File Number: 4-486
Date: Oct. 23, 2001
Details: Request for rulemaking to exempt the government securities of the Republic of Singapore from Rule 3a12-8 under the Securities Exchange Act of 1934 for the purpose of trading the Singapore Government Bond futures contracts Submitted By: Mr. Jimmy Ang, Singapore Exchange Derivatives Trading Limited
File Number: 4-448
Date: Dec. 11, 2001
Details: Request for Rulemaking Concerning Definition of Independent Auditor and Limiting Services Accounting Firms May Provide to Audit Clients Submitted By: Richard Trumka, Secretary-Treasurer, American Federation of Labor and Congress of Industrial Organizations
File Number: 4-449
Date: Dec. 12, 2001
Details: Request for Rulemaking to Amend Regulation S-K, Items 401 and 404, Concerning Director Conflicts of Interest Submitted By: Richard Trumka, Secretary-Treasurer, American Federation of Labor and Congress of Industrial Organizations
File Number: 4-450
Date: Dec. 31, 2001
Details: Request for Interpretive Release Concerning MD&A Under Regulation S-K, Item 303 View Received Comments Submitted By: Arthur Andersen LLP, Deloitte and Touche LLP, Ernst & Young LLP, KPMG LLP, PricewaterhouseCoopers LLP, and the American Institute of Certified Public Accountants
File Number: 4-457
Date: May 23, 2002
Details: Request for Rulemaking Concerning Definition of Investment Company Submitted By: Matthew A. Chambers and John C. Nagel, Wilmer, Cutler & Pickering, on behalf of the Biotechnology Industry Organization
File Number: 4-461
Date: Aug. 1, 2002
Details: Request for Rulemaking to Amend Rule 14a-8(i) to Allow Shareholder Proposals To Elect Directors View Received Comments Submitted By: The Committee of Concerned Shareholders and James McRitchie
File Number: 4-475
Date: Sept. 4, 2002
Details: Request for Rulemaking Concerning Changes to Fundamental Investment Policies of Closed-End Funds (Section 12 - Majority of a Quorum to Approve a Change in Investment Policy) Submitted By: George W. Karpus, Karpus Investment Management
File Number: 4-463
Date: Sept. 20, 2002
Details: Request for Rulemaking for Clarification of Material Disclosures with Respect to Financially Significant Environmental Liabilities and Compliance with Existing Material Financial Disclosures View Received Comments Submitted By: Jill Ratner, President, Rose Foundation for Communities and the Environment
File Number: 4-465
Date: Sept. 24, 2002
Details: Request for Rulemaking Concerning Corporate Elections View Received Comments Submitted By: Deborah Pastor, Portfolio Manager, eRaider.com Inc.
File Number: 4-469
Date: Nov. 1, 2002
Details: Request for Rulemaking to Amend Rule 19c-5 Regarding Certain Options Exchange Licensing Arrangements View Received Comments Submitted By: David Krell, President and Chief Executive Officer, International Securities Exchange
File Number: 4-477
Date: March 24, 2003
Details: Request for Rulemaking Requiring Pre-Notification and Disclosure of Certain Communications by Trial Lawyers Submitted By: Daniel J. Popeo, Chairman and General Counsel and Paul D. Kamenar, Senior Executive Counsel, Washington Legal Foundation
File Number: 4-478
Date: April 3, 2003
Details: Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collateral Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies View Received Comments Submitted By: Paul Schott Stevens, Jack W. Murphy and Ethan D. Corey of Dechert LLP on behalf of Federated Investors, Inc.
File Number: 4-479
Date: April 11, 2003
Details: Request for Rulemaking under the Securities Exchange Act of 1934 Concerning Trading of Nasdaq-Listed Securities Submitted By: Edward Knight, Executive Vice President, The Nasdaq Stock Market, Inc.
File Number: 4-480
Date: April 14, 2003
Details: Request for Rulemaking under the Securities Exchange Act of 1934 to Adopt New Rule 11Ac1-8 to Address the Practices of Trading-Through and Locking or Crossing OTC Quotes Across Separate Market Centers View Received Comments Submitted By: John M. Schaible, President, NexTrade Holdings, Inc.
