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/2023/03?limit=200®isters=between&min-day=1&max-day=31&mode=atom2025-07-19T02:30:33-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/03/31/2023-06657.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 308 as Defined in Rule 9232(b) and Delete and Replace Certain Obsolete References2023-03-31T00:00:00-07:002023-03-31T00:00:00-07:002023-06657Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-31/pdf/2023-06657.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06701.htmlRule - General Rules and Regulations, Securities Exchange Act of 19342023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06701Rulehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06701.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06561.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Sponsored Participant Rules2023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06561Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06561.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06559.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to British Pounds Sterling as Client-Related Margin2023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06559Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06559.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06558.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Amend Rule 4702 To Establish New “Contra Midpoint Only” and “Contra Midpoint Only With Post-Only” Order Types2023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06558Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06558.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06557.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Alternative Display Facility New Entrant2023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06557Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06557.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06629.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 15c2-52023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06629Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06629.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06628.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 15c3-12023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06628Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06628.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06487.htmlNotice - Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06487Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06487.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06433.htmlNotice - Bain Capital Private Credit and BCSF Advisors, LP2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06433Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06433.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06432.htmlNotice - Nomura Alternative Income Fund and Nomura Private Capital LLC2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06432Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06432.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06430.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06430Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06430.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06429.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06429Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06429.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06428.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06428Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06428.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06426.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06426Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06426.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06323.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-03-28T00:00:00-07:002023-03-28T00:00:00-07:002023-06323Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06323.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06322.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1240.01 To Provide Eligible Individuals Another Opportunity To Elect To Participate in the Maintaining Qualifications Program2023-03-28T00:00:00-07:002023-03-28T00:00:00-07:002023-06322Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06322.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06321.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change To Update Regulatory Independence Policies2023-03-28T00:00:00-07:002023-03-28T00:00:00-07:002023-06321Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06321.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06411.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 147(f)(1)(iii) Written Representation as to Purchaser Residency2023-03-28T00:00:00-07:002023-03-28T00:00:00-07:002023-06411Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06411.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06410.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 147A(f)(1)(iii) Written Representation as to Purchaser Residency2023-03-28T00:00:00-07:002023-03-28T00:00:00-07:002023-06410Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06410.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06193.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Historical Data Product To Be Known as the Intraday Open-Close Data Report and To Adopt Fees for Such Product2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06193Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06193.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06192.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Replace the Thirteenth Amended and Restated Operating Agreement2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06192Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06192.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06196.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Address Duplicative Requirements2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06196Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06196.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06195.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Concerning the Options Clearing Corporation's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06195Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06195.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06194.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Sponsored Participant Rules 11.3(a) and 11.3(b)(2)2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06194Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06194.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06224.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 203A-2(d)2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06224Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06224.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06173.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 206(4)-62023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06173Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06173.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06399.htmlNotice - Sunshine Act Meetings2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06399Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06399.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06062.htmlNotice - AGTB Fund Manager, LLC and AG Twin Brook Capital Income Fund2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06062Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06062.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06060.htmlNotice - Ares Strategic Income Fund and Ares Capital Management LLC2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06060Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06060.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06059.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06059Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06059.