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?limit=200®isters=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom2024-05-04T02:20:14-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28202.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees2022-12-28T00:00:00-08:002022-12-28T00:00:00-08:002022-28202Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28202.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28201.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 72022-12-28T00:00:00-08:002022-12-28T00:00:00-08:002022-28201Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28201.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28200.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees2022-12-28T00:00:00-08:002022-12-28T00:00:00-08:002022-28200Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28200.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28199.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 62022-12-28T00:00:00-08:002022-12-28T00:00:00-08:002022-28199Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28199.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28197.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Annual Listing Fee Set Forth in Section 902.03 of the NYSE Listed Company Manual2022-12-28T00:00:00-08:002022-12-28T00:00:00-08:002022-28197Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28197.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28196.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Representations Relating to the Stance Equity ESG Large Cap Core ETF2022-12-28T00:00:00-08:002022-12-28T00:00:00-08:002022-28196Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28196.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28195.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework2022-12-28T00:00:00-08:002022-12-28T00:00:00-08:002022-28195Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28195.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28181.htmlNotice - Forum Real Estate Income Fund, et al.2022-12-28T00:00:00-08:002022-12-28T00:00:00-08:002022-28181Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28181.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28180.htmlNotice - Proposed Collection; Comment Request; Extension: Form N-8B-42022-12-28T00:00:00-08:002022-12-28T00:00:00-08:002022-28180Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28180.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28179.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17a-222022-12-28T00:00:00-08:002022-12-28T00:00:00-08:002022-28179Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28179.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28080.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide2022-12-27T00:00:00-08:002022-12-27T00:00:00-08:002022-28080Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28080.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28079.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4754 Regarding Close Eligible Interest2022-12-27T00:00:00-08:002022-12-27T00:00:00-08:002022-28079Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28079.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28088.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Corporation; Order Granting Proposed Rule Changes To Amend Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes2022-12-27T00:00:00-08:002022-12-27T00:00:00-08:002022-28088Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28088.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28087.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate Its 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, Miami International Securities Exchange, LLC2022-12-27T00:00:00-08:002022-12-27T00:00:00-08:002022-28087Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28087.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28086.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 519C Mass Cancellation of Trading Interest2022-12-27T00:00:00-08:002022-12-27T00:00:00-08:002022-28086Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28086.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28085.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant2022-12-27T00:00:00-08:002022-12-27T00:00:00-08:002022-28085Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28085.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28084.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest2022-12-27T00:00:00-08:002022-12-27T00:00:00-08:002022-28084Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28084.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28083.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Establish a Monthly Membership Fee2022-12-27T00:00:00-08:002022-12-27T00:00:00-08:002022-28083Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28083.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28082.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate MIAX's 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, MIAX PEARL, LLC2022-12-27T00:00:00-08:002022-12-27T00:00:00-08:002022-28082Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28082.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28081.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2022-12-27T00:00:00-08:002022-12-27T00:00:00-08:002022-28081Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28081.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27916.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Nasdaq's Post-Trade Risk Management Product to Q2 20232022-12-23T00:00:00-08:002022-12-23T00:00:00-08:002022-27916Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27916.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27913.htmlNotice - PCM Fund, Inc., et al.2022-12-23T00:00:00-08:002022-12-23T00:00:00-08:002022-27913Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27913.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27912.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit2022-12-23T00:00:00-08:002022-12-23T00:00:00-08:002022-27912Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27912.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27911.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Entry and All-Inclusive Annual Fees for Certain Companies2022-12-23T00:00:00-08:002022-12-23T00:00:00-08:002022-27911Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27911.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27910.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Increase Certain Annual Fees Set Forth in Section 141 of the NYSE American Company Guide2022-12-23T00:00:00-08:002022-12-23T00:00:00-08:002022-27910Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27910.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27959.htmlNotice - Order Scheduling Filing of Statements on Review; In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008)2022-12-23T00:00:00-08:002022-12-23T00:00:00-08:002022-27959Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27959.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27907.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 32a-42022-12-23T00:00:00-08:002022-12-23T00:00:00-08:002022-27907Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27907.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27789.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27789Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27789.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27788.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27788Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27788.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27787.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Partial Amendment No. 1 to Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27787Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27787.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27786.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Functionality in Connection With a Technology Migration2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27786Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27786.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27785.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain ISE Complex Order Functionalities in Connection With a Technology Migration2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27785Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27785.