4-872             
                                                                                                            Sept. 30, 2025 
             
                                                                                                            Petition for Rulemaking to Amend Quarterly Reporting Requirements Under Securities Exchange Act of 1934 Submitted By:  William Harts, CEO, Long Term Stock Exchange
 
                   
              
                                                                                                        4-871             
                                                                                                            Sept. 22, 2025 
             
                                                                                                            Petition for Rulemaking to Amend the Accredited Investor Definition in Rule 501(a) of SEC Regulation D. Submitted By:  Benjamin Bartel
 
                   
              
                                                                                                        4-870             
                                                                                                            Sept. 17, 2025 
             
                                                                                                            Petition for Rulemaking to Amend Rule 3c-5 under the Investment Company Act of 1940 to Expand the Category of Employees Qualifying as “Knowledgeable Employees” Submitted By:  Jiří Król, Deputy CEO, Global Head of Government Affairs, The Alternative Investment Management Association
 
                   
              
                                                                                                        4-869             
                                                                                                            Sept. 16, 2025 
             
                                                                                                            Petition for rulemaking to amend Rule 105 of SEC Regulation M Submitted By:  Jiří Król, Deputy CEO, Global Head of Government Affairs
 
                   
              
                                                                                                        4-868             
                                                                                                            Sept. 6, 2025 
             
                                                                                                            Petition for rulemaking to reform the U.S. substantial shareholder disclosure framework under Exchange Act Section 13(d) and Rule 13d-1 thereunder Supplemental Submission              
                   
              
                                                                                                        4-867             
                                                                                                            Aug. 13, 2025 
             
                                                                                                            Petition for rulemaking to outline a policy framework for modernizing cross-border settlement and liquidity management using programmable rails, with the goal of reducing systemic risk, lowering costs for market participants, and improving transparency... Submitted By:  Boyd Roberts, Group Director, Big Picture Group (Emote Digital & Bellman Branding)
 
                   
              
                                                                                                        4-866             
                                                                                                            Aug. 11, 2025 
             
                                                                                                            Petition for rulemaking to modernize FINRA Rule 4210 the Pattern Day Trading rule Submitted By:  Jesus Devesa
 
                   
              
                                                                                                        4-865             
                                                                                                            Aug. 13, 2025 
             
                                                                                                            Petition for rulemaking to Close Loopholes Abused for Naked Shorting Submitted By:  Various Persons
 
                   
              
                                                                                                        4-864             
                                                                                                            July 24, 2025 
             
                                                                                                            Petition for rulemaking to change or eliminate the Pattern Day Trading rule Submitted By:  Brian Johnson
 
                   
              
                                                                                                        4-863             
                                                                                                            July 18, 2025 
             
                                                                                                            Petition for rulemaking to Promulgate a Rule for Enforcement in Federal District Court of Actions Commenced by FINRA Submitted By:  Aditya Dynar, Esq., Oliver J. Dunford, Esq., Cameron Halling, Esq., and Sydney Madigan, Esq., Pacific Legal Foundation
 
                   
              
                                                                                                        4-860             
                                                                                                            July 2, 2025 
             
                                                                                                            Petition for rulemaking to reinstate proposed Item 407(J) of Regulation S-K requiring director cybersecurity expertise disclosure Submitted By:  Bob Zukis, Founder and CEO, Digital Directors Network, et al.
 
                   
              
                                                                                                        4-859             
                                                                                                            July 1, 2025 
             
                                                                                                            Petition for rulemaking To Promulgate Regulations Prohibiting Proxy Voting Recommendations Based on Race, Ethnicity, and Sex Submitted By:  Trent McCotter, Boyden Gray PLLC
 
                   
              
                                                                                                        4-857             
                                                                                                            May 27, 2025 
             
                                                                                                            Petition for Rulemaking concerning public company consent for inclusion in specific categories of Exchange-Traded Funds (ETFs).  
                   
