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Federal Register/vol 85, No 209/wednesday, October 28: What You Should Know

The Commission is not aware that any self-regulatory organization has filed a notice pursuant to 4(f)(1)(iii) of the Exchange Act. Federal Register/Vol. 85, No. 209 — Notice of Proposed Rule making Oct 28, 2023 – 4(f)(6) imposes a notice requirement on proposed rule makings, except that it does not impose such a requirement on proposed rule makings based on a filing under section 1053 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, 12 U.S.C. 47 U.S.C. Section 1053. See, e.g., NAC, NAC Guidelines--A Proposed Rule to Revise the NYSE and NASDAQ Listings (September 21, 2008). The Commission does not intend to require self-regulatory organizations to file a notice of proposed rule making for a rule change based on a filing pursuant to section 1053 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, because that language is inapplicable to Regulation S-X. See, e.g., Securities Industry Act Release No. 13-102 (Feb. 18, 2011).  Although the Commission does not intend to subject self-regulatory organization filings subject to section 1053 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, to a notice of proposed rule making for an amendment, the Commission does expect self-regulatory organizations to provide written notice of the proposed rule change at least 15 days in advance of the filing of the notice of proposed rule making. See, e.g., SEC Release No. 811-3 (June 4, 2012); NAC, NAC Guidelines--Rules of Practice and Procedure for Self- Regulating Organizations (March 2007) (proposed rule making in this area will be a rule under 18 U.S.C. Section 13f-5(a)(13)(B)).  The Commission expects any self-regulatory organization to file a notice of proposed rule making at least 15 days prior to the filing of the proposed rule and/or on or before the filing date, except for certain exemptions as noted below.

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