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27784.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; 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 VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27784Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27784.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27783.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27783Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27783.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27794.htmlNotice - ACAP Strategic Fund, et al.2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27794Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27794.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27793.htmlNotice - Golub Capital BDC, Inc., et al.2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27793Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27793.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27791.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Make Certain Amendments to the Preamble to Rule 9217 and To Add Rule 2.1210 to the Exchange's Minor Rule Violation Plan for Equities and Options2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27791Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27791.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27790.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27790Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27790.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27921.htmlNotice - Sunshine Act Meetings2022-12-22T00:00:00-08:002022-12-22T00:00:00-08:002022-27921Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27921.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27636.htmlRule - Technical Amendments to Commission Rules2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27636Rulehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27636.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27649.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-8050-3 To Establish Functionality That Will Reject Market Maker Quotes When Those Quotes Would Otherwise Lock or Cross the National Best Bid or Offer2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27649Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27649.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27648.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27648Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27648.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27659.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27659Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27659.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27658.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice Related to Certain Enhancements to the Gap Risk Measure and the VaR Charge2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27658Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27658.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27657.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27657Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27657.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27656.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fees Schedule To Adopt Global Trading Hours XSP Lead Market-Makers Incentive Programs2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27656Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27656.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27655.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27655Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27655.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27654.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Requirements in Equity 2, Sections 4, 5, and 112022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27654Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27654.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27653.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Reflect Adjustments to FINRA's Registration Fees Related to the Central Registration Depository2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27653Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27653.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27652.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove a Monthly Credit Associated With Trading Permit Fees2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27652Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27652.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27651.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27651Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27651.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27650.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Finance Procedures2022-12-21T00:00:00-08:002022-12-21T00:00:00-08:002022-27650Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27650.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/20/2022-27497.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rules 5605 and 56062022-12-20T00:00:00-08:002022-12-20T00:00:00-08:002022-27497Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-20/pdf/2022-27497.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/20/2022-27488.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 19b-12022-12-20T00:00:00-08:002022-12-20T00:00:00-08:002022-27488Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-20/pdf/2022-27488.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/20/2022-27500.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19-E2022-12-20T00:00:00-08:002022-12-20T00:00:00-08:002022-27500Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-20/pdf/2022-27500.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27641.htmlNotice - Sunshine Act Meetings2022-12-19T00:00:00-08:002022-12-19T00:00:00-08:002022-27641Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27641.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27384.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market2022-12-19T00:00:00-08:002022-12-19T00:00:00-08:002022-27384Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27384.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27383.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 17, Rule 52022-12-19T00:00:00-08:002022-12-19T00:00:00-08:002022-27383Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27383.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27382.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.192022-12-19T00:00:00-08:002022-12-19T00:00:00-08:002022-27382Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27382.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27381.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.192022-12-19T00:00:00-08:002022-12-19T00:00:00-08:002022-27381Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27381.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27380.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address an Erroneous Reference in Equity 4, Rule 4780(e)2022-12-19T00:00:00-08:002022-12-19T00:00:00-08:002022-27380Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27380.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27379.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2022-12-19T00:00:00-08:002022-12-19T00:00:00-08:002022-27379Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27379.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27378.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2022-12-19T00:00:00-08:002022-12-19T00:00:00-08:002022-27378Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27378.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27377.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2022-12-19T00:00:00-08:002022-12-19T00:00:00-08:002022-27377Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27377.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27376.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule2022-12-19T00:00:00-08:002022-12-19T00:00:00-08:002022-27376Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27376.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/16/2022-24376.htmlProposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting2022-12-16T00:00:00-08:002022-12-16T00:00:00-08:002022-24376Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-24376.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/16/2022-27163.