Documents

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Rules of the Exchange, the NYSE MKT Equities Price List, the NYSE Amex Options Fee Schedule, and the NYSE Amex Options Proprietary Market Data Fees

Federal Register · Notice · May 30, 2017

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; 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend FINRA Rules 1015, 9261, 9524 and 9830 To Permit Hearings Under Those Rules To Be Conducted by Video Conference

Federal Register · Notice · Sep 9, 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

Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies

Federal Register · Rule · Dec 21, 2006

for a transition period postponing compliance with these requirements until the second annual report filed with the Commission. 77 One commenter suggested that the transition period was of “critical … One commenter sought clarification on the transition period, 80 and others suggested expanding the transition period for newly public companies to allow them more time to comply with the requirements

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Modelling Framework

Federal Register · Notice · Jan 11, 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 • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ) or • Send an email to rule-comments@sec.gov.

Key Points About Regulation SHO

Agency decision · Agency decision

Rule 204 provides an extended period of time to close out certain failures to deliver. … One of the primary purposes of Regulation SHO is to clean up open fail positions, but not to cause short squeezes.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the National Association of Securities Dealers, Inc. Eliminating Certain Eligibility Requirements for Participating in the Primex Auction System as a Primex Auction System Market Maker

Federal Register · Notice · Apr 14, 2003

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. … 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; 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; Miami International Securities Exchange, LLC; Order Approving a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .08, Related Futures Cross Orders

Federal Register · Notice · Jul 8, 2020

The proposed rule change was published for comment in the Federal Register on May 20, 2020. 3 The Commission received no comment letters regarding the proposed rule change. … The Exchange notes that a Qualified Contingent Cross Order is similarly executed as a clean cross. See Notice, 85 FR at 30781, n. 14 (citing MIAX Rule 516(j)).

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules To Permit Trading 23 Hours per Day, Five Days per Week

Federal Register · Notice · Sep 14, 2026

ET on the next calendar day for the period from Sunday at 9:00 p.m. ET through Friday at 8:00 p.m. ET. … 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

Use of Form S-8 and Form 8-K by Shell Companies

Federal Register · Proposed Rule · Apr 21, 2004

Follow the instructions for submitting comments. Paper comments: • Send paper comments in triplicate to Jonathan G. … • Is the waiting period proposed in 1999 preferable? • Should the waiting period be tied to some event other than filing of Form 10-equivalent information?

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 Thereto Relating to the Demutualization of the Philadelphia Stock Exchange, Inc.

Federal Register · Notice · Jan 27, 2004

Comments may also be submitted electronically at the following e-mail address: rule-comments@sec.gov . All comment letters should refer to File No. SR-Phlx-2003-73. … To help the Commission process and review comments more efficiently, comments should be sent in hardcopy or by e-mail but not by both methods.

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Access Service Fees

Federal Register · Notice · Jan 9, 2012

The Specialist Post Fee combined with the Floor Facility Fee would allow the Exchange to cover such costs as cleaning, HVAC and general maintenance. … rule-comments@sec.gov.

Joint Industry Plan; Notice of Filing of Amendment No. 21 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., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc

Federal Register · Notice · May 13, 2010

Solicitation of Comments The Commission seeks general comments on Amendment No. 21. … 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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

ET on the next calendar day for the period from Sunday at 9:00 p.m. ET through Friday at 8:00 p.m. … 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; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model

Federal Register · Notice · Jul 30, 2020

OCC also proposes other clean-up changes to the Margins Methodology. … 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; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Change the Definition of Net Zero Complex Order

Federal Register · Notice · Mar 17, 2017

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

MFS Government Markets Income Trust et al.; Notice of Application

Federal Register · Notice · Nov 4, 2009

ACTION: Notice of application under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from section 19(b) of the Act and rule 19b-1 under the Act. … limits the number of capital gains dividends, as defined in section 852(b)(3)(C) of the Code (“distributions”), that a fund may make with respect to any one taxable year to one, plus a supplemental “clean

Pegasus Aircraft Partners, L.P.: No Action, Interpretive and/or Exemptive Letter of February 9, 2004

Agency decision · Agency decision

(Pegasus Aircraft Management Corporation and Air Transport Leasing, Inc. are herein collectively referred to as the "General Partners"). … During the period between December 23, 1988 and March 22, 1989, the Partnership acquired its portfolio of used commercial aircraft.

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

Federal Register · Notice · Oct 27, 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 November 15, 1999, to the Secretary, Securities and Exchange … under the Act.