              
                                                                                                        4-856             
                                                                                                            May 22, 2025 
             
                                                                                                            Joint Petition for Rulemaking to Amend the SEC Cybersecurity Risk Management, Strategy Governance & Incident Disclosure rule to rescind Form 8-K, Item 1.05 and Form 6-K requirements  View Received Comments Submitted By:  John W. Carlson, Sr. Vice President, Cybersecurity Regulation & Resilience, American Bankers Association
Heather Hogsett, Sr. Vice President, Dep. Head of BITS, Bank Policy Institute
Melissa MacGregor, Deputy General Counsel & Corporate Secretary, Securities Industry and Financial Markets Association
Angelica Dortch, Vice President, Operational Risk & Cybersecurity Policy, Independent Community Bankers of America
Michelle Meertens, Deputy General Counsel, Institute of International Bankers
 
                   
              
                                                                                                        4-853             
                                                                                                            April 24, 2025 
             
                                                                                                            Joint Petition for Rulemaking to adopt certain changes to the CAT NMS Plan View Received Comments Submitted By:  John A. Zecca, Executive Vice President, Global Chief Legal, Risk & Regulatory Officer, Nasdaq
J. Patrick Sexton, Executive Vice President, General Counsel & Corporate Secretary, CBOE
 
                   
              
                                                                                                        4-852             
                                                                                                            April 23, 2025 
             
                                                                                                            Petition for Rulemaking to explore the feasibility of implementation of a T+0 securities transaction settlement cycle  Submitted By:  Robin Shaly
 
                   
              
                                                                                                        4-851             
                                                                                                            March 19, 2025 
             
                                                                                                            Petition for Rulemaking to Enhance Oversight and Enforcement Against Corporate Embezzlement by Public Company Executives Submitted By:  Sarah Weiser
 
                   
              
                                                                                                        4-849             
                                                                                                            March 15, 2025 
             
                                                                                                            Petition for Rulemaking to Amend Rule 3(a)(10) of the Securities Act of 1933  
                   
              
                                                                                                        4-848             
                                                                                                            March 12, 2025 
             
                                                                                                            Petition for Rulemaking to amend Reg SHO to require pre-borrows for all short sales, impose fees for Fails To Deliver and eliminate market maker exceptions View Received Comments Submitted By:  David Lauer, Co-Founder, Urvin Finance and We The Investors and John W. Welborn, Senior Lecturer, Dartmouth College
 
                   
              
                                                                                                        4-847             
                                                                                                            Jan. 23, 2025 
             
                                                                                                            Petition for Rulemaking to clarify SEC's regulations on trading by individual investors who publicly comment on securities Submitted By:  Andrew Left
 
                   
              
                                                                                                        4-846             
                                                                                                            Dec. 16, 2024 
             
                                                                                                            Petition for Rulemaking to reduce advisers’ perceived liability for voting client proxies. Submitted By:  Alex G. Merk, Merk Investments LLC
 
                   
              
                                                                                                        4-843             
                                                                                                            Sept. 19, 2024 
             
                                                                                                            Petition for Rulemaking to immediately revise the Consolidated Audit Trail (CAT) structure, governance and funding so that this essential tool may better protect the stability and integrity of the US capital markets. Submitted By:  Tyler Gellasch, President and Chief Executive Officer, Healthy Markets Association
 
                   
              
                                                                                                        4-842             
                                                                                                            Sept. 20, 2024 
             
                                                                                                            Petitions for Rulemaking: Amend Clearing Agency Rules for Consistent Close Outs View Received Comments Submitted By:  Various Persons
 
                   
              
                                                                                                        4-841             
                                                                                                            Aug. 18, 2024 
             
                                                                                                            Petition for Rulemaking to Prohibit the Dissemination and Private Dissemination of Arbitrary Risk Warnings by Market Participants Submitted By:  Jake P. Noch, Managing Director - Jake P. Noch Family Office, LLC.
 
                   
              
                                                                                                        4-840             
                                                                                                            Aug. 18, 2024 
             
                                                                                                            Petition for Rulemaking to Permit the Dissemination of Quotations for Securities Traded on the Expert Tier of the U.S. OTC Market to Qualified Investors and Professionals Submitted By:  Jake P, Noch, Managing Director - Jake P. Noch Family Office, LLC.
 
                   
              
                                                                                                        4-839             
                                                                                                            Aug. 18, 2024 
             
                                                                                                            Petition for Rulemaking to Establish a Minimum Trading Increment of $5.00 USD for U.S. OTC Equities to Enhance Market Integrity Submitted By:  Jake P. Noch, Managing Director - Jake P. Noch Family Office, LLC.
 
