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Proposed Rules
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-43085; File No. S7-17-00]RIN 3235-AH96Firm Quote and Trade-Through Disclosure Rules for OptionsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210 and 240[Release Nos. 33-7870; 34-42994; 35-27193; IC-24549; IA-1884; File No. S7-13-00]RIN 3235-AH91Revision of the Commission's Auditor Independence RequirementsAGENCY:Securities ...
SECURITIES AND EXCHANGE COMMISSION[Release No. 34-42755; File No. 4-434]RIN 3235-AH92Options Price Reporting AuthorityAGENCY:Securities and Exchange Commission.ACTION:Proposed Amendments to National Market System Plan .SUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-42741; File No. S7-12-00] RIN 3235-AH69Electronic Submission of Securities Trading Data by Exchange Members, Brokers and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 275, and 279[Release No. IA-1862; 34-42620; File No. S7-10-00]RIN 3235-AD21Electronic Filing by Investment Advisers; Proposed Amendments to Form ...
Proposed Rule: Rulemaking for EDGAR System SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 228, 229, 230, 232, 239, 240, 249, 250, 259, 260, 269, 270, ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 230, 240, 243, and 249Release Nos. 33-7787, 34-42259, IC-24209, File No. S7-31-99RIN 3235-AH82Selective Disclosure and Insider TradingAGENCY:Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-42209; File No. S7-29-99]RIN 3235-AH85UNLISTED TRADING PRIVILEGESAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The Securities and Exchange Commission is proposing ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279[Release Nos. 34-42099; IA-1845; File No. S7-25-99]RIN 3235-AH78Certain Broker-Dealers Deemed Not To Be Investment AdvisersAGENCY:Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 and 249Release No. 34-41351; File No. S7-16-99RIN 3235-AH73Broker-Dealer Registration and ReportingAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange ...