

Federal Register · Uncategorized Document · Nov 29, 1994

Pursuant to section19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on November 18, 1994, the National Association of Securities Dealers, Inc. … The Commission requests that, in addition to any general comments concerning whether the proposed rule change is consistent with Section 15A(b)(6) of the Act, commentators address the following: Commenters

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Expand TRACE To Include Agency Debt Securities and Primary Market Transactions

Federal Register · Notice · Apr 16, 2009

See Securities Exchange Act Release No. 59519 (March 5, 2009), 74 FR 10630 (March 11, 2009) (notice requesting comment on SR-FINRA-2009-004). U.S. … 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; American Stock Exchange LLC; Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 3 and 4 to the Proposed Rule Change Relating to the Implementation of Quick Trade

Federal Register · Notice · May 30, 2002

The proposed rule change, as amended, was published for comment in the Federal Register on December 31, 2001. 4 The Commission received no comments on the proposal. … Act.

Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the New Swaption Standard Terms Supplement

Federal Register · Notice · Jan 26, 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; New York Stock Exchange, Inc.: Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Proposed Rule Change Relating to the Reimbursement of Member Organizations for Costs Incurred in the Transmission of Proxy and Other Shareholder Communication Material

Federal Register · Notice · Mar 24, 1999

pilot period.\24\ Several other commenters believed that a shorter pilot period would be more appropriate.\25\ The commenter retained by ADP asserted that ``the `ongoing pilot' approach to regulating … with the Act.

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

Federal Register · Notice · Nov 26, 2004

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27913] Filing Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) November 19, 2004. … of 1934, as amended (“1934 Act”).

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended by Amendment No. 1, To Extend the Exchange's Trading Hours to 23 Hours per Day, Five Days per Week

Federal Register · Notice · Jun 3, 2026

This approach provides Members with a clean start to each trading day and reduces the risk of unintended executions based on stale order instructions. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules-regulations/self-regulatory-organization-rulemaking

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.

Federal Register · Notice · Feb 27, 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; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Federal Register · Notice · Feb 22, 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

INSTRUCTIONS FOR PREPARATION OF

Agency decision · Agency decision

If a limit is introduced or discontinued during a reporting period, report the following information for each trading day that the trading desk used the limit during the period. … Banking entities may calibrate to a 1-day holding period using appropriate scaling of a VaR measure made for a different holding period.27 B. Source-of-Revenue Measurements Part 3.