Documents

Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PIXL pricing

Federal Register · Notice · Feb 24, 2017

contracts and instead offer Phlx members or member organizations that qualify for Section B, Customer Rebate Tiers  24 2 through 6 or qualify for the Monthly Firm Fee Cap  25 a rebate of $0.10 … The quantity of orders is being increased to receive the rebate, which order flow benefits all participants through order interaction. 24   See note 12 above. 25   See note 13 above

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 3 To Modify the Enhanced Market Quality Program

Federal Register · Notice · Oct 28, 2021

$100 per qualified security over 299. 3 400-499 $10,000 + ($200 per qualified security over 399). 4 500 or greater $30,000 + ($300 per qualified security over 499). … The Fixed Payment due to such member organization is calculated as follows: 2 (the number of symbols over 24) times $200, which equals $400 for the month.

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rules 15Ba1-1 to 15Ba1-8-Registration of Municipal Advisors and Forms MA, MA-I, MA-W, and MA-NR

Federal Register · Notice · Jul 2, 2026

/pkg/FR-2014-01-16/pdf/2014-00740.pdf. 7   See Amendments to Forms and Schedules to Remove Provision of Certain Personally Identifiable Information, Exchange Act Release No. 83097 (Apr. 24 … The average reporting burden per respondent would be approximately 6.40 hours ($1,734 cost equivalent), 24 or approximately 2.13 hours ($577) per year when annualized over three years. 23  

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE January 24, 2012 Mr. Craig A. … Stewart Craig.Stewart@aporter.com 212.715.1142 212.715.1399 Fax 399 Park Avenue New York, NY 10022-4690 January 17,2012 VIA -FEDERAL EXPRESS AND E-MAIL Mary J. Kosterlitz, Esq.

Submission for OMB Review; Comment Request

Federal Register · Notice · Oct 30, 2017

SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-399, OMB Control No. 3235-0456] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange … October 24, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017-23471 Filed 10-27-17; 8:45 am] BILLING CODE 8011-01-P

Proposed Collection; Comment Request

Federal Register · Notice · Aug 25, 2017

Extension: Form 24F-2; SEC File No. 270-399, OMB Control No. 3235-0456 Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520), the Securities and Exchange … [FR Doc. 2017-18074 Filed 8-24-17; 8:45 am] BILLING CODE P

Submission for OMB Review; Comment Request; Extension: Form 24F-2

Federal Register · Notice · Mar 15, 2024

SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-399, OMB Control No. 3235-0456] Submission for OMB Review; Comment Request; Extension: Form 24F-2 Upon Written Request, Copies Available From … [FR Doc. 2024-05501 Filed 3-14-24; 8:45 am] BILLING CODE 8011-01-P

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

Federal Register · Notice · Jul 19, 2023

See Securities Exchange Act Release No. 87028 (September 19, 2019) 84 FR 50529 (September 25, 2019) (SR-CBOE-2019-061). 4  See Securities Exchange Act Release No. 88741 (April 24, 2020) 85 … The Exchange has established a tiered fee structure for Cboe Silexx, based on Login IDs and set forth in the Silexx Fees Schedule. 5 Currently, there is a monthly fee of $399 per Login ID for the

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Federal Register · Notice · Jun 30, 2011

IC-29708] Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 June 24, 2011. … Applicant's Address: 399 Boylston St., Boston, MA 02116. Prudential Small-Cap Core Equity Fund, Inc.

Proposed Collection; Comment Request; Extension: Form 24F-2

Federal Register · Notice · Jan 11, 2024

SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-399, OMB Control No. 3235-0456] Proposed Collection; Comment Request; Extension: Form 24F-2 Upon Written Request, Copies Available From: Securities … [FR Doc. 2024-00402 Filed 1-10-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 124 To Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good ‘Til Cancelled Order During the Implementation of Exchange System Enhancements

Federal Register · Notice · Jun 25, 2009

Example: A marketable order to sell 399 shares of security XYZ is received by Exchange systems at 12:00:00. … E9-14957 Filed 6-24-09; 8:45 am] BILLING CODE 8010-01-P

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify an Optional Subscriber Fee and Tiered Distribution Fee for “Enhanced” Data Displays (the “Enhanced Display Solution Fee”)

Federal Register · Notice · Dec 16, 2014

users = $3,000/month]. 1-399 [400-499] users = $4,000/month … NetCoalition at 24.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees

Federal Register · Notice · Aug 31, 2015

An order that exceeded 1.5 TB was charged an additional $399 for up to an additional 1.5 TB. … All submissions should refer to File Number SR-ISE-2015-24, and should be submitted on or before September 21, 2015.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 To Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good 'Til Cancelled Order During the Implementation of Exchange System Enhancements

Federal Register · Notice · Jun 25, 2009

Example: A marketable order to sell 399 shares of security XYZ is received by Exchange systems at 12:00:00. … E9-14956 Filed 6-24-09; 8:45 am] BILLING CODE 8010-01-P

New England Funds Trust I, et al,; Notice of Application

Federal Register · Notice · May 14, 1999

FILING DATES: The application was filed on July 24, 1998, and amended on December 2, 1998, and on March 4, 1999. … Applicants, 399 Boylston Street, 4th Floor, Boston, MA 02116.

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Federal Register · Notice · Sep 9, 2002

Applicant's Address: CDC IXIS Asset Management Services, Inc., 399 Boylston St., Boston, MA 02116. Merrill Lynch Premier Growth Fund, Inc. … On June 24, 2002, each portfolio of applicant transferred its assets to a corresponding portfolio of The Advisors' Inner Circle Fund, based on net asset value.

Submission for OMB Review; Comment Request

Federal Register · Notice · Jul 25, 1997

Form 24F-2--SEC File No. 270-399--OMB Control No. 3235-0456 Form N-1A--SEC File No. 270-21--OMB Control No. 3235-0307 Form N-3--SEC File No. 270-281--OMB Control No. 3235-0316 Form N-4--SEC File No. 270 … [FR Doc. 97-19627 Filed 7-24-97; 8:45 am] BILLING CODE 8010-01-M

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Federal Register · Notice · Jul 8, 2013

Filing Date: The application was filed on May 24, 2013. Applicant's Address: 399 Park Ave., 4th Floor, New York, NY 10022.

Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change To Rescind Concentration Restrictions on Letters of Credit Issued by Certain Non-U.S. Institutions

Federal Register · Notice · Nov 14, 2001

SR-OCC-2001-03) pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”). 1 Notice of the proposed rule change was published in the Federal Register on August 24, 2001. 2 … appropriate Federal Reserve Bank unless the applicant receives prior written notice that its election is effective or the applicant is notified that the election is ineffective. 10 6  See 66 FR 399

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Federal Register · Notice · Jun 5, 2019

Filing Dates: The application was filed on March 11, 2019, and amended on April 24, 2019. Applicant's Address: 590 Madison Avenue, 34th Floor, New York, New York 10022. … Applicant's Address: c/o TD Asset Management USA Funds Inc., 399 Park Avenue, New York, New York 10022. T. Rowe Price Capital Appreciation & Income Fund, Inc.