File Number: 4-491
Date: May 15, 2003
Details: Request for Rulemaking to Permit Shareholder-Nominated Director Candidates to Appear in Corporate Proxy Statements and Proxy Cards Submitted By: Richard L. Trumka, AFL-CIO
File Number: 4-483
Date: July 3, 2003
Details: Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name" View Received Comments Submitted By: Stephen Nelson, The Nelson Law Firm, on behalf of Nine Institutional Investors
File Number: 4-484
Date: July 29, 2003
Details: Request for Rulemaking to Require that Amended Registrant Filings Include an Explicit Summary of Specific Changes in Language or Figures Submitted By: Scott H. Schulke
File Number: 4-489
Date: Oct. 3, 2003
Details: Request for the Commission to Amend Rule 206(4)-1(a)(1) under the Investment Advisers Act of 1940 Concerning the Use of Testimonials by Investment Advisers Who Are Also Planners Submitted By: Chris Grande, Walnut Hill Advisors
File Number: 4-492
Date: Dec. 16, 2003
Details: Request for Rulemaking Concerning Soft Dollars and Directed Brokerage View Received Comments Submitted By: Matthew Fink, President, Investment Company Institute
File Number: 4-490
Date: Feb. 4, 2004
Details: Request for Rulemaking to Amend Rule 1-02(w) under Regulation S-X to require complete disclosure of all subsidiaries for filers of Form 10-K, regardless of the size of the subsidiary View Received Comments Submitted By: Scott Schulke
File Number: 4-493
Date: April 12, 2004
Details: Request for Rulemaking Concerning Shareholder Communications View Received Comments Submitted By: Steve Odland, Chairman-Corporate Governance Task Force, Business Roundtable
File Number: 4-494
Date: July 29, 2004
Details: Request for rulemaking requiring that a rating that is an assessment of the quality of a company's reported earnings be a listing requirement for any publicly traded company Submitted By: Richard S. Furlin, President, Furlin Financial
File Number: 4-495
Date: Nov. 30, 2004
Details: Request for rulemaking seeking repeal of rule 206(3)-1 (Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services) and that the Commission not adopt proposed rule 202(a)(11)-1 (Certain thrift institutions deemed not to be investment advisers) under the Investment Advisers Act Submitted By: Ron A. Rhoades, Joseph Capital Management, LLC
File Number: 4-496
Date: Jan. 22, 2005
Details: Request for rulemaking under Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 to amend the Options Intermarket Linkage Plan to limit trade-through protection only to automated quotes Submitted By: Adam Cooper, Senior Managing Director and General Counsel, Citadel Investment Group, L.L.C.
File Number: 4-498
Date: Feb. 11, 2005
Details: Request for rulemaking concerning auditor independence Submitted By: Jeffry R. Haber, Iona College
File Number: 4-478A
Date: April 4, 2005
Details: Amended Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collateral Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies View Received Comments Submitted By: Paul Schott Stevens, Jack W. Murphy and Ethan D. Corey of Dechert LLP on behalf of Federated Investors, Inc.
File Number: 4-499
Date: April 8, 2005
Details: Request for rulemaking under the Securities Exchange Act of 1934 regarding the definitions of "non-professional" and "professional" used by self-regulatory organizations and national market system plans Submitted By: Andrew C. Wels, Securities Industry Association
File Number: 4-501
Date: May 6, 2005
Details: Request for rulemaking under the Securities Exchange Act of 1934 that would prevent the National Association of Securities Dealers, Inc. and the New York Stock Exchange from placing by contract any restriction on the use of either the paper copies or their database of arbitration awards and also preventing these organizations from requiring third party vendors to limit access to these awards, in their original form View Received Comments Submitted By: Daniel R. Solin, Esq.
