Documents

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

4335036, at *17 (Sept. 28, 2017). 24 McCune, 2016 WL 1039460, at *7 (finding FINRA Rule 1122 to be, and applied in a manner consistent with, the purposes of the Exchange Act) (cleaned up). 25 2011). … Release No. 59328, 2009 WL 223611, at *17 n.54 (Jan. 30, 2009) (cleaned up), aff’d, 416 F.

Review of Antimanipulation Regulation of Securities Offerings

Federal Register · Uncategorized Document · Apr 26, 1994

Following review of public comments, the Commission will determine whether rulemaking or other action is appropriate. DATES: The comment period will expire on August 12, 1994. … ;'' Securities Exchange Act Release No. 33862 (April 5, 1994), 59 FR 17125 (``Cooling-Off Periods Release''), clarifying the availability of the cooling-off periods to foreign securities

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

Federal Register · Notice · Jul 31, 1997

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26745] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') July 25, 1997. … Act.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees

Federal Register · Notice · Oct 26, 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

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 13, 2023

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; 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; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to the Listing and Trading of Shares of Funds of the ProShares Trust

Federal Register · Notice · Dec 27, 2006

The Commission is considering granting accelerated approval of the proposed rule change, as amended, at the end of a 15-day comment period. 69 69  Amex has requested accelerated approval of … this proposed rule change, as amended, prior to the 30th day after the date of publication of the notice of the filing thereof, following the conclusion of a 15-day comment period.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Form ADV . . . signals that the Commission had to find, based on substantial evidence, that at least one of TRG’s principals subjectively intended to omit material information from TRG’s Forms ADV” (cleaned … Because Respondents did not file amended Forms TA-1 correcting their principal office address within those periods—and have never done so—they violated Rule 17Ac2-1(c).24 18 See Services at the Roxbury

INITIAL DECISION RELEASE NO. 1417

Agency decision · Agency decision

On October 25, 2024, Anthony amended Epic Capital’s application again in response to a comment letter from the Commission’s Division of Examinations. Div. Exs. 3, 38; Tr. 387-89. … (cleaned up) (collecting cases)), pet. denied, 773 F.3d 89 (D.C.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Add Seventy-Five Options Classes to the Penny Pilot Program

Federal Register · Notice · May 10, 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; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the NASDAQ Stock Market LLC to Add Seventy-Five Options Classes to the Penny Pilot Program

Federal Register · Notice · May 10, 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. … rule-comments@sec.gov.

UNITED STATES OF AMERICA

Agency decision · Agency decision

of 1934 (“Exchange Act”) and Section 203(e) of the Investment Advisers Act of 1940 (“Advisers Act”) against UBS Financial Services Inc. … period of time.”

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To List and Trade Shares of Grayscale Avalanche Trust (AVAX) Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)

Federal Register · Notice · Apr 16, 2025

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 … Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

Registered Public-Utility Holding Companies and Internationalization

Federal Register · Proposed Rule · Dec 21, 1999

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.14 ------- … Areas for Comment 1.

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

Federal Register · Notice · Jul 7, 1997

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26735] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') June 27, 1997. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by July 21, 1997, to the Secretary, Securities and Exchange Commission

Inet ATS, Inc.: No

Agency decision · Agency decision

("Inet" or "System") is an electronic communications network ("ECN"), as defined in Rule 600(b)(23) of Regulation NMS 1 under the Securities Exchange Act of 1934 ("Act"), and would be in compliance with … See Securities Exchange Act Release 51808 (June 9, 2005), 70 FR 37496, 37576 (June 29, 2005). Incoming Letter: October 12, 2005 Via E-Mail and Air Courier Robert L.D.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

The PCAOB examined the Fund's financials and report thereon for the period ended February 28, 2006 and issued an affirming clean report thereon. … In fact, the PCAOB examined the Fund's auditor's finanCials and report thereon for the period ended February 28, 2006 and issued an affirming clean report thereon.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Shares of Grayscale Hedera Trust (HBAR) Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)

Federal Register · Notice · Mar 17, 2025

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 … Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

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 re~ords relating to transactions in which they are acting as principals.

Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices

Federal Register · Proposed Rule · Jun 17, 2022

Proposed New Annual Reporting Requirements under Rule 30e-1 and Exchange Act Periodic Reporting Requirements for BDCs G. Form N-CEN H. Form N-CSR I. Form ADV J. Request for Comments V. … Should the period be shorter or longer? Should the transition period, as proposed be the same for ADV Parts 1 and 2? III. Economic Analysis A.