                   
              
                                                                                                        4-838             
                                                                                                            Aug. 17, 2024 
             
                                                                                                            Petition for Rulemaking to Amend FINRA’s 6000 Series and Regulation NMS to Enhance Quotation, Order, and Pricing Requirements for OTC Equities. Submitted By:  Jake P. Noch, Managing Director - Jake P. Noch Family Office, LLC
 
                   
              
                                                                                                        4-837             
                                                                                                            Aug. 17, 2024 
             
                                                                                                            Petition for Rulemaking to Allow FINRA to Issue Stock Symbols Without Requiring a Market Maker to File a Form 211 or the Company to be Reporting or Registered. Submitted By:  Jake P. Noch, Managing Director - Jake P. Noch Family Office, LLC.
 
                   
              
                                                                                                        4-836             
                                                                                                            July 31, 2024 
             
                                                                                                            Petition for rulemaking to Extend Margin Eligibility to OTC Traded Securities and Small Cap and Microcap Issuers Submitted By:  Jake P. Noch, Jake P. Noch Family Office, LLP
 
                   
              
                                                                                                        4-835             
                                                                                                            July 31, 2024 
             
                                                                                                            Petition for rulemaking to Require Disclosure of Tax-Relevant Information for Each Country Submitted By:  Zorka Milin, FACT Coalition
 
                   
              
                                                                                                        4-834             
                                                                                                            July 31, 2024 
             
                                                                                                            Petition for rulemaking for the creation of a FINRA clearing and execution firm for microcap, small cap, and OTC issuers’ securities. Submitted By:  Jake Noch - Managing Director, Jake P. Noch Family Office, LLC
 
                   
              
                                                                                                        4-833             
                                                                                                            July 31, 2024 
             
                                                                                                            Petition for rulemaking to reopen the OTC Bulletin Board Submitted By:  Jake Noch - Managing Director, Jake P. Noch Family Office, LLC
 
                   
              
                                                                                                        4-832             
                                                                                                            July 31, 2024 
             
                                                                                                            Petition for rulemaking to extend Proprietary broker-dealer quotations to OTC-traded securities upon regaining compliance with reporting obligations. Submitted By:  Jake Noch - Managing Director - Jake P. Noch Family Office, LLC
 
                   
              
                                                                                                        4-831             
                                                                                                            Aug. 17, 2024 
             
                                                                                                            Petition for Rulemaking to Amend FINRA’s 6000 Series and Regulation NMS to Enhance Quotation, Order, and Pricing Requirements for OTC Equities. Submitted By:  Jake P. Noch, Managing Director - Jake P. Noch Family Office, LLC
 
                   
              
                                                                                                        4-830             
                                                                                                            July 16, 2024 
             
                                                                                                            Petition for Rulemaking to Prohibit National Securities Exchanges from Listing High-Risk Penny Stocks and Mandate Certain Issuer Disclosures to Facilitate Their Risk Assessment View Received Comments Submitted By:  Thomas M. Merritt, CHRO/Deputy General Counsel, Virtu Financial
 
                   
              
                                                                                                        4-829             
                                                                                                            June 21, 2024 
             
                                                                                                            Petition for rulemaking or guidance regarding calculation of short-swing profits under Section 16(b) of the Securities and Exchange Act of 1934 Submitted By:  Andrew Chin, Paul B. Eaton Distinguished Professor, University of North Carolina School of Law
 
                   
              
                                                                                                        4-828             
                                                                                                            June 21, 2024 
             
                                                                                                            Petition for transparency in Obligation Warehouse data operated by the National Securities Clearing Corporation  
                   
              
                                                                                                        4-827             
                                                                                                            June 13, 2024 
             
                                                                                                            Petition to Reduce Inequality in the Stock Market By Mandating Fair and Reasonable Dividends Submitted By:  Ovan Morrison
 
                   
              
                                                                                                        4-826             
                                                                                                            May 4, 2024 
             
                                                                                                            Petition to initiate a rulemaking to create a “pre-date” period for certain microcaps which potentially will effect reverse stock splits Submitted By:  Sebastian Xavier Arellano
 
                   
              
                                                                                                        4-825             
                                                                                                            April 19, 2024 
             
                                                                                                            Petition to initiate rulemaking to modernize Section 13(f) disclosure rules by reducing the 45-day filing period to no more than five business days to improve the utility of 13F filings for market participants and increase investor confidence View Received Comments Submitted By:  
	C. Edward (Ted) Allen, Vice President, Policy & Advocacy, Society for Corporate Governance; 
	Chris Taylor, Vice President, NYSE Global Head of  Advisory; and 
	Matthew D. Brusch, President and CEO, National Investor Relations Institute 
 