File Number: 4-503
Date: May 11, 2005
Details: Request for rulemaking under the Investment Advisers Act of 1940 regarding retention and production of e-mail by investment advisers View Received Comments Submitted By: Committee on Investment Management Regulation, The Association of the Bar of the City of New York
File Number: 4-504
Date: May 13, 2005
Details: Request for rulemaking concerning corporate communication regarding company share buybacks Submitted By: James Schainuck, Jewel Investments
File Number: 4-505
Date: June 28, 2005
Details: Request for rulemaking to amend Rule 3a12-8 under the Securities Exchange Act of 1934 to include within its exemption the soverign debt of the Republic of Korea Submitted By: Philip McBride Johnson, Skadden, Arps, Slate, Meagher & Flom LLP
File Number: 4-510A
Date: Jan. 10, 2006
Details: Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers View Received Comments Submitted By: Ira D. Hammerman, Esq., Securities Industry Association
File Number: 4-510B
Date: Jan. 13, 2006
Details: Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers View Received Comments Submitted By: Carl B. Wilkerson, Esq., American Council of Life Insurers
File Number: 4-510C
Date: Jan. 20, 2006
Details: Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers View Received Comments Submitted By: Dale E. Brown, Financial Services Institute, Inc.
File Number: 4-519
Date: April 24, 2006
Details: Request for rulemaking under the Securities Act of 1933 to expose and prevent unlawful and deceptive activities by securities promoters and their sponsors View Received Comments Submitted By: R. Cromwell Coulson, Pink Sheets LLC
File Number: 4-521
Date: June 8, 2006
Details: Request for rulemaking under the Securities Exchange Act of 1934 to require prompt disclosure of a Wells Notice when it is received by registrants Submitted By: Scott H. Schulke
File Number: 4-525
Date: Aug. 30, 2006
Details: Request for rulemaking under the Securities Exchange Act of 1934 to provide owners of American Depository Receipts of certain foreign issuers with the ability to exercise certain traditional shareowner rights, including the ability to vote in the election of directors, and to submit and vote on shareowner proposals Submitted By: Steven J. Milloy and Thomas J. Borelli, Action Fund Management, LLC
File Number: 4-528
Date: Dec. 28, 2006
Details: Request for rulemaking under the Investment Company Act of 1940 to limit the application of the new disclosure requirements to registered investment company investments in "investment companies" and "private funds" as defined in former Rule 203(b)(3)-1(d) under the Investment Advisers of 1940 Submitted By: Stephen Fisher, Senior Vice President and General Counsel and Eric Roiter, Senior Vice President and Deputy General Counsel, Fidelity Management & Research Company
File Number: 4-530
Date: Jan. 8, 2007
Details: Request for an extension of the implementation date of SEC Regulation NMS Trading Phase, targeted for February 5, 2007 Submitted By: Mary Yeager, Assistant Secretary, New York Stock Exchange LLC
File Number: 4-531
Date: Feb. 10, 2007
Details: Request for rulemaking on disclosure and transparency in client commission arrangements Submitted By: William T. George, Blue Sky Research Services
File Number: 4-535
Date: March 28, 2007
Details: Request for written interpretative guidance relating to the implementation of FASB Interpretation No. 48, Accounting for Uncertainty in Income Taxes ("FIN 48") by investment companies registered under the Investment Company Act of 1940 Submitted By: Stephen D. Fisher, Senior Vice President & Deputy General Counsel, Fidelity Management & Research Company; Eric Roiter, Senior Vice President & General Counsel, Fidelity Management & Research Company; Maria Dwyer, Chief Regulatory Officer, Massachusetts Financial Services Company; Scott Huebl, Vice President, Tax, Oppenheimerfunds, Inc.
