Documents

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Amend NYSE Arca Rule 8.500-E and To List and Trade Shares of the Grayscale Digital Large Cap Fund LLC

Federal Register · Notice · Jul 2, 2025

(each such period, an “Index Rebalancing Period”). … 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; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.87-O and Rule 6.65-O

Federal Register · Notice · Sep 18, 2017

Obvious Error Panel, Appeals—Clean-Up change Rule 6.87(k)(1)(B) describes the procedure for appealing decisions relating to obvious errors. … 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; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Related to Market Maker Quoting Obligations

Federal Register · Notice · Nov 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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

of 1933 (“Securities Act”). … DISCUSSION KCG has registered its securities pursuant to Sectиon 12(b) of the Exchange Act and files the required periodic disclosure repprts.

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures

Federal Register · Notice · Oct 4, 2018

ICC Treasury Operations Policies and Procedures (“Treasury Policy”). 3 The proposed rule change was published in the Federal Register on August 16, 2018. 4 The Commission did not receive comments … Changes Relating to Outside Investment Managements and Clean-Up Changes To reflect ICC's engagement of multiple outside investment managers the proposed rule change would remove reference to a specific

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 975NY and Rule 953NY

Federal Register · Notice · Sep 18, 2017

Obvious Error Panel, Appeals—Clean-Up Change Rule 975NY(k)(1)(B) describes the procedure for appealing decisions relating to obvious errors. … 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; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Quoting Obligations

Federal Register · Notice · Nov 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; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Amendment and Restatement of the Constitution of the Exchange To Reform the Governance and Management Architecture of the Exchange

Federal Register · Notice · Nov 13, 2003

The Act provides for public notice of these Constitutional amendments, for public comment, and for specific time periods for SEC action. … He is a Director of Air Liquide and previously General Motors Corporation and Merck & Co., Inc.

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Related to Market Maker Quoting Obligations

Federal Register · Notice · Nov 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

The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS

Federal Register · Proposed Rule · Jun 17, 2026

Request for Comment V. Paperwork Reduction Act A. Rescission of Rule 611 B. Request for Comment VI. Economic Analysis A. Introduction B. Economic Baseline 1. Regulatory Baseline 2. … Request for Comment VII. Regulatory Flexibility Act Certification VIII. Congressional Review Act IX. Other Matters Statutory Authority I. Introduction A.

Western Farmers Electric Cooperative: No

Agency decision · Agency decision

In addition, WFEC serves Altus Air Force Base ("Altus"), a United State Air Force base, on a cooperative basis. 1 Altus also is a member of WFEC; since March 2000, Altus has been a non-voting member of … Revenues in excess of current period costs in any year are designated in WFEC's statements of revenues and expenses and patronage capital as net margin. C.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Moriarty of Carter, Ledyard & Milburn, dated March 9, 2005; PowerShares WilderHill Clean Energy Portfolio, letter from James A. … The Index is available for periods back to December 31, 1977.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NYSE Arca Rule 8.800-E To Provide for the Listing and Trading of Commodity- and Digital Asset-Based Investment Interests and To List and Trade Shares of the Grayscale Digital Large Cap Fund LLC

Federal Register · Notice · Nov 4, 2024

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@sec.gov.

RUL 3'lb-' Ill.Â) j Ri &.

Agency decision · Agency decision

the 1933 Act (if 9 Item 5(b)(2) of Form N-1A requires a fud to disclose its average annual total return for specifed periods calculated in accordance with Item 21(b)(1). … That "new" fud could then star with.a clean performance slate and no obligation to inform investors of its prior poor performance history.

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Section 1 Related to Co-Location Services

Federal Register · Notice · Feb 2, 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

Conformed to Federal Register version

Agency decision · Agency decision

ADDRESSES: Comments may be submitted by any of the following methods: Electronic comments: • Use the Commission’s internet comment form (https://www.sec.gov/comments/s72026-20/amendments-regulation-nms … See also Norges Bank comment letter ‘‘Re: Notice of Proposed Rule on Market Data Infrastructure, Securities Exchange Act Release No. 88216 (Feb. 14, 2020) (File No.

Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

Federal Register · Proposed Rule · Aug 9, 2023

Request for Comment IV. Paperwork Reduction Act A. Introduction B. Proposed Conflicts Rules and Proposed Recordkeeping Amendments C. Request for Comment V. … If records should be preserved for different periods of time, which records should have different time periods and what should those periods of time be? 90.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Moriarty, Carter, Ledyard & Milburn, dated March 9,2005; PowerShares WilderHill Clean Energy Portfolio, letter from James A. … during which the NYSE is closed other than customary weekend and holiday closings, (b) any period during which trading on the NYSE is restricted, (c) any period during which an emergency exists as a result

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Proposed Rule · Dec 23, 2015

DATES: We are providing two comment periods for this proposal. Initial comments are due on January 25, 2016. … Reply comments, which may respond only to issues raised in the initial comment period, are due on February 16, 2016.

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

Federal Register · Notice · Aug 15, 2005

Authorization Period Applicants seek authorization under the Act to engage in various financing transactions discussed below through September 30, 2008 (“Authorization Period”) and to retain certain … payments for specified periods.