 
                   
              
                                                                                                        4-824             
                                                                                                            Feb. 29, 2024 
             
                                                                                                            Petition to initiate a rulemaking to protect investors’ rights under Section 11 of the Securities Act of 1933 (Section 11) by endorsing and requiring technological solutions to facilitate the tracing of shares sold into the marketplace by direct listings  View Received Comments Submitted By:  Jeffrey P. Mahoney, Esq., General Counsel, Council of Institutional Investors
 
                   
              
                                                                                                        4-823             
                                                                                                            Feb. 13, 2024 
             
                                                                                                            Petition for Modification of Definition for Accredited Investors Submitted By:  Fabricio R. Murillo Garcia
 
                   
              
                                                                                                        4-822             
                                                                                                            Jan. 18, 2024 
             
                                                                                                            Proposal to Amend the Pattern Day Trading Rule Submitted By:  Calvin Cherry
 
                   
              
                                                                                                        4-821             
                                                                                                            Oct. 9, 2023 
             
                                                                                                            Rulemaking petition to require certain communications with whistleblowers and their counsel Submitted By:  Philip S. Brewster, Co-Counsel to Mark Coffey; Patrick M. Mincey, Co-Counsel to Mark Coffey; Stephen J. Bell, Co-Counsel to Mark Coffey
 
                   
              
                                                                                                        4-819             
                                                                                                            Nov. 30, 2023 
             
                                                                                                            Rulemaking Petition To Amend the Pattern Day Trading Rule Submitted By:  Kelly Ryan Kane
 
                   
              
                                                                                                        4-817             
                                                                                                            Feb. 14, 2023 
             
                                                                                                            Rulemaking petition for modification of the dollar threshold figures defining an M&A broker Related Rulemaking Petition of Cabin Securities ,                               Related Rulemaking Petition of Great Point Capital Advisors             Submitted By:  Mark Atchity, President & CEO, JCC Capital Markets, LLC
 
                   
              
                                                                                                        4-816             
                                                                                                            Nov. 6, 2023 
             
                                                                                                            Petition for Rulemaking to amend Instruction 2 to the definition of “smaller reporting company” in Rule 12b-2 under the Securities Exchange Act of 1934 Submitted By:  Andrew Reilly, RIMÔN 
 
                   
              
                                                                                                        4-815             
                                                                                                            April 25, 2023 
             
                                                                                                            Rulemaking Petition to allow Inline XBRL format for Resource Extraction data Submitted By:  Jennifer Froberg, EDGAR Services Team, Toppan Merrill
 
                   
              
                                                                                                        4-814             
                                                                                                            Sept. 5, 2023 
             
                                                                                                            Request that the Commission amend Rules 14b-1-2 regarding obligations of registered entities that exercise fiduciary powers regarding communications to beneficial owners and provision of beneficial owner information to registrants Related Rulemaking Petition from Ashley Mair ,                               Related Rulemaking Petition from Paul Swift III ,                               Related Rulemaking Petition from James Carroll ,                               Related Rulemaking Petition from Kevin Lau ,                               Related Rulemaking Petition from Erik Alvarenga ,                               Related Rulemaking Petition from Jørgen Mikkelsen             Submitted By:  Plasmatron Laboratories
 
                   
              
                                                                                                        4-813             
                                                                                                            Sept. 29, 2023 
             
                                                                                                            Request that the Commission develop rules to require public companies operating in the retail sector that are involved in selling tobacco products to disclose revenue from the sale of products that contain tobacco. Submitted By:  Steven Glass, Managing Director & Investment Analyst, Pella Funds Management
 
                   
              
                                                                                                        4-812             
                                                                                                            Oct. 3, 2023 
             
                                                                                                            Amendment to Rules 21F-10(d) and 21F-11(d) of the SEC’s Whistleblower rules Submitted By:  Stephen M. Kohn and Allison Wise, both of Kohn, Kohn & Colapinto
 
                   
              
                                                                                                        4-811             
                                                                                                            Sept. 14, 2023 
             
