Order Approving a Proposed Rule Change To Adopt Supplementary ...

A voluntary, three-year remote inspections pilot program to allow eligible member firms to elect to fulfill their obligation under paragraph (c) (Internal ...

Fixed Income Clearing Corporation; Order Approving a Proposed ...

Section 19(b)(2)(C) of the Act directs the Commission to approve a proposed rule change of a self-regulatory organization if it finds that such ...

SR-FINRA-2023-006 - Rule Filings

A proposed rule change to adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision).

SR-FINRA-2023-007 - Rule Filings

Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision) ; Order Instituting Proceedings ...

Order Approving a Proposed Rule Change to Adopt a Supplemental ...

19(b) of the Exchange Act. Pursuant to FINRA Rule 4524, FINRA proposed to adopt a. Supplemental Liquidity Schedule (“SLS”), and Instructions ...

Notice of Filing of Amendment No. 1 and Order Instituting ... - SEC.gov

... Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Adopt Supplementary Material .18 (Remote Inspections Pilot ...

Order Instituting Proceedings to Determine Whether to Approve or ...

(the “Exchange” or “Cboe Options”) to add proposed Rule 3.66 to its rulebook to reclassify order execution management systems (“OEMSs”) under ...

NASAA-Comment-Letter-re-SR-FINRA-2022-019-11-25-2022.pdf

SR-FINRA-2022-019: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Supplementary.

COMMENT LETTER: SEC 34-97398 – Proposed Rule Change To ...

COMMENT LETTER: SEC 34-97398 – Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 ...

NYSE Regulation: Rule Filings

Order Approving a Proposed Rule Change to Amend NYSE Rule 7.13, 2024-10-30. SR ... Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt ...

Rulemaking Process | US Department of Transportation

The final rule. After the comment period closes and the agency has reviewed the comments received and analyzed them, we decide whether to proceed with the ...

Financial Industry Regulatory Authority, Inc.; Order Granting ...

... Order Granting Approval of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions ... FINRA is also proposing to adopt ...

Federal Register/Vol. 88, No. 215/Wednesday, November 8, 2023 ...

by approving this proposal. For the above reasons, the ... Proposed Rule Change and Timing for. Commission Action. Within 45 days ...

Self-Regulatory Organizations; Financial Industry Regulatory ...

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 4210 (Margin ...

Rule Filings | The Nasdaq Stock Market

A proposal to amend the Trade Now Order Attribute, at Equity 4, Rule 4703, as well as to make conforming changes to Rule 4702. Approved, Yes, 4/16/2024, 3/26/ ...

Notice of Filing of Proposed Rule Change to Adopt Listing Rules

diversity disclosure needs to be re-focused in order to better serve and inform investors.”). 8. See Vanguard, Investment Stewardship 2019 Annual Report (2019), ...

FINRA Files New Proposed Rule Change to Establish Residential ...

On July 5, 2023, the SEC issued an order instituting proceedingsOpens in a new window to determine whether to approve or disapprove the proposal ...

Federal Register/Vol. 74, No. 46/Wednesday, March 11, 2009/Notices

Note that the Commission has approved FINRA's proposed rule change to rescind, as duplicative of. Rule 11870 Incorporated NYSE Rule 412 and its.

Notice of Filing of Partial Amendment No. 1 and Order Instituting ...

1 to the proposed rule change from interested persons and to institute proceedings pursuant to Section 19(b)(2)(B) of the Act to determine whether to approve or ...

Notice of Filing of a Proposed Rule Change to Adopt a ...

The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority (FINRA) proposal to adopt a Supplemental Liquidity ...