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SECURITIES AND EXCHANGE COMMISSION (Release No. 3475254; File No. SRCHX201504) June 22, 2015, SelfRegulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness
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A notice of filing is a formal notification submitted to a relevant authority indicating that a certain document has been filed or that a specific action has been taken, often related to legal or compliance matters.
Typically, individuals or organizations involved in legal proceedings or compliance activities, such as businesses, attorneys, or regulatory entities, are required to file a notice of filing.
To fill out a notice of filing, individuals should provide details such as the title of the document, the date of filing, the names of the parties involved, and any required signatures or certifications as dictated by the governing authority.
The purpose of a notice of filing is to officially inform interested parties and regulatory bodies that a document has been filed, ensuring transparency and compliance with legal or procedural requirements.
The notice of filing must typically include information such as the document type, filing date, names of the parties, case number (if applicable), and signatures of those filing the document.
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