                                                                                                            Rulemaking petition to amend Rule 0-7 under the Investment Advisers Act of 1940, which defines a small entity for purposes of the Regulatory Flexibility Act of 1980 View Received Comments Submitted By:  Karen L. Barr, President & CEO, Investment Adviser Association
 
                   
              
                                                                                                        4-810             
                                                                                                            Aug. 27, 2023 
             
                                                                                                            Proposal to REPEAL Approved Rule SR-NSCC-2010-11 View Received Comments Submitted By:  Reflex Entertainment, LLC
 
                   
              
                                                                                                        4-808             
                                                                                                            July 25, 2023 
             
                                                                                                            Rulemaking Petition to modify Rule 13f-1 to shorten the Form 13F filing deadline Submitted By:  James Lintner
 
                   
              
                                                                                                        4-807             
                                                                                                            Aug. 15, 2023 
             
                                                                                                            Proposal to the Amend Pattern Day Trading (PDT) Rule. Submitted By:  Trung Nguyen 
 
                   
              
                                                                                                        4-806             
                                                                                                            July 8, 2023 
             
                                                                                                            Rulemaking Petition to prohibit payment for order flow Submitted By:  Cory Elliott
 
                   
              
                                                                                                        4-805             
                                                                                                            June 16, 2023 
             
                                                                                                            Rulemaking Petition to ensure protection from prohibited personnel practices Submitted By:  Allison C. Giles, Assistant Counsel, National Treasury Employees Union
 
                   
              
                                                                                                        4-804             
                                                                                                            May 10, 2023 
             
                                                                                                            Rulemaking Petition to amend Rules 144A(a) of the Securities Act of 1933 and 2a51-1(g) of the Investment Company Act of 1940. Submitted By:  Timothy P. Terry on behalf of the Private Investor Coalition
 
                   
              
                                                                                                        4-803             
                                                                                                            April 26, 2023 
             
                                                                                                            Rulemaking Petition to mitigate the risks of short selling by closing a loophole in Rule 200 of Regulation SHO. Submitted By:  Mr. Jacob Gillmore
 
                   
              
                                                                                                        4-802             
                                                                                                            Feb. 25, 2023 
             
                                                                                                            Rulemaking Petition for modification of the M&A Broker Exemptions provision of the Consolidated Appropriations Act Submitted By:  Dante Fichera, President, Independent Investment Bankers
 
                   
              
                                                                                                        4-801             
                                                                                                            March 9, 2023 
             
                                                                                                            Rulemaking Petition for the modernization of Rule 144 View Received Comments Submitted By:  Edwin Hu, et al., Working Group on Investor Protection in Public Offerings
 
                   
              
                                                                                                        4-800             
                                                                                                            Jan. 27, 2023 
             
                                                                                                            Rulemaking Petition for modification of the dollar threshold figures defining an M&A broker eligible for exemption from registration Submitted By:  Amy C. Cross, Founder & CEO, StillPoint Capital LLC
 
                   
              
                                                                                                        4-799             
                                                                                                            Jan. 13, 2023 
             
                                                                                                            Rulemaking Petition for Policy Clarification on Credit Rating Agencies View Received Comments Submitted By:  Frank Partnoy, UC Berkeley and International Institute of Law and Finance, et al.
 
                   
              
                                                                                                        4-798             
                                                                                                            Dec. 16, 2022 
             
                                                                                                            Rulemaking petition to strengthen insider trading reporting requirements and increase penalties for insider trading. Submitted By:  Atticus Wong
 
                   
              
                                                                                                        4-797             
                                                                                                            Dec. 15, 2022 
             
                                                                                                            Rulemaking petition to change the stock halt rule.  
                   
              
                                                                                                        4-796             
                                                                                                            Nov. 9, 2022 
             
                                                                                                            Rulemaking petition  to reduce the diversity, equity, and inclusion ("DEI") barriers for "accredited investors" by replacing the net worth and income requirements of Rule 501(a) under the Securities Act of 1933 with non-financial metrics. Submitted By:  Nicolas Morgan, Founder and President, Investor Choice Advocates Network
 
                   
              
                                                                                                        4-795             
                                                                                                            Nov. 22, 2022 
             
                                                                                                            Rulemaking petition to amend Rule 15c2-11 to expressly exempt from Rule 15c2-11 fixed-income securities that satisfy the requirements of Rule 144A; or, in the alternative, expressly exempt Rule 144A securities from Rule 15c2-11 pursuant to the exemptive authority set forth in Rule 15c2-11(g). View Received Comments Submitted By:  Andrew J. Pincus, Esq., Mayer Brown LLP
 