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 (Registration Requirements and Restrictions on Membership)2022-12-16T00:00:00-08:002022-12-16T00:00:00-08:002022-27163Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-27163.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/16/2022-27266.htmlNotice - Silver Spike Investment Corp., et al.2022-12-16T00:00:00-08:002022-12-16T00:00:00-08:002022-27266Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-27266.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/16/2022-27257.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees2022-12-16T00:00:00-08:002022-12-16T00:00:00-08:002022-27257Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-27257.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/16/2022-27256.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees2022-12-16T00:00:00-08:002022-12-16T00:00:00-08:002022-27256Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-27256.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/16/2022-27255.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Article 17, Rule 52022-12-16T00:00:00-08:002022-12-16T00:00:00-08:002022-27255Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-27255.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/15/2022-27168.htmlNotice - MidCap Financial Investment Corporation, et al.2022-12-15T00:00:00-08:002022-12-15T00:00:00-08:002022-27168Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-15/pdf/2022-27168.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/15/2022-27162.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule2022-12-15T00:00:00-08:002022-12-15T00:00:00-08:002022-27162Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-15/pdf/2022-27162.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/15/2022-27161.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2022-12-15T00:00:00-08:002022-12-15T00:00:00-08:002022-27161Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-15/pdf/2022-27161.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27052.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Providing Clearing Services for Additional Index and Single Name Credit Default Swaps2022-12-14T00:00:00-08:002022-12-14T00:00:00-08:002022-27052Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27052.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27051.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118(a)2022-12-14T00:00:00-08:002022-12-14T00:00:00-08:002022-27051Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27051.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27043.htmlNotice - Monroe Capital Corporation, et al.2022-12-14T00:00:00-08:002022-12-14T00:00:00-08:002022-27043Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27043.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27054.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the Breakwave Tanker Shipping ETF2022-12-14T00:00:00-08:002022-12-14T00:00:00-08:002022-27054Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27054.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27053.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2022-12-14T00:00:00-08:002022-12-14T00:00:00-08:002022-27053Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27053.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27222.htmlNotice - Sunshine Act Meetings2022-12-14T00:00:00-08:002022-12-14T00:00:00-08:002022-27222Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27222.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/13/2022-26950.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision) To Extend the Temporary Remote Inspection Relief to IEX Members for Calendar Year 20222022-12-13T00:00:00-08:002022-12-13T00:00:00-08:002022-26950Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-13/pdf/2022-26950.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/13/2022-26949.htmlNotice - 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.2022-12-13T00:00:00-08:002022-12-13T00:00:00-08:002022-26949Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-13/pdf/2022-26949.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/13/2022-27154.htmlNotice - Sunshine Act Meetings2022-12-13T00:00:00-08:002022-12-13T00:00:00-08:002022-27154Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-13/pdf/2022-27154.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/13/2022-26961.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17f-72022-12-13T00:00:00-08:002022-12-13T00:00:00-08:002022-26961Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-13/pdf/2022-26961.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/12/2022-27038.htmlNotice - Sunshine Act Meetings2022-12-12T00:00:00-08:002022-12-12T00:00:00-08:002022-27038Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-27038.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26948.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee2022-12-12T00:00:00-08:002022-12-12T00:00:00-08:002022-26948Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26948.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26898.htmlProposed Rule - Reopening of Comment Period for Share Repurchase Disclosure Modernization2022-12-12T00:00:00-08:002022-12-12T00:00:00-08:002022-26898Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26898.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26944.htmlNotice - Privacy Act of 1974; System of Records2022-12-12T00:00:00-08:002022-12-12T00:00:00-08:002022-26944Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26944.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26867.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee2022-12-12T00:00:00-08:002022-12-12T00:00:00-08:002022-26867Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26867.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26866.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees2022-12-12T00:00:00-08:002022-12-12T00:00:00-08:002022-26866Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26866.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26865.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4753 and Equity 4, Rule 47032022-12-12T00:00:00-08:002022-12-12T00:00:00-08:002022-26865Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26865.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26864.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2022-12-12T00:00:00-08:002022-12-12T00:00:00-08:002022-26864Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26864.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/09/2022-26901.htmlNotice - Sunshine Act Meetings2022-12-09T00:00:00-08:002022-12-09T00:00:00-08:002022-26901Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-09/pdf/2022-26901.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/09/2022-26745.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2022-12-09T00:00:00-08:002022-12-09T00:00:00-08:002022-26745Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-09/pdf/2022-26745.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/09/2022-26744.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 17, Rule 52022-12-09T00:00:00-08:002022-12-09T00:00:00-08:002022-26744Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-09/pdf/2022-26744.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/09/2022-26817.htmlNotice - Submission for OMB Review; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)2022-12-09T00:00:00-08:002022-12-09T00:00:00-08:002022-26817Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-09/pdf/2022-26817.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/09/2022-26815.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form N-17D-12022-12-09T00:00:00-08:002022-12-09T00:00:00-08:002022-26815Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-09/pdf/2022-26815.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/08/2022-26650.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise2022-12-08T00:00:00-08:002022-12-08T00:00:00-08:002022-26650Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-08/pdf/2022-26650.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26539.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series2022-12-07T00:00:00-08:002022-12-07T00:00:00-08:002022-26539Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26539.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26538.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2022-12-07T00:00:00-08:002022-12-07T00:00:00-08:002022-26538Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26538.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26537.