*Letters

Disapproval to the SEC on a Proposal to Extend Fee Pilot Program for NASDAQ Last Sale

Published on:
November 8, 2010

SIFMA and NetCoalition provide comments and a petition for disapproval to the Securities and Exchange Commission (SEC) on the Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC to Extend Fee Pilot Program for NASDAQ Last Sale, File No. SR-Nasdaq-2010-129, Exchange Act Release No. 63092.  The groups believe that this action by the exchange is inconsistent with the recent decision of the United States Court of Appeals for the District of Columbia Circuit in NetCoalition v. Securities and Exchange Commission. The groups petition the SEC to temporarily suspend the rule change under recently-amended Section 19(b)(3)(C) of the Exchange Act and institute proceedings to disapprove (or properly approve) those changes under Section 19(b)(2)(B) of the Exchange Act.

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.