Documents

Amendments to Regulation SHO

Federal Register · Rule · Oct 17, 2008

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Florence E. … These activities rarely lead to fails to deliver and, if fails to deliver do occur, they are small in number and are usually cleaned up within a day.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Certain Standard Transaction Fees, Floor Broker Permit Fees, the SPX and VIX Floor Broker Trading Surcharges, the Floor Broker ADV Discount, Market-Maker Tier Appointment Fees, Floor Jacket Stipends, and SPXW Excessive Complex Instrument Creation Charges

Federal Register · Notice · Apr 21, 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

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

Federal Register · Notice · Mar 13, 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.

Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8

Federal Register · Proposed Rule · Jul 27, 2022

Act”). … Initial Regulatory Flexibility Act Analysis The Regulatory Flexibility Act (“RFA”)  153 requires an agency, when issuing a rulemaking proposal, to prepare and make available for public comment

Conformed to Federal Register version

Agency decision · Agency decision

the Investment Company Act of 1940 (“Investment Company Act”). … INITIAL REGULATORY FLEXIBILITY ACT ANALYSIS The Regulatory Flexibility Act (“RFA”) 153 requires an agency, when issuing a rulemaking proposal, to prepare and make available for public comment an Initial

Cairo and Alexandria Stock Exchanges: No Action, Interpretive and/or Exemptive Letter dated April 16, 2003

Agency decision · Agency decision

Dirty pricing method is currently used but the Exchange intends to implement clean pricing in the near future. … The proposed new law was circulated to CASE, market participants as well as the public for their comments.

UNITED STATES OF AMERICA

Agency decision · Agency decision

of 1933, Making Findings, and Imposing a Cease-and-Desist Order, Securities Act Rel. … File No. 3-21140); Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order, Securities Act Rel.

MLX Corporation; Notice of Application

Federal Register · Notice · Apr 25, 1997

In addition to the Wellman Acquisitions, in 1986, 1897, and 1988, MLX acquired the companies and assets comprising Pameco Corporation (``Pameco''), a distributor of heating and air conditioning units. … During the period of time MLX is exempted from registration under the Act, MLX will not purchase or otherwise acquire any additional securities other than securities that are rated investment grade or

SECURIT I ES AND EXCHANGE COMMISSION

Agency decision · Agency decision

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

Amendments to Regulation SHO

Federal Register · Proposed Rule · Aug 14, 2007

15(d) of the Exchange Act. … These activities rarely lead to fails to deliver and, if fails to deliver do occur, they are small in number and are usually cleaned up within a day.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Grayscale XRP Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Federal Register · Notice · Feb 20, 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.

Asset-Backed Securities

Federal Register · Rule · Jan 7, 2005

Several commenters urged eliminating any restrictions on revolving periods, regardless of the type of asset or the form of registration. 124 Revolving periods, these commenters argued, allow issuers … minimum level, with minor revisions to our proposal in response to comment. 309 Many ABS transactions include “clean up” calls whereby the securities are called and the trust terminated before

ORAL ARGUMENT NOT YET SCHEDULED

Agency decision · Agency decision

First Petition for Review, Reopening of Comment Period, and Stay of Appellate Proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 3. … The Commission then reopened the comment period and stated its intention to take final action by December 31, 2004.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Grayscale Cardano Trust (ADA) Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Federal Register · Notice · Feb 28, 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.

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Agency decision · Agency decision

Air Regulatory Grp. v. EPA, 134 S. … Request for Comment on NASDAQ Petition, 68 Fed. Reg. 27,722, 27,722 (May 20, 2003).

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Grayscale Dogecoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Federal Register · Notice · Feb 20, 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.

Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by the Commission, Regarding the Reporting of Certain Verbal Activity, Floor and Upstairs Activity

Federal Register · Notice · Jun 20, 2025

Comments received in response to the Notice can be found on the Commission's website at https://www.sec.gov/comments/4-698/4-698-e.htm. 6   See Exchange Act Release No. 101648, 89 FR 92726 … would also help regulators identify instances of floor participants backing away from quotes and orders, such as floor brokers routing orders elsewhere after open outcry ( e.g., in order to obtain a “clean

Request for Comments on Fund Names

Federal Register · Notice · Mar 6, 2020

-1 (“rule 35d-1” or the “Names Rule”) under the Investment Company Act of 1940 (“Investment Company Act” or “Act”). … appear to treat “ESG” as a type of investment (which is subject to the Names Rule). 23  Based on EDGAR data, approximately 65 funds (excluding unit investment trusts) included the terms “ESG”, “Clean

Regulation Best Interest: The Broker-Dealer Standard of Conduct

Federal Register · Rule · Jul 12, 2019

While most commenters requested an implementation period of 18-24 months, 836 one commenter requested an implementation period of 12-18 months. 837 We believe the operational capability needed … See, e.g., James Chen, Clean Shares, Investopedia, available at https://www.investopedia.com/terms/c/clean-shares.asp , stating that “[t]he mutual fund industry introduced clean shares, along

© 2026 Jeremy T. Roseberry. This document may be reproduced, in whole or in part, for non-commercial

Agency decision · Agency decision

) NAV = Investment Amount ÷ Market NAV o Shares Purchased at Clean NAV = Investment Amount ÷ Clean NAV Step 3: Calculate the Shortfall. … It consumed thousands of staff hours across multiple divisions, generated extensive public comment periods, and produced rulemaking documents of extraordinary length and complexity.