                   
              
                                                                                                        4-794             
                                                                                                            Oct. 7, 2022 
             
                                                                                                            Rulemaking petition to amend FINRA Rules 12601(b) and 13601(b) to curtail late settlement abuse and disregard for FINRA arbitrator time commitments Submitted By:  Thomas M. Madden, FINRA Arbitrator and Mediator, Marist College School of Management
 
                   
              
                                                                                                        4-793             
                                                                                                            Oct. 14, 2022 
             
                                                                                                            Rulemaking petition to amend Reg SHO. Submitted By:  R. T. Leuchtkafer
 
                   
              
                                                                                                        4-792             
                                                                                                            Sept. 10, 2022 
             
                                                                                                            Rulemaking petition to extend the current rules regarding performance reporting of mutual funds and ETFs. Submitted By:  Ramesh Errabolu
 
                   
              
                                                                                                        4-791             
                                                                                                            Aug. 2, 2022 
             
                                                                                                            Rulemaking petition to amend Regulation A (Rules 251 through 263) to allow shelf offerings by certain seasoned issuers. Submitted By:  Jarod C. Winters, Chief Operating Officer & Chief Compliance Officer, Collectable Technologies, Inc.
 
                   
              
                                                                                                        4-790             
                                                                                                            July 21, 2022 
             
                                                                                                            Rulemaking petition that requests a rulemaking to prohibit a security-based swap dealer or other entity subject to Commission regulation from predicating a security-based swap or other financial instrument subject to Commission regulation on a flip clause, walk-away, or variable subordination. View Received Comments  Exhibit 1 ,                               Exhibit 2 ,                               Exhibit 3 ,                               Exhibit 4 ,                               Exhibit 5             Submitted By:  William J. Harrington, Croatan Institute
 
                   
              
                                                                                                        4-789             
                                                                                                            July 21, 2022 
             
                                                                                                            Rulemaking petition requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities. View Received Comments Letter from the Secretary to Paul Grewal, Chief Legal Officer, Coinbase Global, Inc., dated December 15, 2023             Submitted By:  Paul Grewal, Chief Legal Officer, Coinbase Global, Inc.
 
                   
              
                                                                                                        4-788             
                                                                                                            July 20, 2022 
             
                                                                                                            Rulemaking petition to enact a rule or otherwise require issuers and their directors to disclose Executive & Non-Executive commitments in a more accessible format. Submitted By:  Kimon Demetriades
 
                   
              
                                                                                                        4-787             
                                                                                                            June 7, 2022 
             
                                                                                                            Rulemaking petition to require public companies to disclose public companies' investments in their workforce View Received Comments Submitted By:  Working Group on Human Capital Accounting Disclosure:
	Ralph Richard Banks, Jackson Eli Reynolds Professor of Law at Stanford Law School 
	Paul Brest, Former Dean and Professor Emeritus at Stanford Law School 
	John C. Coates IV, John F. Cogan, Jr. Professor of Law and Economics at Harvard Law School and former General Counsel and Acting Director of the SEC's Division of Corporation Finance 
	Gerald Davis, Gilbert and Ruth Whitaker Professor of Business Administration at the University of Michigan Ross School of Business 
	Joseph A. Grundfest, William A. Franke Professor of Law and Business at Stanford Law School and former SEC Commissioner 
	Colleen Honigsberg, Associate Professor of Law at Stanford Law School 
	Robert J. Jackson, Jr., Pierrepont Family Professor of Law at New York University School of Law and former SEC Commissioner 
	Shivaram Rajgopal, Roy Bernard Kester and T.W. Byrnes Professor of Accounting and Auditing, Columbia Business School 
	Ethan Rouen, Assistant Professor of Business Administration and Faculty Co-Chair, Impact Weighted Accounts Project at Harvard Business School 
	Daniel Taylor, Arthur Andersen Professor of Accounting at The Wharton School of the University of Pennsylvania and Director of the Wharton Forensic Analytics Lab 
 
 
                   
              
                                                                                                        4-786             
                                                                                                            May 20, 2022 
             
                                                                                                            Rulemaking petition to require issuers to disclose their business dealings in and with the People's Republic of China Submitted By:  Steve Milloy
 