File Number: 4-540
Date: May 24, 2007
Details: Request to Amend "Pattern Day Trader" Rule View Received Comments Submitted By: Michael Wilson
File Number: 4-542
Date: June 13, 2007
Details: Request for rulemaking under the Investment Company Act of 1940 to amend Rule 19a-1 which governs how a fund calculates and discloses the sources of its distributions Submitted By: Mary S. Podesta, Esq., Investment Company Institute
File Number: 4-541
Date: June 18, 2007
Details: Request for rulemaking under the Securities Exchange Act of 1934 to prohibit broker-dealers from requiring investors to accept mandatory arbitration clauses View Received Comments Submitted By: Daniel R. Solin
File Number: 4-543
Date: July 9, 2007
Details: Request to amend Rule 35d-1 under the Investment Company Act to amend the definition of fundamental investment policy Submitted By: George W. Karpus, Karpus Investment Management
File Number: 4-547
Date: Sept. 18, 2007
Details: Request for interpretive guidance on Climate Risk Disclosure View Received Comments Supplemental Petition (Jun. 12, 2008) , original petition (Sep. 18, 2007) , Supplemental petition dated Nov. 23, 2009 Submitted By: Multiple petitioners
File Number: 4-548
Date: Sept. 25, 2007
Details: Request for rulemaking under the Securities Act of 1933 to permit commodity pools to publish and distribute advertisements that disclose certain information about the commodity pool beyond that specified by the safe harbor of Rule 134 Submitted By: James B. Biery, Sidley Austin LLP on behalf of Superfund Capital Management, Inc.
File Number: 4-550
Date: Oct. 19, 2007
Details: Joint request for rulemaking to adopt amendments to Regulation S-K that would provide for increased disclosure of certain financial and other relationships between underwriters and registrants Submitted By: California Public Employees' Retirement System California State Teachers' Retirement System Los Angeles County Employees Retirement Association Illinois Universities Retirement System Tennessee Consolidated Retirement System Citigroup Global Markets Inc. J.P. Morgan Securities Inc.
File Number: 4-549
Date: Oct. 22, 2007
Details: Request for interpretive guidance under the Securities Act of 1933 that would require registrants to disclose to shareholders the business risks of laws and regulations intended to address global warming concerns Submitted By: Steven J. Milloy and Thomas J. Borelli, on behalf of Free Enterprise Action Fund
File Number: 4-553
Date: Dec. 19, 2007
Details: Request for rulemaking under the Securities Exchange Act of 1934 to exempt issuers of certain types of fixed insurance contracts from the reporting requirements of Sections 13 and 15(d) of the Act Submitted By: Stephen E. Roth, Esq., Sutherland Asbill & Brennan LLP on behalf of Jackson National Life Insurance Company
File Number: 4-555
Date: Jan. 25, 2008
Details: Request for rulemaking to amend SEC rules to require public companies to provide a plain English descriptive narrative for all departures or dismissals of their external auditors Submitted By: Jeff Mahoney, General Counsel, Council of Institutional Investors
File Number: 4-541A
Date: Feb. 11, 2008
Details: Supplemental petition View Received Comments Note: For attachments, see original petition Comments received are available
File Number: 4-556
Date: Feb. 27, 2008
Details: Request for Review and Repeal of FAS 123R, "Share-Based Payment" Submitted By: B. Kipling Hagopian
File Number: 4-557
Date: April 3, 2008
Details: Request for rulemaking to adopt new Rule 15c3-4 to address the practice of market participants redefining securities in customer accounts past T+3 View Received Comments Submitted By: Thomas Vallarino, National Investor Protection Coalition
File Number: 4-558
Date: May 12, 2008
Details: Request for rulemaking requiring companies to disclose in the proxy statement the fees associated with all engagements for a single company and any ownership interest a consultant working for the compensation committee may have in the parent consulting firm View Received Comments Submitted By: Multiple Petitioners
File Number: 4-571
Date: May 14, 2008
Details: Request for rulemaking under the Securities Exchange Act of 1934 that when a share owner submits a proposal for voting, the share owner may additionally supply an e mail address and, if available, supply a web site address where material relating to the proposal may be viewed Submitted By: William S. Karn