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees2022-12-07T00:00:00-08:002022-12-07T00:00:00-08:002022-26537Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26537.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26536.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Distributions Guide2022-12-07T00:00:00-08:002022-12-07T00:00:00-08:002022-26536Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26536.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26535.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 2 and Amendment No. 3 and of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Revise the Excess Capital Premium Charge Order2022-12-07T00:00:00-08:002022-12-07T00:00:00-08:002022-26535Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26535.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26534.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series2022-12-07T00:00:00-08:002022-12-07T00:00:00-08:002022-26534Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26534.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26533.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 11.190(g) To Provide an Alternative Calculation for Non-Displayed Pegged Order Types for Determining Whether a Quote Instability Condition Exists2022-12-07T00:00:00-08:002022-12-07T00:00:00-08:002022-26533Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26533.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26541.htmlNotice - 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. To Reflect the Fee for Directed Orders Routed by the Exchange to an Alternative Trading System2022-12-07T00:00:00-08:002022-12-07T00:00:00-08:002022-26541Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26541.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26444.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2022-12-06T00:00:00-08:002022-12-06T00:00:00-08:002022-26444Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26444.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26443.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series2022-12-06T00:00:00-08:002022-12-06T00:00:00-08:002022-26443Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26443.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26442.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series2022-12-06T00:00:00-08:002022-12-06T00:00:00-08:002022-26442Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26442.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26441.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq 100 Micro Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program2022-12-06T00:00:00-08:002022-12-06T00:00:00-08:002022-26441Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26441.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26440.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series2022-12-06T00:00:00-08:002022-12-06T00:00:00-08:002022-26440Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26440.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26439.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listed Company Manual Section 302.002022-12-06T00:00:00-08:002022-12-06T00:00:00-08:002022-26439Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26439.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26445.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)2022-12-06T00:00:00-08:002022-12-06T00:00:00-08:002022-26445Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26445.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26426.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 15b1-1/Form BD2022-12-06T00:00:00-08:002022-12-06T00:00:00-08:002022-26426Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26426.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26425.htmlNotice - Proposed Collection; Comment Request; Extension: Regulation SBSR2022-12-06T00:00:00-08:002022-12-06T00:00:00-08:002022-26425Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26425.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26424.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 19b-5 and Form PILOT2022-12-06T00:00:00-08:002022-12-06T00:00:00-08:002022-26424Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26424.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/05/2022-26330.htmlNotice - Varagon Capital Corporation, et al.2022-12-05T00:00:00-08:002022-12-05T00:00:00-08:002022-26330Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-05/pdf/2022-26330.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/05/2022-26336.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 3022022-12-05T00:00:00-08:002022-12-05T00:00:00-08:002022-26336Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-05/pdf/2022-26336.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/05/2022-26334.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19E2022-12-05T00:00:00-08:002022-12-05T00:00:00-08:002022-26334Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-05/pdf/2022-26334.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/05/2022-26486.htmlNotice - Sunshine Act Meetings2022-12-05T00:00:00-08:002022-12-05T00:00:00-08:002022-26486Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-05/pdf/2022-26486.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/02/2022-26235.htmlNotice - Joint Industry Plan; Notice of Filing of Partial Amendment No. 1 to an Amendment to the National Market System Plan Governing the Consolidated Audit Trail2022-12-02T00:00:00-08:002022-12-02T00:00:00-08:002022-26235Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-02/pdf/2022-26235.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/02/2022-26234.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 10.3 Regarding Margin Requirements2022-12-02T00:00:00-08:002022-12-02T00:00:00-08:002022-26234Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-02/pdf/2022-26234.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/02/2022-26233.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2022-12-02T00:00:00-08:002022-12-02T00:00:00-08:002022-26233Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-02/pdf/2022-26233.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/02/2022-26232.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2022-12-02T00:00:00-08:002022-12-02T00:00:00-08:002022-26232Noticehttps://www.govinfo.gov/content/pkg/FR-2022-12-02/pdf/2022-26232.pdfhttps://regulations.justia.com/regulations/fedreg/2022/12/02/2022-26133.htmlProposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act2022-12-02T00:00:00-08:002022-12-02T00:00:00-08:002022-26133Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2022-12-02/pdf/2022-26133.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/30/2022-26106.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402022-11-30T00:00:00-08:002022-11-30T00:00:00-08:002022-26106Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-30/pdf/2022-26106.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/30/2022-26076.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, and MEMX LLC Concerning Options-Related Market Surveillance2022-11-30T00:00:00-08:002022-11-30T00:00:00-08:002022-26076Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-30/pdf/2022-26076.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25956.htmlNotice - Cantor Fitzgerald Sustainable Infrastructure Fund and Cantor Fitzgerald Investment Advisors, L.P.2022-11-29T00:00:00-08:002022-11-29T00:00:00-08:002022-25956Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25956.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25950.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2022-11-29T00:00:00-08:002022-11-29T00:00:00-08:002022-25950Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25950.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25949.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1042022-11-29T00:00:00-08:002022-11-29T00:00:00-08:002022-25949Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25949.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25948.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls2022-11-29T00:00:00-08:002022-11-29T00:00:00-08:002022-25948Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25948.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25947.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM Options 7, Section 22022-11-29T00:00:00-08:002022-11-29T00:00:00-08:002022-25947Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25947.