                   
              
                                                                                                        4-785             
                                                                                                            May 11, 2022 
             
                                                                                                            Rulemaking petition to invoke SEC Rule 304 (a)(4) to remove GME and AMC across all ATS dark pools for at least 14 days. View Received Comments  Exhibit ,                               SEC Release No. 34-83663             Submitted By:  We Want Fair Markets
 
                   
              
                                                                                                        4-784             
                                                                                                            April 14, 2022 
             
                                                                                                            Rulemaking petition requesting the Commission enact a rule requiring issuers to disclose their business dealings in and with the Russian Federation and the Republic of Belarus View Received Comments Submitted By:  Victoria Kulik, President, Ukrainian American Bar Association; Dora Chomiak, President, Razon, Inc.; and Natalie Jaresko, Former Minister of Finance of Ukraine
 
                   
              
                                                                                                        4-783             
                                                                                                            Feb. 7, 2022 
             
                                                                                                            Petition for Issuance, Amendment or Repeal of Commission Rules Related to Whistleblower Submission of Original Information to the News Media View Received Comments  Appendix             Submitted By:  Stephen M. Kohn, Attorney for Media Whistleblowers,  Kohn, Kohn and Colapinto, LLP; Siri Nelson, Executive Director, National Whistleblower Center; and Mary Jane Wilmoth, Publisher, Whistleblower Network News
 
                   
              
                                                                                                        4-782             
                                                                                                            Jan. 22, 2022 
             
                                                                                                            Petition for Rulemaking to request that the Commission issue an open call for comment from the public regarding the need for flexibility in the application of the federal securities laws to digital assets in order to initiate an open-sourced redesign of regulations enforced pursuant to the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and the Investment Company Act of 1940, and other laws enforced by the SEC. View Received Comments Submitted By:  J.W. Verret, Associate Professor, George Mason University Antonin Scalia School of Law
 
                   
              
                                                                                                        4-781             
                                                                                                            Dec. 29, 2021 
             
                                                                                                            Petition for Rulemaking to Abrogate or Amend Financial Industry Regulatory Authority Rules 2268(d), 12200, and 12204(d) View Received Comments  Exhibits ,                               Letter from the Asst. Secretary to Andrew B. Kay, Venable LLP             Submitted By:  Andrew B. Kay, Esq., P. Randolph Seybold, Esq., Venable LLPRichard T. Choi, Esq., Ann B. Furman, Esq., Carlton Fields, P.A. 
             
                   
              
                                                                                                        4-780             
                                                                                                            Nov. 16, 2021 
             
                                                                                                            Rulemaking petition to amend FINRA rule  9554 to preclude a respondent from raising the "inability to pay" defense against an industry claimant Submitted By:  Kevin Carroll, Managing Director and Associate General Counsel, SIFMA
 
                   
              
                                                                                                        4-779             
                                                                                                            Oct. 31, 2021 
             
                                                                                                            Rulemaking petition for public disclosure of Covid mandated terminations  Amended petition ,                               Additional Petition             Submitted By:  George Webster
 
                   
              
                                                                                                        4-778             
                                                                                                            Oct. 29, 2021 
             
                                                                                                            Rulemaking petition regarding the process for reviewing fee filings submitted by self-regulatory organizations View Received Comments Submitted By:  Tyler Gellasch, Executive Director, Healthy Markets Association
 
                   
              
                                                                                                        4-777             
                                                                                                            Sept. 27, 2021 
             
                                                                                                            Request regarding finalization of proposed interpretive rule under the Advisers Act affecting broker-dealers and to withdraw Commission interpretation regarding the solely incidental prong of the broker-dealer exclusion from the definition of investment adviser. Submitted By:  Michael Kitces, Executive Chairman and Co-Founder, XY Planning Network
 
                   
              
                                                                                                        4-776             
                                                                                                            Sept. 27, 2021 
             
                                                                                                            Request  restrictions on use of certain names and titles under Section 208(c) Submitted By:  Michael Kitces, Executive Chairman and Co-Founder, XY Planning Network
 
                   
              
                                                                                                        4-775             
                                                                                                            Sept. 21, 2021 
             
                                                                                                            Request to amend amend SEC Rule 605 of Regulation NMS (Rule 605) to provide investors with greater transparency and enhanced, critical information about execution quality Submitted By:  Douglas A. Cifu, Chief Executive Officer, Virtu Financial
 
