Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Connectivity Offering Through Dedicated Cores
Document Number: 2024-06447
Type: Notice
Date: 2024-03-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/27/2024-06447.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Modify the GSD Rules To Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities
Document Number: 2024-06446
Type: Notice
Date: 2024-03-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/27/2024-06446.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
Document Number: 2024-06445
Type: Notice
Date: 2024-03-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/27/2024-06445.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2024-06345
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06345.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2024-06344
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06344.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2024-06343
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06343.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Connectivity Fee Schedule
Document Number: 2024-06342
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06342.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2024-06341
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06341.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Document Number: 2024-06340
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06340.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc.
Document Number: 2024-06339
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06339.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Document Number: 2024-06338
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06338.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Document Number: 2024-06337
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06337.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the 7RCC Spot Bitcoin and Carbon Credit Futures ETF
Document Number: 2024-06336
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06336.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule for Purge Ports
Document Number: 2024-06349
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06349.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Purge Ports
Document Number: 2024-06348
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06348.html
Self-Regulatory Organizations; MIAX Emerald LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Purge Ports
Document Number: 2024-06347
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06347.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
Document Number: 2024-06346
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06346.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Complex Order Rebates in the Exchange's Pricing Schedule at Options 7, Section 4
Document Number: 2024-06325
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06325.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 6
Document Number: 2024-06324
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06324.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 6
Document Number: 2024-06323
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06323.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 9
Document Number: 2024-06322
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06322.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Regular Taker Fees in the Exchange's Pricing Schedule at Options 7, Section 3
Document Number: 2024-06321
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06321.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3
Document Number: 2024-06320
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06320.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 to, and Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove, a Proposed Rule Change To List and Trade Shares of the VanEck Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Document Number: 2024-06319
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06319.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Sections 13 and 14 and Options 8, Section 24
Document Number: 2024-06318
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06318.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Cabinet Proximity Option Fee To Establish a Reservation Fee for Cabinets With Power Densities Greater Than 10kW
Document Number: 2024-06335
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06335.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Cabinet Proximity Option Fee To Establish a Reservation Fee for Cabinets With Power Densities Greater Than 10kW
Document Number: 2024-06334
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06334.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Cabinet Proximity Option Fee To Establish a Reservation Fee for Cabinets With Power Densities Greater Than 10 kW
Document Number: 2024-06333
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06333.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Cabinet Proximity Option Fee To Establish a Reservation Fee for Cabinets With Power Densities Greater Than 10kW
Document Number: 2024-06332
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06332.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Cabinet Proximity Option Fee To Establish a Reservation Fee for Cabinets With Power Densities Greater Than 10kW
Document Number: 2024-06331
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06331.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Cabinet Proximity Option Fee To Establish a Reservation Fee for Cabinets With Power Densities Greater Than 10kW
Document Number: 2024-06330
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06330.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Enhancements to Current Risk Protections
Document Number: 2024-06329
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06329.html
Self-Regulatory Organizations; The Nasdaq Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Trade Now Order Attribute, at Equity 4, Rules 4702 and 4703
Document Number: 2024-06328
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06328.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.31E
Document Number: 2024-06327
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06327.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31
Document Number: 2024-06326
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06326.html
Proposed Collection; Comment Request; Extension: Rule 18a-7
Document Number: 2024-06371
Type: Notice
Date: 2024-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/26/2024-06371.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) To Permit the Use of the Post Only Order Instruction at Prices Below $1.00
Document Number: 2024-06164
Type: Notice
Date: 2024-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06164.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework and the Clearing Agency Stress Testing Framework
Document Number: 2024-06163
Type: Notice
Date: 2024-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06163.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) To Permit the Use of the Post Only Order Instruction at Prices Below $1.00
Document Number: 2024-06162
Type: Notice
Date: 2024-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06162.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No.1 to, and Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove, a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Document Number: 2024-06174
Type: Notice
Date: 2024-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06174.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Change To Amend Its Schedule of Fees and Rebates
Document Number: 2024-06171
Type: Notice
Date: 2024-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06171.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Hashdex Nasdaq Ethereum ETF Under Nasdaq Rule 5711(i) (Trust Units)
Document Number: 2024-06169
Type: Notice
Date: 2024-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06169.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Exchange Rule 5020 To Allow the Exchange To List and Trade Options on ETFs That Represent Interests in a Trust That Holds Bitcoin
Document Number: 2024-06167
Type: Notice
Date: 2024-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06167.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt a Minimum Margin Amount at GSD
Document Number: 2024-06166
Type: Notice
Date: 2024-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06166.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Options 4, Section 3 To List and Trade Options on Units That Represent Interests in a Trust That Holds Bitcoin
Document Number: 2024-06165
Type: Notice
Date: 2024-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06165.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4
Document Number: 2024-06175
Type: Notice
Date: 2024-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06175.html
Sunshine Act Meetings
Document Number: 2024-06296
Type: Notice
Date: 2024-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06296.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework and the Clearing Agency Stress Testing Framework
Document Number: 2024-06071
Type: Notice
Date: 2024-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06071.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31
Document Number: 2024-06070
Type: Notice
Date: 2024-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06070.html
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 6.210 (Ex-Dividend or Ex-Right Dates)
Document Number: 2024-06069
Type: Notice
Date: 2024-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06069.html
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