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/2023/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-09-14T21:16:45-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/08/31/2023-18777.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule To Delay Implementation of Pending Amendments to Equity 4, Rules 4120, 4702 and 4703 and To Make Further Amendments to Rules 4702 and 47032023-08-31T00:00:00-07:002023-08-31T00:00:00-07:002023-18777Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-31/pdf/2023-18777.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/31/2023-18776.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Advance Notice To Raise Prefunded Liquidity Resources Through the Periodic Issuance and Private Placement of Senior Notes2023-08-31T00:00:00-07:002023-08-31T00:00:00-07:002023-18776Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-31/pdf/2023-18776.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/31/2023-18771.htmlNotice - Deregistration Under Section 8(f) of the Investment Company Act of 19402023-08-31T00:00:00-07:002023-08-31T00:00:00-07:002023-18771Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-31/pdf/2023-18771.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18677.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Alternative Display Facility New Entrant2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18677Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18677.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18676.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18676Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18676.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18675.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules in Connection With the Number of Legs of a Complex Order That May Be Entered on a Single Order Ticket at the Time of Systemization2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18675Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18675.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18673.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18673Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18673.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18672.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Extension of Review Period of Advance Notice Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between the Options Clearing Corporation and the National Securities Clearing Corporation2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18672Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18672.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18670.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18670Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18670.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18723.htmlNotice - Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18723Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18723.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18667.htmlProposed Rule - Safeguarding Advisory Client Assets; Reopening of Comment Period2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18667Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18667.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/29/2023-18552.htmlNotice - Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 19342023-08-29T00:00:00-07:002023-08-29T00:00:00-07:002023-18552Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-29/pdf/2023-18552.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/29/2023-18551.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Membership Policy and Clearing Membership Procedures2023-08-29T00:00:00-07:002023-08-29T00:00:00-07:002023-18551Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-29/pdf/2023-18551.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/29/2023-18550.htmlNotice - Order Granting Application of NYSE National, Inc. for a Limited Exemption From Rule 602 of Regulation NMS for Its Retail Liquidity Program2023-08-29T00:00:00-07:002023-08-29T00:00:00-07:002023-18550Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-29/pdf/2023-18550.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/28/2023-18623.htmlNotice - Sunshine Act Meetings2023-08-28T00:00:00-07:002023-08-28T00:00:00-07:002023-18623Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-28/pdf/2023-18623.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/28/2023-18430.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 928NYP2023-08-28T00:00:00-07:002023-08-28T00:00:00-07:002023-18430Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-28/pdf/2023-18430.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/28/2023-18429.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures2023-08-28T00:00:00-07:002023-08-28T00:00:00-07:002023-18429Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-28/pdf/2023-18429.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18303.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.22 (“Data Products”) To Eliminate the ETF Implied Liquidity Feed2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18303Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18303.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18302.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Modify Certain Connectivity and Port Fees2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18302Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18302.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18301.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 15 (Risk Protections) To Adopt an Active Quote Protection2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18301Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18301.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18300.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18300Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18300.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18299.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18299Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18299.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18298.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 Modify the Package of Complimentary Services Provided to Certain Eligible Switches and Make Other Changes to IM-5900-7 and IM-5900-7A2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18298Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18298.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18297.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18297Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18297.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18308.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Select Customer Options Reduction Program, Livevol Fees, and Routing Fee Codes2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18308Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18308.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18307.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Set Fees for the Purchase of Field-Programmable Gate Array Technology as an Optional Delivery Mechanism for PSX TotalView2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18307Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18307.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18306.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 15 (Simple Order Risk Protections) To Adopt an Active Quote Protection2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18306Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18306.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18305.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Eliminate Reference to the ETF Implied Liquidity Feed and Corresponding Fees2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18305Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18305.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18304.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 15 (Simple Order Risk Protections) To Adopt an Active Quote Protection2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18304Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18304.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/24/2023-18191.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 Fees2023-08-24T00:00:00-07:002023-08-24T00:00:00-07:002023-18191Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-24/pdf/2023-18191.