                   
              
                                                                                                        4-774             
                                                                                                            May 30, 2021 
             
                                                                                                            Request the Commission develop mandatory rules for public companies to disclose high-quality, comparable, decision-useful information concerning BLM Pledge fulfillment View Received Comments Submitted By:  William Michael Cunningham, Creative Investment Research
 
                   
              
                                                                                                        4-773             
                                                                                                            April 26, 2021 
             
                                                                                                            Request to change the rules which qualifies an individual or individuals as an accredited investor Submitted By:  Benny R. Brown
 
                   
              
                                                                                                        4-772             
                                                                                                            April 21, 2021 
             
                                                                                                            Request to amend Regulation S-K (17 C.F.R. § 229.402(d), instruction (7)) Submitted By:  Stuart J. Kaswell, Esq.
 
                   
              
                                                                                                        4-771             
                                                                                                            April 12, 2021 
             
                                                                                                            Request the Commission provide regulatory clarity with respect to the regulation of a new form of digital assets – non-fungible tokens Submitted By:  Vincent Molinari, Sustainable Holdings, PBC
 
                   
              
                                                                                                        4-770             
                                                                                                            March 18, 2021 
             
                                                                                                            Request to amend Financial Industry Regulatory Authority ("FINRA") Rules 12904 and 13904 to allow FINRA to cease publication of expunged arbitration awards and to redact identifying information in expunged arbitration awards View Received Comments Submitted By:  Paul J. Bazil, Pickard Djinis and Pisarri LLP
 
                   
              
                                                                                                        4-769             
                                                                                                            Feb. 8, 2021 
             
                                                                                                            Request to amend the fair disclosure provisions to allow stakeholders to understand material facts on company compliance with federal statutes Submitted By:  John William Templeton, Journal of Black Innovation
 
                   
              
                                                                                                        4-768             
                                                                                                            Dec. 21, 2020 
             
                                                                                                            Request to adopt amendments to rules applicable to SPAC IPOs to permit SPACs to conduct public offerings on a best-efforts basis Submitted By:  Loeb & Loeb LLP
 
                   
              
                                                                                                        4-767             
                                                                                                            Nov. 9, 2020 
             
                                                                                                            Request to amend custody rule 206(4)(2) View Received Comments Submitted By:  Stuart Kaswell, Esq.
 
                   
              
                                                                                                        4-766             
                                                                                                            Nov. 2, 2020 
             
                                                                                                            Request to limit unjustified COVID-19 lawsuits View Received Comments Submitted By:  Harold Kim, President, U.S. Chamber Institute for Legal Reform and Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness
 
                   
              
                                                                                                        4-765             
                                                                                                            Aug. 10, 2020 
             
                                                                                                            Request to regulate use of encrypted, un-monitored chatrooms by traders View Received Comments Submitted By:  Alberto Thomas, Partner, Fideres Partners LLP
 
                   
              
                                                                                                        4-763             
                                                                                                            July 9, 2020 
             
                                                                                                            Rulemaking petition requiring companies to report on the physical location of their significant assets View Received Comments Submitted By:  Joseph F. Keefe, President and Julie Gorte, Senior Vice President, Impax Asset Management LLC
 
                   
              
                                                                                                        4-761             
                                                                                                            April 29, 2020 
             
                                                                                                            Rulemaking petition to end the Commission's backdoor regulation of 12b-1 fees View Received Comments Submitted By:  Sam Kazman, Competitive Enterprise Institute; Mark Chenoweth, New Civil Liberties Alliance; Helgi C. Walker, Gibson, Dunn & Crutcher LLP; David T Bellaire, Financial Services Institute
 
                   
              
                                                                                                        4-760             
                                                                                                            April 16, 2020 
             
                                                                                                            Rulemaking petition requesting the Commission amend Rules 11 and 302 of Regulation S-T, as well as any other rules or forms necessary to permit such amendments to have their desired effect, at its earliest convenience to permit electronic signatures in addition to manual signatures. View Received Comments Submitted By:  Stephen E. Bochner and Richard C. Blake, Wilson Sonsini Goodrich & Rosati; David A. Bell and James D. Evans, Fenwick & West LLP; and, David G. Peinsipp and Charles S. Kim, Cooley LLP