Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2022/11/16?limit=200®isters=between&mode=atom2025-05-30T10:18:48-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24895.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24895Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24895.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24894.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24894Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24894.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24893.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership and Trading Rights Fees2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24893Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24893.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24892.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add Violations of Rule 2.1210 to the Exchange's Minor Rule Violation Plan for the Equities and Options Markets2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24892Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24892.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24891.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24891Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24891.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24890.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Phlx Equity 6, Section 5 Concerning Optional Risk Settings for Stocks2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24890Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24890.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24889.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24889Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24889.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-23694.htmlProposed Rule - Outsourcing by Investment Advisers2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-23694Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-23694.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24888.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change To Amend the Short Term Option Series Program2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24888Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24888.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24887.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24887Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24887.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24880.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17a-14 and Form CRS2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24880Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24880.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24959.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change, As modified by Amendment No. 1, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24959Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24959.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24958.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24958Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24958.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24957.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update and Harmonize the Exchange's Reimbursement Schedule for Forwarding Proxy and Other Issuer Material2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24957Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24957.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24956.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24956Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24956.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24955.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention2022-11-16T00:00:00-08:002022-11-16T00:00:00-08:002022-24955Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24955.pdf