Documents

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

Federal Register · Notice · Jun 14, 1996

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26530] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') June 7, 1996. … 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 1, 1996, to the Secretary, Securities and Exchange Commission

Self-Regulatory Organizations; Order Approving Proposed Rule Changes by the National Association of Securities Dealers, Inc. and Amendment Nos. 1, 2, 3, 4, 5, 6, 7 and 8 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 9 Relating to the Establishment of the Nasdaq Order Display Facility and Order Collector Facility and Modifications of the Nasdaq Trading Platform

Federal Register · Notice · Jan 26, 2001

The Commission subsequently extended the comment period for the Agency Quote Proposal. See Securities Exchange Act Release No. 41243 (April 1, 1999), 64 FR 17428 (April 9, 1999). … , a trade-through could occur if that order is executed at a price outside of the displayed price. 328 This commenter recommended adding a “clean-up” feature for directed orders pursuant to which

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Thereto Relating to the New Amex Hybrid Market Structure

Federal Register · Notice · Jul 21, 2006

the Act. … rule-comments@sec.gov.

Self-Regulatory Organizations; Nasdaq BX, Inc.; 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

Self-Regulatory Organizations; The Nasdaq Stock Market 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

Self-Regulatory Organizations; Nasdaq ISE, 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

Four commenters stated that the comment period was inadequate and/or recommended extending the comment period. … To the extent one commenter appeared to suggest that the minimum dissemination period should be the same as the IPO “48 hour” rule of Exchange Act Rule 15c2-8,519 we do not believe a 48-hour period would

Disclosure of Order Handling Information

Federal Register · Rule · Nov 19, 2018

for orders handled during the grace period, as the grace period is not part of the Compliance Period. … of three years from the initial date of posting on the website. 448 While one commenter suggested a two-year posting period instead of a three-year period, the three-year period is consistent with

Special Purpose Acquisition Companies, Shell Companies, and Projections

Federal Register · Rule · Feb 26, 2024

Four commenters stated that the comment period was inadequate and/or recommended extending the comment period. … To the extent one commenter appeared to suggest that the minimum dissemination period should be the same as the IPO “48 hour” rule of Exchange Act Rule 15c2-8, 519 we do not believe a 48-hour period

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Period

Federal Register · Notice · Sep 13, 2023

The commenter states that Nasdaq did not describe how it determined the 5% of activity during that period to exclude from its analysis. 97 For example, the commenter states that it is not clear whether … the Act.

Public Company Accounting Oversight Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying Implementation Schedule of Rule 3523, Tax Services for Persons in Financial Reporting Oversight Roles

Federal Register · Notice · Jun 2, 2008

of Title I of the Act. … rule-comments@sec.gov .

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Aug 24, 2017

Timetable:   Action Date FR Cite NPRM 06/27/16 81 FR 41652 NPRM Comment Period End 08/26/16 NPRM Comment Period Extended 08/26/16 81 FR 58877 NPRM Comment … Timetable:   Action Date FR Cite NPRM 08/04/16 81 FR 51607 NPRM Comment Period Extended 09/29/16 81 FR 66898 NPRM Comment Period End 10/03/16 NPRM Comment

S E C U R l T I E S AND

Agency decision · Agency decision

and exchange them again when the period ends, account for the remaining 53% of volume. … TP05-15, with respect to Powershares WilderHill Clean Energy Portfolio Fund; and (3) Jack P. Drogin, dated August 4, 2005, File No.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Periods

Federal Register · Notice · Apr 13, 2023

The proposed rule change was published for comment in the Federal Register on January 10, 2023. 3 On February 22, 2023, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … rule-comments@sec.gov.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Sep 12, 2012

Commentators asserted that it would be difficult to provide the payment disclosure, which could be voluminous, within the same time period for Exchange Act annual reports. … opportunity to submit comment on the proposal during the comment period.

Public Company Accounting Oversight Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adjusting Implementation Schedule of Rule 3523, Tax Services for Persons in Financial Reporting Oversight Roles

Federal Register · Notice · Jul 9, 2007

period begins. … Title I of the Act.

Self-Regulatory Organizations; Nasdaq PHLX 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

If not, what grace period do commenters think would be appropriate? Would one month be sufficient in this context? … -day maximum time for Commission action after filing to approve or disapprove the filing), and a 90-day period). 583 Securities Exchange Act Release No. 95851 (Sept. 21, 2022) (Order Disapproving the

Self-Regulatory Organizations; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change by the International Securities Exchange LLC Relating to Facilitation of Customer Orders

Federal Register · Notice · Sep 25, 2002

Comments Opposing the Proposal In general, five commenters believed that a shortened response period would not allow enough time for members of the electronic trading crowd to respond to a facilitation … Three commenters provided additional comments after the filing of Amendment No. 1 to the proposal to provide for an exposure period of 10 seconds rather than five seconds. 37 Two of these commenters

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Nov 16, 2018

Timetable:   Action Date FR Cite NPRM 06/27/16 81 FR 41652 NPRM Comment Period End 08/26/16 NPRM Comment Period Extended 08/26/16 81 FR 58877 NPRM Comment … Timetable:   Action Date FR Cite NPRM 08/04/16 81 FR 51607 NPRM Comment Period Extended 09/29/16 81 FR 66898 NPRM Comment Period End 10/03/16 NPRM Comment