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06058.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06058Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06058.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06057.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06057Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06057.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06056.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Options Fee Schedule2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06056Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06056.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06055.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Its Fee Schedule2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06055Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06055.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06293.htmlRule - Regulation S-T-General Rules and Regulations for Electronic Filings2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06293Rulehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06293.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06287.htmlRule - General Rules and Regulations, Securities Act of 19332023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06287Rulehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06287.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06208.htmlNotice - Sunshine Act Meetings2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06208Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06208.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06054.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Equity 4, Rule 4120 To Establish Common Criteria and Procedures for Halting and Resuming Trading in Equity Securities in the Event of Regulatory or Operational Issues, Reorganize the Text of the Rule, and Make Conforming Changes to Related Rules2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06054Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06054.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06047.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 203A-2(e)2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06047Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06047.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06046.htmlNotice - Submission for OMB Review; Comment Request; Extension: Investment Company Interactive Data2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06046Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06046.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06045.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form S-62023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06045Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06045.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05914.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Exchange Pricing Schedule at Options 7, Section 32023-03-23T00:00:00-07:002023-03-23T00:00:00-07:002023-05914Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-23/pdf/2023-05914.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05912.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule2023-03-23T00:00:00-07:002023-03-23T00:00:00-07:002023-05912Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-23/pdf/2023-05912.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05915.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the Shares of the Breakwave Tanker Shipping ETF2023-03-23T00:00:00-07:002023-03-23T00:00:00-07:002023-05915Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-23/pdf/2023-05915.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/22/2023-05801.htmlNotice - Pender Real Estate Credit Fund and Pender Capital Management, LLC2023-03-22T00:00:00-07:002023-03-22T00:00:00-07:002023-05801Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-22/pdf/2023-05801.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05690.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05690Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05690.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05689.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change by the Options Clearing Corporation Concerning the Amendment of Its Clearing Membership Standards2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05689Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05689.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05688.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Non-Substantively Amend the MIAX Fee Schedule2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05688Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05688.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05687.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 3 To Introduce a Growth Incentive2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05687Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05687.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05686.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O Pertaining to Pre-Trade Risk Controls2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05686Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05686.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05685.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Sponsored Participant Rules 11.3(a) and 11.3(b)(2)2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05685Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05685.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05684.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 7.44-E Relating to the Retail Liquidity Program2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05684Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05684.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05683.htmlNotice - Cloudflare, Inc.2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05683Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05683.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05766.htmlProposed Rule - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05766Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05766.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05447.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge2023-03-20T00:00:00-07:002023-03-20T00:00:00-07:002023-05447Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05447.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05544.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Cboe Data Services, LLC Fee Schedule2023-03-20T00:00:00-07:002023-03-20T00:00:00-07:002023-05544Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05544.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05542.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 Regarding Multiply Listed Options Fees2023-03-20T00:00:00-07:002023-03-20T00:00:00-07:002023-05542Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05542.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05541.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2023-03-20T00:00:00-07:002023-03-20T00:00:00-07:002023-05541Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05541.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05539.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-03-20T00:00:00-07:002023-03-20T00:00:00-07:002023-05539Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05539.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05536.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Sponsored Participant Rules 11.3(a) and 11.3(b)(2)2023-03-20T00:00:00-07:002023-03-20T00:00:00-07:002023-05536Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05536.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05535.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-03-20T00:00:00-07:002023-03-20T00:00:00-07:002023-05535Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05535.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05527.htmlNotice - The RBB Fund, Inc., et al.2023-03-20T00:00:00-07:002023-03-20T00:00:00-07:002023-05527Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05527.