File Number: 4-547
Date: June 12, 2008
Details: Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007) Note:
For attachments, see original petition (Sep. 18, 2007)
File Number: 4-547A
Date: June 12, 2008
Details: Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007) Note:
For attachments, see original petition (Sep. 18, 2007)
File Number: 4-562
Date: July 15, 2008
Details: Request for rulemaking under the Securities Exchange Act of 1934 to limit fees that options exchanges may charge non-members to obtain access to quotations to $.20 per contract View Received Comments Submitted By: John C. Nagel, Citadel
File Number: 4-563
Date: July 21, 2008
Details: Request for rulemaking for interpretive guidance for registrants pursuant to the Securities Exchange Act of 1934 on public statements concerning global warming and other environmental issues View Received Comments Submitted By: Steven J. Milloy and Thomas Borelli, Free Enterprise Action Fund
File Number: 4-565
Date: Aug. 1, 2008
Details: Request for joint CFTC and SEC rulemaking to amend CFTC Rule 41.45(b) and SEC Rule 403(b) relating to customer margin levels for security futures products Submitted By: Donald L. Horowitz, OneChicago, LLC
File Number: 4-554
Date: Sept. 22, 2008
Details: Additional letter Note: original petition
File Number: 4-570
Date: Sept. 23, 2008
Details: Request for rulemaking under the Securities Exchange Act of 1934 to amend Rule 10A-3 to require that issuers submit their choice of auditor to a non-binding vote of shareholders for ratification View Received Comments Submitted By: Christopher Ailman, California State Teachers' Retirement System
File Number: 4-572
Date: Oct. 1, 2008
Details: Request for rulemaking under the Securities Act of 1933 to amend Rule 144 to remove the prohibition in Rule 144(i) on shareholders who acquired shares when an issue was a "shell company" or former "shell company" from being able to utilize Rule 144 for a sale of unregistered securities if the issuer has not filed its Securities Exchange Act of 1934 reports for the one year prior to the proposed sale, other than in the first year following each date the issuer ceases to be a shell company and releases "Form 10 information" Submitted By: David N. Feldman, Feldman Weinstein & Smith
File Number: 4-576
Date: Jan. 6, 2009
Details: Request for the removal of the Rule 32a-4 exemption from the Investment Company Act's requirement that shareholders vote on the selection of a fund's independent public accountant if the investment company has an audit committee composed of wholly independent directors Submitted By: George W. Karpus, Karpus Investment Management
File Number: 4-577
Date: Feb. 3, 2009
Details: Request for rulemaking to amend Rule 15c3-3 under the Exchange Act to treat US government money market mutual fund shares, where the underlying portfolio assets of the fund consist of securities issued or guaranteed by the US government or its agencies or instrumentalities, as "qualified securities" to meet a broker-dealer's deposit requirements under the Special Reserve Bank Account for the Exclusive Benefit of Customers View Received Comments Submitted By: Lee A. Pickard, Esq., Pickard and Djinis LLP on behalf of Federated Investors, Inc.
File Number: 4-578
Date: Feb. 15, 2009
Details: Request for rulemaking under the Securities Exchange Act of 1934 to adopt a new identical to Rule 3a12-8 exempting from Commission registration under Section 3(a)(12) of the Act any futures contract on the sovereign debt of a foreign government so that it may lawfully be offered to U.S. persons pursuant to Section 2(a)(1)(C)(iv) of the Commodity Exchange Act Submitted By: Philip McBride Johnson, Skadden, Arps, Slate, Meagher & Flom LLP
File Number: 4-483
Date: Feb. 24, 2009
Details: Additional Petition — Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name" View Received Comments Supplements to additional petition Submitted By: Lawrence J. Goldstein
File Number: 4-483
Date: Feb. 24, 2009
Details: Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name" View Received Comments Supplements to petition Submitted By: Lawrence J. Goldstein
File Number: 4-580
Date: March 22, 2009