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25945.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee2022-11-29T00:00:00-08:002022-11-29T00:00:00-08:002022-25945Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25945.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25943.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee2022-11-29T00:00:00-08:002022-11-29T00:00:00-08:002022-25943Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25943.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26051.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)2022-11-29T00:00:00-08:002022-11-29T00:00:00-08:002022-26051Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-26051.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26045.htmlNotice - Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail2022-11-29T00:00:00-08:002022-11-29T00:00:00-08:002022-26045Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-26045.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26044.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses2022-11-29T00:00:00-08:002022-11-29T00:00:00-08:002022-26044Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-26044.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/28/2022-23757.htmlRule - Listing Standards for Recovery of Erroneously Awarded Compensation2022-11-28T00:00:00-08:002022-11-28T00:00:00-08:002022-23757Rulehttps://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-23757.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25789.htmlNotice - Prospect Floating Rate and Alternative Income Fund, Inc. and Prospect Capital Management L.P.2022-11-28T00:00:00-08:002022-11-28T00:00:00-08:002022-25789Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-25789.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25787.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading To Amend the Short Term Option Series Program2022-11-28T00:00:00-08:002022-11-28T00:00:00-08:002022-25787Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-25787.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25786.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 515 to Make a Minor, Non-Substantive Edit2022-11-28T00:00:00-08:002022-11-28T00:00:00-08:002022-25786Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-25786.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/28/2022-26014.htmlNotice - Sunshine Act Meetings2022-11-28T00:00:00-08:002022-11-28T00:00:00-08:002022-26014Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-26014.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-23756.htmlRule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-23756Rulehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-23756.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25927.htmlNotice - Sunshine Act Meetings2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25927Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25927.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25665.htmlNotice - Order Cancelling Registrations of Certain Transfer Agents2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25665Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25665.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25664.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position and Exercise Limits for Options on Apple Inc. Stock (“AAPL”)2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25664Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25664.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25663.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Modify IEX Rule 11.190(b)(7)2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25663Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25663.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25662.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to ICE Clear Europe Operational Risk and Resilience Policy2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25662Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25662.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25685.htmlNotice - In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 19342022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25685Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25685.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25673.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25673Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25673.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25672.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25672Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25672.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25671.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25671Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25671.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25670.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25670Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25670.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25669.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25669Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25669.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25668.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25668Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25668.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25667.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25667Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25667.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25666.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-5050-6 (Short Term Option Series Program)2022-11-25T00:00:00-08:002022-11-25T00:00:00-08:002022-25666Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25666.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25475.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-27, on Supervision, To Further Extend the Current Regulatory Relief for Remote Office Inspections Through June 30, 20232022-11-23T00:00:00-08:002022-11-23T00:00:00-08:002022-25475Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25475.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25474.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Corporation; Order Granting Proposed Rule Changes To Amend the Stress Testing Framework and Liquidity Risk Management Framework2022-11-23T00:00:00-08:002022-11-23T00:00:00-08:002022-25474Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25474.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25473.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading and the Short Term Option Series Program2022-11-23T00:00:00-08:002022-11-23T00:00:00-08:002022-25473Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25473.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25472.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of Pending Amendments to Equity 4, Rules 4120, 4702 and 47032022-11-23T00:00:00-08:002022-11-23T00:00:00-08:002022-25472Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25472.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25471.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Trading Permit Fees for Market Makers in the MIAX PEARL Options Fee Schedule2022-11-23T00:00:00-08:002022-11-23T00:00:00-08:002022-25471Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25471.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25470.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Make Certain Revisions to the Preamble to Rule 10.9217 and Add Rule 2.1210 to the List of Minor Rule Violations in Rule 10.9217(f)2022-11-23T00:00:00-08:002022-11-23T00:00:00-08:002022-25470Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25470.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25476.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule G-3, on Professional Qualification Requirements, To Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease2022-11-23T00:00:00-08:002022-11-23T00:00:00-08:002022-25476Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25476.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25621.htmlNotice - Hennessy Funds Trust, et al.2022-11-23T00:00:00-08:002022-11-23T00:00:00-08:002022-25621Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25621.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25359.