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05750.htmlNotice - Sunshine Act Meetings2023-03-20T00:00:00-07:002023-03-20T00:00:00-07:002023-05750Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05750.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05694.htmlNotice - Sunshine Act Meeting2023-03-20T00:00:00-07:002023-03-20T00:00:00-07:002023-05694Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05694.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05449.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees2023-03-17T00:00:00-07:002023-03-17T00:00:00-07:002023-05449Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05449.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05448.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 Fees2023-03-17T00:00:00-07:002023-03-17T00:00:00-07:002023-05448Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05448.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05446.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7110 (Order Entry) and Rule 7130 (Execution and Price/Time Priority) Regarding Availability of Identity of Options Participants2023-03-17T00:00:00-07:002023-03-17T00:00:00-07:002023-05446Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05446.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05445.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Certain Trading Functionality2023-03-17T00:00:00-07:002023-03-17T00:00:00-07:002023-05445Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05445.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05444.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed New Rule 980NYP and Conforming Amendments to Rule 935NY2023-03-17T00:00:00-07:002023-03-17T00:00:00-07:002023-05444Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05444.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05443.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Equities Fee Schedule2023-03-17T00:00:00-07:002023-03-17T00:00:00-07:002023-05443Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05443.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05442.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Establish Listing Standards Related To Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-03-17T00:00:00-07:002023-03-17T00:00:00-07:002023-05442Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05442.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05437.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 12h-1(f)2023-03-17T00:00:00-07:002023-03-17T00:00:00-07:002023-05437Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05437.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05430.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17d-12023-03-17T00:00:00-07:002023-03-17T00:00:00-07:002023-05430Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05430.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05429.htmlNotice - Submission for OMB Review; Comment Request; Extension: Regulation S2023-03-17T00:00:00-07:002023-03-17T00:00:00-07:002023-05429Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05429.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05337.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule2023-03-16T00:00:00-07:002023-03-16T00:00:00-07:002023-05337Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-16/pdf/2023-05337.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05336.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2 Regarding PRISM Pricing2023-03-16T00:00:00-07:002023-03-16T00:00:00-07:002023-05336Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-16/pdf/2023-05336.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05335.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86/87) Examination2023-03-16T00:00:00-07:002023-03-16T00:00:00-07:002023-05335Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-16/pdf/2023-05335.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05334.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2023-03-16T00:00:00-07:002023-03-16T00:00:00-07:002023-05334Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-16/pdf/2023-05334.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05377.htmlNotice - Submission for OMB Review; Comment Request; Extension: Securities Act Rule 4772023-03-16T00:00:00-07:002023-03-16T00:00:00-07:002023-05377Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-16/pdf/2023-05377.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05271.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Liquidity Risk Model Framework2023-03-15T00:00:00-07:002023-03-15T00:00:00-07:002023-05271Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05271.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05270.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.62P-O(i)(2)2023-03-15T00:00:00-07:002023-03-15T00:00:00-07:002023-05270Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05270.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05269.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2622, Limit Up-Limit Down Plan and Trading Halts2023-03-15T00:00:00-07:002023-03-15T00:00:00-07:002023-05269Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05269.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05268.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2023-03-15T00:00:00-07:002023-03-15T00:00:00-07:002023-05268Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05268.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05265.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Rules To Require Companies Listed on the Exchange To Develop, Implement, and Disclose a Written Compensation Recovery Policy To Comply With Rule 10D-1 Under the Exchange Act and Make Other Related Changes2023-03-15T00:00:00-07:002023-03-15T00:00:00-07:002023-05265Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05265.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05298.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-03-15T00:00:00-07:002023-03-15T00:00:00-07:002023-05298Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05298.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05129.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 Schedule To Modify Certain Connectivity and Port Fees2023-03-14T00:00:00-07:002023-03-14T00:00:00-07:002023-05129Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05129.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05128.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 To Modify Certain Connectivity and Port Fees2023-03-14T00:00:00-07:002023-03-14T00:00:00-07:002023-05128Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05128.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05127.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product2023-03-14T00:00:00-07:002023-03-14T00:00:00-07:002023-05127Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05127.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05126.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Certain Connectivity and Port Fees2023-03-14T00:00:00-07:002023-03-14T00:00:00-07:002023-05126Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05126.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05125.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product2023-03-14T00:00:00-07:002023-03-14T00:00:00-07:002023-05125Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05125.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05124.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 Schedule To Modify Certain Connectivity and Port Fees2023-03-14T00:00:00-07:002023-03-14T00:00:00-07:002023-05124Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05124.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05123.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation2023-03-14T00:00:00-07:002023-03-14T00:00:00-07:002023-05123Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05123.