Details: Request for rulemaking under the Securities Act of 1933 to amend the reference to Tier 1 of the Philadelphia Stock Exchange, Inc. in Rule 146(b)(1)(ii) Submitted By: Keith Paul Bishop
File Number: 4-583
Date: May 15, 2009
Details: Request for rulemaking to amend Rule 14a-4(b)(1) under the Securities Exchange Act of 1934 to prohibit conferring discretionary authority to issuers with respect to non-votes on the voter information form or proxy. View Received Comments Submitted By: James McRitchie, Publisher, Corporate Governance, CorpGov.net on behalf of multiple petitioners
File Number: 4-584
Date: May 17, 2009
Details: Request for rulemaking under the Investment Company Act of 1940 to amend Rule 3a-5(b)(1) to include a reference to limited liability companies and business trusts Submitted By: Keith Paul Bishop
File Number: 4-585
Date: May 26, 2009
Details: Request rulemaking to amend Item 402 of Regulation S-K to revise the current Summary Compensation Table to better depict the compensation earned for the year by named executive officers View Received Comments Submitted By: Ira T. Kay and Steven Seelig, Watson Wyatt Worldwide
File Number: 4-586
Date: June 11, 2009
Details: Request rulemaking to eliminate the requirement that an arbitrator affiliated with the securities industry sit on all public investor cases arbitrated before FINRA in which the amount in controversy exceeds $100,000 View Received Comments Submitted By: Brian N. Smiley, President, Public Investors Arbitration Bar Association
File Number: 4-642
Date: July 21, 2009
Details: Request for rulemaking concerning Mandatory Sustainability Reporting and Disclosure Submitted By: Lisa Woll, CEO, US SIF: The Forum for Sustainable and Responsible Investing (formerly the Social Investment Forum)
File Number: 4-589
Date: Aug. 27, 2009
Details: Request for rulemaking under the Securities Exchange Act of 1934 to regulate or ban the trading practice known as flash orders and the practice of server co-location. View Received Comments Submitted By: William E. McDonnell, Jr, Atherton Lane Advisers, LLC
File Number: 4-599
Date: Oct. 19, 2009
Details: Request that the Commission conduct rulemaking to codify a securities licensing/registration exemption for main street business brokers View Received Comments Submitted By: Jonathan M. Miller, President, TABB, Inc.
File Number: 4-547B
Date: Nov. 23, 2009
Details: Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007)
File Number: 4-547
Date: Nov. 23, 2009
Details: Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007)
File Number: 4-591
Date: Jan. 4, 2010
Details: Request for rulemaking to require FINRA to propose new rules aimed at improving provisions for investor protection in FINRA rules Submitted By: Manuel P. Asensio, Alliance for Economic Stability, Inc.
File Number: 4-593
Date: Jan. 22, 2010
Details: Request for rulemaking to amend Regulation S-K and/or Form 10-K to add a new section entitled "Political Influence." View Received Comments Submitted By: James Evan Dallas
File Number: 4-592
Date: Jan. 27, 2010
Details: Request for rulemaking to amend Rule 146(b) under the Securities Act of 1933 to designate securities listed on BATS as covered securities for the purpose of Section 18 of the Securities Act. Submitted By: BATS Exchange, Inc.
File Number: 4-601
Date: March 22, 2010
Details: Request for rulemaking to require mutual fund companies to provide a single day accrual rate/mil rate for every day of every week Submitted By: Park National Bank
File Number: 4-603
Date: May 17, 2010
Details: Request for rulemaking to amend Rule 7-02 of Regulation S-X under the Securities Act of 1933 concerning the use of financial statements prepared in accordance with statutory accounting principles by certain life insurance company issuers Submitted By: Stephen E. Roth and Mary Thornton Payne, Sutherland Asbill and Brennan LLP (on behalf of Aviva USA Corporation)
File Number: 4-604
Date: May 25, 2010
Details: Request for rulemaking to allow the Nasdaq Capital Market to adopt initial listing price requirements identical to NYSE Amex View Received Comments Submitted By: Joan C. Conley, The Nasdaq Stock Market LLC
File Number: 4-605
Date: July 1, 2010