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/24/2023-18189.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.44-E2023-08-24T00:00:00-07:002023-08-24T00:00:00-07:002023-18189Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-24/pdf/2023-18189.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/24/2023-18188.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail2023-08-24T00:00:00-07:002023-08-24T00:00:00-07:002023-18188Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-24/pdf/2023-18188.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/24/2023-18187.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Margin Liquidity Adjustment Charge2023-08-24T00:00:00-07:002023-08-24T00:00:00-07:002023-18187Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-24/pdf/2023-18187.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/23/2023-18190.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.442023-08-23T00:00:00-07:002023-08-23T00:00:00-07:002023-18190Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-23/pdf/2023-18190.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/23/2023-18106.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Portfolio Differential Charge as an Additional Component to the Government Securities Division Required Fund Deposit2023-08-23T00:00:00-07:002023-08-23T00:00:00-07:002023-18106Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-23/pdf/2023-18106.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/23/2023-18105.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2023-08-23T00:00:00-07:002023-08-23T00:00:00-07:002023-18105Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-23/pdf/2023-18105.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/23/2023-18104.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Set Fees for the Purchase of Field-Programmable Gate Array Technology as an Optional Delivery Mechanism for BX Totalview2023-08-23T00:00:00-07:002023-08-23T00:00:00-07:002023-18104Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-23/pdf/2023-18104.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/23/2023-18103.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Global X Bitcoin Trust, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-08-23T00:00:00-07:002023-08-23T00:00:00-07:002023-18103Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-23/pdf/2023-18103.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17983.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17983Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17983.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17982.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17982Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17982.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17981.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17981Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17981.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17980.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17980Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17980.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17979.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Amendment No. 1 and Partial Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Relating to the ICC Default Auction Procedures-Initial Default Auctions2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17979Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17979.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17978.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Options Regulatory Fee2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17978Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17978.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17977.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17977Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17977.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17976.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's All-or-None Order2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17976Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17976.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-18012.htmlNotice - Proposed Collection; Comment Request; Extension: Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-18012Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-18012.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-18011.htmlNotice - Proposed Collection; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-162023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-18011Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-18011.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-18010.htmlNotice - Proposed Collection; Comment Request; Extension: Form 15F2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-18010Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-18010.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/21/2023-18014.htmlNotice - Sunshine Act Meetings2023-08-21T00:00:00-07:002023-08-21T00:00:00-07:002023-18014Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-21/pdf/2023-18014.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/21/2023-17996.htmlNotice - Sunshine Act Meeting2023-08-21T00:00:00-07:002023-08-21T00:00:00-07:002023-17996Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-21/pdf/2023-17996.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/21/2023-17858.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 Charges2023-08-21T00:00:00-07:002023-08-21T00:00:00-07:002023-17858Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-21/pdf/2023-17858.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/21/2023-17857.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Stress Testing Framework2023-08-21T00:00:00-07:002023-08-21T00:00:00-07:002023-17857Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-21/pdf/2023-17857.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/21/2023-17862.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-08-21T00:00:00-07:002023-08-21T00:00:00-07:002023-17862Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-21/pdf/2023-17862.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/21/2023-17860.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the Model Risk Policy2023-08-21T00:00:00-07:002023-08-21T00:00:00-07:002023-17860Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-21/pdf/2023-17860.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/21/2023-17859.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update and Amend IM-7240-1 Regarding Complex Order and Multi-Leg Price Protections2023-08-21T00:00:00-07:002023-08-21T00:00:00-07:002023-17859Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-21/pdf/2023-17859.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/18/2023-17758.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 1182023-08-18T00:00:00-07:002023-08-18T00:00:00-07:002023-17758Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-18/pdf/2023-17758.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/18/2023-17757.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees and Credits at Equity 7, Section 1182023-08-18T00:00:00-07:002023-08-18T00:00:00-07:002023-17757Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-18/pdf/2023-17757.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/18/2023-17756.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-08-18T00:00:00-07:002023-08-18T00:00:00-07:002023-17756Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-18/pdf/2023-17756.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/18/2023-17755.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-08-18T00:00:00-07:002023-08-18T00:00:00-07:002023-17755Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-18/pdf/2023-17755.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/18/2023-17760.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 Regarding Qualified Contingent Cross Rebates2023-08-18T00:00:00-07:002023-08-18T00:00:00-07:002023-17760Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-18/pdf/2023-17760.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/18/2023-17759.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 32023-08-18T00:00:00-07:002023-08-18T00:00:00-07:002023-17759Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-18/pdf/2023-17759.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17607.