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Agency decision · Agency decision

D.C. 20006-4078 TELEPHONE 12021 452 - 7000 FACSIMILE (202) 452 - 7074 BOGOTA BRASILIA BUENOS AIRES C..RACAS CHICAGO DALLAS HOUSTON MEXICO CITY MIAMI MONTERREY SAN FRANCISCO SANTIAGO SAO PAULO NEW … of 1940 (the "Act") if, during the period from June 16, 1998, until February 1, 1999 (or such later date as the Commission may specify as the end of the transition period for implementation of the 1997

Banco Santander Central Hispano: Market Regulation No

Agency decision · Agency decision

The BSCH Shares are also listed on the New York (in the form of American Depositary Shares (“ ADSs ”)), Milan, Lisbon and Buenos Aires Stock Exchanges. … The average daily trading volume of the BSCH Shares on the Milan, Lisbon and Buenos Aires Stock Exchanges during 2003 was approximately €124,628 ($151,074) in the aggregate.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

of 1933 (“Securities Act”). … The Company and the Utility file periodic reports with the Commission under Section 13(a).ofthe Exchange Act on a combined basis.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

If necessary, the exchange offer will be immediately followed by a clean-up spinoff. … We have been advised by Lockheed Martin that it is current in its periodic reporting obligations under the Exchange Act.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule in Conjunction With Relocating the Trading Floor to a New Trading Facility

Federal Register · Notice · Dec 27, 2018

The Exchange notes that this deletion is a “clean up” change and (unlike the balance of the changes) is not tied to the relocation. … 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; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Clearing of Single-Name Credit Default Swaps by U.S. Customers

Federal Register · Notice · May 3, 2021

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; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program

Federal Register · Notice · May 12, 2010

DAL Delta Air Lines Inc EWT iShares MSCI Taiwan Index Fund. FXE CurrencyShares Euro Trust KBH KB Home. COST Costco Wholesale Corp CREE Cree Inc. … 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; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program

Federal Register · Notice · May 11, 2010

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 E-mail to rule-comments

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Seventy-Five Options Classes to the Penny Pilot Program

Federal Register · Notice · May 11, 2010

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposal 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 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 Options 7, Section 2(1)

Federal Register · Notice · Dec 20, 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 Address Brokers With a Significant History of Misconduct

Federal Register · Notice · Apr 14, 2020

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)  1 and Rule 19b-4 thereunder, 2 notice is hereby given that on April 3, 2020, Financial Industry Regulatory Authority … 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; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Amend NYSE Rule 37 To Incorporate Standards of Conduct for the Exchange's Trading Floor

Federal Register · Notice · Feb 16, 2022

The proposed rule change was published for comment in the Federal Register on December 29, 2021. 3 The Commission has received no comments on the proposed rule change. … In addition, proposed NYSE Rule 37(c)(1) would set forth the following requirements and prohibitions: • Proposed NYSE Rule 37(c)(1)(A) would provide that personal attire must be neat, clean, and presentable

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Broadening Arbitrators' Authority To Make Referrals During an Arbitration Proceeding

Federal Register · Notice · Feb 19, 2014

Kinney Air Conditioning Co., 756 F.2d 742, 746 (9th Cir. 1985). 14   Kinney, 756 F.2d at 746 (citing International Produce, Inc. v. … Exchange Act Rel.

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

Federal Register · Notice · Jun 16, 2026

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

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

Federal Register · Notice · Sep 9, 2002

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27564] Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) August 30, 2002. … Notice is hereby given that the following filing(s) has/have been made with the Commission pursuant to provisions of the Act and rules promulgated under the Act.

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Relating to Complex Orders

Federal Register · Notice · Oct 12, 2018

Solicitation of Comments on Amendment No. 1 Interested persons are invited to submit written data, views, and arguments concerning whether Amendment No. 1 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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Exchange Act Section 17(a)(1) requires broker-dealers to “make and keep for prescribed periods such records . . . and make and disseminate such reports” as prescribed by rule. 14 In turn, Exchange Act … of time”); see also Blair Alexander West, Exchange Act Release No. 74030, 2015 WL 137266, at *11 (Jan. 9, 2015) (finding four-month period of misconduct to be an extended period of time), pet. denied,

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

The Santander Shares also are listed on the New York (in the form of the Santander ADSs); Milan, Lisbon, Buenos Aires, London and Mexico Stock Exchanges. … The Spanish Brokerage Units also must keep records relating to transactions in which they are acting as principals.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Adding 75 Options Classes to the Penny Pilot Program

Federal Register · Notice · May 11, 2010

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 e-mail to rule-comments

Self-Regulatory Organizations; Applications for Unlisted Trading Privileges; Notice and Opportunity for Hearing; Philadelphia Stock Exchange, Incorporated

Federal Register · Uncategorized Document · Sep 19, 1994

Par Value (File No. 7- 12917) Air Cure Environmental, Inc. Common Stock, $.001 Par Value (File No. 7-12918) Grupo Industrial Durango S.A. de C.V. … Persons desiring to make written comments should file three copies thereof with the Secretary of the Securities and Exchange Commission, 450 5th Street, N.W., Washington, DC. 20549.