Details: Request for rulemaking to exempt securities offerings up to $100,000 with $100maximum per investor from registration View Received Comments Submitted By: Jenny Kassan, Sustainable Economies Law Center
File Number: 4-614
Date: Oct. 8, 2010
Details: Request for rulemaking to amend Rule 146(b) to designate securities listed on the Nasdaq Options Market as covered securities for the purpose of Section 18 of the Securities Act of 1933 Submitted By: Edward S. Knight, NASDAQ OMX
File Number: 4-623
Date: Jan. 28, 2011
Details: Request for rulemaking concerning Market Data Structure Submitted By: Christopher Nagy, Managing Director Order Strategy and Richard P. Urian, Global Head of Market Data, TD Ameritrade
File Number: 4-624
Date: March 7, 2011
Details: Request for rulemaking regarding the beneficial ownership reporting rules under Section 13 of the Securities Exchange Act of 1934 View Received Comments Submitted By: Theodore N. Mirvis, Esq., Andrew R. Brownstein, Esq., Eric S. Robinson, Esq., Adam O. Emmerich, Esq., David M. Silk, Esq., Trevor S. Norwitz, Esq., David C. Karp, Esq. and William Savitt, Esq. of Wachtell, Lipton, Rosen & Katz
File Number: 4-628
Date: April 29, 2011
Details: Request for rulemaking to amend Rule 651 of the Philadelphia Stock Exchange (n/k/a NASDAQ OMX PHLX) View Received Comments Supplement to petition Submitted By: Joseph D. Carapico, G.P., Pennmont Securities
File Number: 4-630
Date: May 20, 2011
Details: Request for rulemaking to amend Rule 14a-4(b)(2)(Requirements as to proxy) to eliminate the "withhold authority" vote on proxy forms used for the election of corporate directors. View Received Comments Supplement to petition Submitted By: Edward J. Durkin, Director, Corporate Affairs Department, United Br
File Number: 4-632
Date: May 26, 2011
Details: Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on BATS Exchange, Inc. as covered securities for the purpose of Section 18 of the Securities Act. Submitted By: Eric Swanson, SVP & General Counsel, BATS Exchange, Inc.
File Number: 4-634
Date: May 27, 2011
Details: Request for rulemaking to mandate universal institutional brokerage commission transparency and disclosure View Received Comments additional letter Submitted By: William T. George
File Number: 4-637
Date: Aug. 3, 2011
Details: Petition to require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments Submitted By: Lucian A. Bebchuk, Co-Chair, Bernard S. Black, John C. Coffee Jr., James D. Cox, Jeffrey N. Gordon, Ronald J. Gilson, Henry Hansmann, Robert J. Jackson Jr., Co-Chair, Donald C. Langevoort, Hillary A. Sale, The Committee on Disclosure of Corporate Political Spending
File Number: 4-637-2
Date: Aug. 3, 2011
Details: Petition to require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments Submitted By: Lucian A. Bebchuk, Co-Chair, Bernard S. Black, John C. Coffee Jr., James D. Cox, Jeffrey N. Gordon, Ronald J. Gilson, Henry Hansmann, Robert J. Jackson Jr., Co-Chair, Donald C. Langevoort, Hillary A. Sale, The Committee on Disclosure of Corporate Political Spending
File Number: 4-638
Date: Aug. 26, 2011
Details: Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on C2 Options Exchange, Incorporated as covered securities for the purpose of Section 18 of the Securities Act Submitted By: Joanne Moffic-Silver, Secretary, C2 Options Exchange, Incorporated
File Number: 4-641
Date: Nov. 7, 2011
Details: Request for rulemaking, regulation or order pursuant to Section 36(a)(1) of the Exchange Act to provide exemptive relief from the application of Section 15(c)(3) of the Exchange Act and Rule 15c3-3 thereunder View Received Comments Exhibits Submitted By: Counsel on behalf of ICE Clear Credit LLC
Note:
Exhibits
File Number: 4-643
Date: Jan. 9, 2012
Details: Request for rulemaking to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales of securities by general solicitation or general advertising with respect to private funds View Received Comments Submitted By: Richard H. Baker, President and CEO, Managed Funds Association
File Number: 4-644
Date: Jan. 13, 2012
Details: Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants. Petition 4-644A Submitted By: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
File Number: 4-644A
Date: Jan. 13, 2012
Details: Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants. Petition 4-644A Submitted By: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
