Exclusive

Publication

Byline

Location

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.; ORDER APPROVING A PROPOSED RULE CHANGE TO AMEND FINRA RULE 6730 (TRANSACTION REPORTING)

WASHINGTON, Sept. 19 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Cha... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; LCH SA; NOTICE OF FILING OF PROPOSED RULE CHANGE RELATING TO REVISIONS TO ITS TERMS OF REFERENCE OF THE NOMINATION COMMITTEE AND BOARD OF DIRECTORS

WASHINGTON, Sept. 19 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating To Revisions to Its Term... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; THE NASDAQ STOCK MARKET LLC; NOTICE OF FILING OF PROPOSED RULE CHANGE TO MODIFY CERTAIN INITIAL AND CONTINUED LISTING REQUIREMENTS

WASHINGTON, Sept. 19 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Ce... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; MUNICIPAL SECURITIES RULEMAKING BOARD; ORDER APPROVING A PROPOSED RULE CHANGE TO AMEND RULE G-14 RTRS PROCEDURES UNDER MSRB RULE G-14 REGARDING THE TIMING OF REPORTING TRANSACTIONS IN MUNICIPAL SECURITIES TO THE MSRB AND TO MAKE A RELATED AMENDMENT TO RULE G-12

WASHINGTON, Sept. 19 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a Proposed Rule Change To A... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; 24X NATIONAL EXCHANGE LLC; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE TO AMEND THE EXCHANGE'S FEE SCHEDULE TO ESTABLISH A MONTHLY MEMBERSHIP FEE

WASHINGTON, Sept. 19 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Propose... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: AGENCY INFORMATION COLLECTION ACTIVITIES; SUBMISSION FOR OMB REVIEW; COMMENT REQUEST; EXTENSION: RULE 18A-1

WASHINGTON, Sept. 19 -- Securities And Exchange Commission has issued a notice called: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 18a-1. The... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; THE NASDAQ STOCK MARKET LLC; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE TO AMEND EQUITY 4, RULE 4759 (DATA FEEDS UTILIZED) TO ESTABLISH A PRIMARY AND SECONDARY SOURCE OF QUOTATION DATA OF A NEW MARKET CENTER

WASHINGTON, Sept. 19 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Propo... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: AGENCY INFORMATION COLLECTION ACTIVITIES; SUBMISSION FOR OMB REVIEW; COMMENT REQUEST; EXTENSION: RULE 18A-2

WASHINGTON, Sept. 19 -- Securities And Exchange Commission has issued a notice called: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 18a-2. The... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; THE DEPOSITORY TRUST COMPANY; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE TO MAKE TECHNICAL CHANGES RELATING TO DTC'S CONTACT PHONE NUMBERS AND WEB PAGES

WASHINGTON, Sept. 19 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Prop... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; NASDAQ BX, INC.; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE TO AMEND BX OPTIONS 7, SECTION 2

WASHINGTON, Sept. 19 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Cha... Read More