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05247.htmlNotice - Sunshine Act Meetings2023-03-14T00:00:00-07:002023-03-14T00:00:00-07:002023-05247Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05247.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05044.htmlNotice - Lord Abbett & Co. LCC, et al.2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05044Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05044.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05043.htmlNotice - BC Partners Lending Corporation, et al.2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05043Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05043.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05042.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Permanent the Operation of Its Program That Allows the Exchange To List P.M.-Settled Third Friday-of-the-Month S&P 500 Stock Index (“S&P 500”) Options (“SPX”) Series2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05042Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05042.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05041.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-0362023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05041Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05041.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05040.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Listing Standards Related to Recovery of Erroneously Awarded Executive Compensation2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05040Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05040.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05039.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation and Bylaws2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05039Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05039.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05038.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article II, Section 2.03(b) of Its Operating Agreement2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05038Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05038.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05037.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Article II, Section 2.03(b) of Its Operating Agreement2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05037Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05037.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05036.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section FIFTH of Its Certificate of Incorporation2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05036Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05036.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05035.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt New Section 303A.14 of the NYSE Listed Company Manual To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05035Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05035.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05034.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change To Adopt New Section 811 of NYSE American Company Guide To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05034Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05034.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05033.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NYSE Arca Rule 5.3-E(p) To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05033Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05033.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05032.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NYSE Chicago Rule 29 To Establish Listing Standards Related To Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05032Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05032.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05138.htmlNotice - Sunshine Act Meetings2023-03-13T00:00:00-07:002023-03-13T00:00:00-07:002023-05138Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05138.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/10/2023-04876.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3132023-03-10T00:00:00-08:002023-03-10T00:00:00-08:002023-04876Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-10/pdf/2023-04876.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/10/2023-04867.htmlNotice - Confluent, Inc.2023-03-10T00:00:00-08:002023-03-10T00:00:00-08:002023-04867Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-10/pdf/2023-04867.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/10/2023-04866.htmlNotice - JPMorgan Private Markets Fund, et al.2023-03-10T00:00:00-08:002023-03-10T00:00:00-08:002023-04866Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-10/pdf/2023-04866.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04797.htmlNotice - 24X National Exchange LLC; Notice of Withdrawal of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 19342023-03-09T00:00:00-08:002023-03-09T00:00:00-08:002023-04797Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-04797.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04787.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-03-09T00:00:00-08:002023-03-09T00:00:00-08:002023-04787Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-04787.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04786.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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)2023-03-09T00:00:00-08:002023-03-09T00:00:00-08:002023-04786Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-04786.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04785.htmlNotice - PGIM Private Real Estate Fund, Inc., et al.2023-03-09T00:00:00-08:002023-03-09T00:00:00-08:002023-04785Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-04785.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/09/2023-03681.htmlProposed Rule - Safeguarding Advisory Client Assets2023-03-09T00:00:00-08:002023-03-09T00:00:00-08:002023-03681Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-03681.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04825.htmlNotice - Submission for OMB Review; Comment Request; Extension: Customer Account Statements (17 CFR 242.607)2023-03-09T00:00:00-08:002023-03-09T00:00:00-08:002023-04825Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-04825.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04682.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the Capital Replenishment Plan2023-03-08T00:00:00-08:002023-03-08T00:00:00-08:002023-04682Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04682.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04689.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of Alger Weatherbie Enduring Growth ETF2023-03-08T00:00:00-08:002023-03-08T00:00:00-08:002023-04689Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04689.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04688.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2023-03-08T00:00:00-08:002023-03-08T00:00:00-08:002023-04688Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04688.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04687.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.76AP-O2023-03-08T00:00:00-08:002023-03-08T00:00:00-08:002023-04687Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04687.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04686.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 Schedule2023-03-08T00:00:00-08:002023-03-08T00:00:00-08:002023-04686Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04686.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04685.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-03-08T00:00:00-08:002023-03-08T00:00:00-08:002023-04685Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04685.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04684.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-03-08T00:00:00-08:002023-03-08T00:00:00-08:002023-04684Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04684.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04683.