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Exchange Rule 14.11(d) To Accommodate Exchange Listing and Trading of Options-Linked Securities2022-11-22T00:00:00-08:002022-11-22T00:00:00-08:002022-25359Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25359.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25358.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2614(f), Self-Trade Protection Modifiers2022-11-22T00:00:00-08:002022-11-22T00:00:00-08:002022-25358Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25358.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25357.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 6.41P-O2022-11-22T00:00:00-08:002022-11-22T00:00:00-08:002022-25357Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25357.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25356.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2617 Order Execution and Routing2022-11-22T00:00:00-08:002022-11-22T00:00:00-08:002022-25356Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25356.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25355.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110 To Amend IEX's Fee Schedule2022-11-22T00:00:00-08:002022-11-22T00:00:00-08:002022-25355Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25355.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25354.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule BX Equity 6, Section 5 To Provide Participants With Additional Optional Settings2022-11-22T00:00:00-08:002022-11-22T00:00:00-08:002022-25354Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25354.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25353.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 52022-11-22T00:00:00-08:002022-11-22T00:00:00-08:002022-25353Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25353.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25352.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Changes To Addendum A To Adopt Fees for the AIP Document Transfer Service as Part of AIP Attachments2022-11-22T00:00:00-08:002022-11-22T00:00:00-08:002022-25352Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25352.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25346.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17Ad-102022-11-22T00:00:00-08:002022-11-22T00:00:00-08:002022-25346Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25346.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25425.htmlNotice - 24X National Exchange LLC; Notice of Filing of Amendment No. 2 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 19342022-11-22T00:00:00-08:002022-11-22T00:00:00-08:002022-25425Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25425.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25234.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05 and a Related Definition in Rule 16.12022-11-21T00:00:00-08:002022-11-21T00:00:00-08:002022-25234Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25234.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25233.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; 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 ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2022-11-21T00:00:00-08:002022-11-21T00:00:00-08:002022-25233Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25233.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25232.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05 and a Related Definition in Rule 16.12022-11-21T00:00:00-08:002022-11-21T00:00:00-08:002022-25232Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25232.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25231.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 4.5(d)2022-11-21T00:00:00-08:002022-11-21T00:00:00-08:002022-25231Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25231.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25225.htmlNotice - Proposed Collection; Comment Request; Extension: Notice of Exempt Preliminary Roll-Up Communication2022-11-21T00:00:00-08:002022-11-21T00:00:00-08:002022-25225Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25225.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25237.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Initial and Annual Fees for Exchange Traded Products2022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25237Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25237.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25235.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118(a)2022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25235Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25235.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25230.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E2022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25230Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25230.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25226.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 1552022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25226Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25226.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25224.htmlNotice - Trinity Capital Inc.2022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25224Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25224.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25088.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend the NYSE Arca Equities Fees and Charges2022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25088Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25088.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25087.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25087Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25087.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25105.htmlNotice - Proposed Collection; Comment Request; Extension: Schedule 13E-4F2022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25105Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25105.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25104.htmlNotice - Proposed Collection; Comment Request; Extension: 7a-15 Through 7a-372022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25104Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25104.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25102.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17Ab2-22022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25102Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25102.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25101.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17a-62022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25101Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25101.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25100.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rules 13n-4(b)(9), (b)(10) and (d)2022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25100Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25100.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25099.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 22c-12022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25099Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25099.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25098.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 204-52022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25098Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25098.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25097.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 6c-112022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25097Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25097.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25096.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 3a71-3(d)2022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25096Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25096.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25095.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 10b-102022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25095Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25095.pdfhttps://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25089.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2022-11-18T00:00:00-08:002022-11-18T00:00:00-08:002022-25089Noticehttps://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25089.pdfhttps://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.pdf