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 10.3 Regarding Margin Requirements2023-03-08T00:00:00-08:002023-03-08T00:00:00-08:002023-04683Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04683.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04571.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed2023-03-07T00:00:00-08:002023-03-07T00:00:00-08:002023-04571Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04571.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04565.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19 Related to Pre-Trade Risk Controls2023-03-07T00:00:00-08:002023-03-07T00:00:00-08:002023-04565Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04565.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04581.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Operational Arrangements2023-03-07T00:00:00-08:002023-03-07T00:00:00-08:002023-04581Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04581.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04580.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise the Description of the Stressed Period Used To Calculate the Value-at-Risk Charge and Make Other Changes2023-03-07T00:00:00-08:002023-03-07T00:00:00-08:002023-04580Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04580.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04579.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed2023-03-07T00:00:00-08:002023-03-07T00:00:00-08:002023-04579Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04579.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04572.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed2023-03-07T00:00:00-08:002023-03-07T00:00:00-08:002023-04572Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04572.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04629.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 22d-12023-03-07T00:00:00-08:002023-03-07T00:00:00-08:002023-04629Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04629.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04627.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 22e-42023-03-07T00:00:00-08:002023-03-07T00:00:00-08:002023-04627Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04627.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04626.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17f-52023-03-07T00:00:00-08:002023-03-07T00:00:00-08:002023-04626Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04626.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04582.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed2023-03-07T00:00:00-08:002023-03-07T00:00:00-08:002023-04582Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04582.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/06/2023-04525.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 19b-12023-03-06T00:00:00-08:002023-03-06T00:00:00-08:002023-04525Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-06/pdf/2023-04525.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/06/2023-04541.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 8c-12023-03-06T00:00:00-08:002023-03-06T00:00:00-08:002023-04541Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-06/pdf/2023-04541.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/06/2023-04615.htmlNotice - Sunshine Act Meetings2023-03-06T00:00:00-08:002023-03-06T00:00:00-08:002023-04615Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-06/pdf/2023-04615.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/06/2023-03566.htmlRule - Shortening the Securities Transaction Settlement Cycle2023-03-06T00:00:00-08:002023-03-06T00:00:00-08:002023-03566Rulehttps://www.govinfo.gov/content/pkg/FR-2023-03-06/pdf/2023-03566.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/03/2023-04357.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Options 7, Section 4, Multiply Listed Options Fees2023-03-03T00:00:00-08:002023-03-03T00:00:00-08:002023-04357Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-03/pdf/2023-04357.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/03/2023-04447.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17a-222023-03-03T00:00:00-08:002023-03-03T00:00:00-08:002023-04447Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-03/pdf/2023-04447.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/03/2023-04446.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form N-8B-42023-03-03T00:00:00-08:002023-03-03T00:00:00-08:002023-04446Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-03/pdf/2023-04446.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04231.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 11.9, 11.10, and 11.112023-03-02T00:00:00-08:002023-03-02T00:00:00-08:002023-04231Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04231.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04230.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Make Permanent Certain P.M.-Settled Pilots2023-03-02T00:00:00-08:002023-03-02T00:00:00-08:002023-04230Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04230.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04229.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.132023-03-02T00:00:00-08:002023-03-02T00:00:00-08:002023-04229Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04229.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04228.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 11.9, 11.10, and 11.112023-03-02T00:00:00-08:002023-03-02T00:00:00-08:002023-04228Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04228.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04227.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.132023-03-02T00:00:00-08:002023-03-02T00:00:00-08:002023-04227Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04227.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04226.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the JPMorgan Active Small Cap Value ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares)2023-03-02T00:00:00-08:002023-03-02T00:00:00-08:002023-04226Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04226.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04224.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Make Permanent Certain P.M.-Settled Pilots2023-03-02T00:00:00-08:002023-03-02T00:00:00-08:002023-04224Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04224.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04214.htmlNotice - Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402023-03-02T00:00:00-08:002023-03-02T00:00:00-08:002023-04214Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04214.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04124.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2, BX Options Market-Fees and Rebates2023-03-01T00:00:00-08:002023-03-01T00:00:00-08:002023-04124Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-01/pdf/2023-04124.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04134.htmlNotice - Tidal Trust II, et al.2023-03-01T00:00:00-08:002023-03-01T00:00:00-08:002023-04134Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-01/pdf/2023-04134.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04125.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 Amend Rule 4702 To Establish New “Contra Midpoint Only” and “Contra Midpoint Only With Post-Only” Order Types2023-03-01T00:00:00-08:002023-03-01T00:00:00-08:002023-04125Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-01/pdf/2023-04125.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04210.htmlNotice - Proposed Collection; Comment Request; Extension: Form ADV-H2023-03-01T00:00:00-08:002023-03-01T00:00:00-08:002023-04210Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-01/pdf/2023-04210.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04209.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 32a-42023-03-01T00:00:00-08:002023-03-01T00:00:00-08:002023-04209Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-01/pdf/2023-04209.pdf