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE National Schedule of Fees and Rebates To Adopt a Fee for Directed Orders Routed Directly by the Exchange to an Alternative Trading System2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17607Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17607.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17606.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 Charges To Adopt a Fee for Directed Orders Routed Directly by the Exchange to an Alternative Trading System2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17606Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17606.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17605.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 Adopt a Fee for Directed Orders Routed Directly by the Exchange to an Alternative Trading System2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17605Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17605.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17604.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.62P-O2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17604Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17604.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17603.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 3 to, and Order Instituting 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 Shares2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17603Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17603.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17532.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to the Options Regulatory Fee2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17532Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17532.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17531.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, by the Options Clearing Corporation Concerning Amendment of Its Recovery and Orderly Wind-Down Plan2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17531Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17531.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17530.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Options Regulatory Fee2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17530Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17530.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17529.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17529Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17529.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17533.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to the Options Regulatory Fee2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17533Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17533.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17609.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Adopt a Fee for Directed Orders Routed Directly by the Exchange to an Alternative Trading System2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17609Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17609.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/16/2023-17608.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List To Adopt a Fee for Directed Orders Routed Directly by the Exchange to an Alternative Trading System2023-08-16T00:00:00-07:002023-08-16T00:00:00-07:002023-17608Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-16/pdf/2023-17608.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/15/2023-17445.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation's Capital Management Policy and Cash and Investment Management Policy2023-08-15T00:00:00-07:002023-08-15T00:00:00-07:002023-17445Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-15/pdf/2023-17445.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/15/2023-17444.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accelerate the Listing of Options on Certain IPOs2023-08-15T00:00:00-07:002023-08-15T00:00:00-07:002023-17444Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-15/pdf/2023-17444.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/15/2023-17443.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Stockholders' Agreement by and Among Nasdaq, Inc., Adenza Parent, LP, and the Other Parties Thereto2023-08-15T00:00:00-07:002023-08-15T00:00:00-07:002023-17443Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-15/pdf/2023-17443.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/15/2023-17442.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Stockholders' Agreement By and Among Nasdaq, Inc., Adenza Parent, LP, and the Other Parties Thereto2023-08-15T00:00:00-07:002023-08-15T00:00:00-07:002023-17442Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-15/pdf/2023-17442.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/15/2023-17497.htmlNotice - Apollo Global Management, Inc.2023-08-15T00:00:00-07:002023-08-15T00:00:00-07:002023-17497Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-15/pdf/2023-17497.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17479.htmlNotice - Sunshine Act Meetings2023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17479Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17479.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17308.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stockholders' Agreement by and Among Nasdaq, Inc., Adenza Parent, LP, and the Other Parties Thereto2023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17308Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17308.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17307.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stockholders' Agreement by and Among Nasdaq, Inc., Adenza Parent, LP, and the Other Parties Thereto2023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17307Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17307.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17306.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stockholders' Agreement by and Among Nasdaq, Inc., Adenza Parent, LP, and the Other Parties Thereto2023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17306Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17306.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17305.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 2614, 2617, and 2626 of the MIAX Pearl Equities Rulebook2023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17305Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17305.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17304.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Options Exchange Fee Schedule To Modify the Excessive Quoting Fee2023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17304Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17304.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17303.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stockholders' Agreement by and Among Nasdaq, Inc., Adenza Parent, LP, and the Other Parties Thereto2023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17303Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17303.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17302.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge2023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17302Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17302.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17301.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stockholders' Agreement by and Among Nasdaq, Inc., Adenza Parent, LP, and the Other Parties Thereto2023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17301Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17301.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17300.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stockholders' Agreement by and Among Nasdaq, Inc., Adenza Parent, LP, and the Other Parties Thereto2023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17300Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17300.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17320.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 15c1-72023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17320Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17320.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/14/2023-17319.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 3a-82023-08-14T00:00:00-07:002023-08-14T00:00:00-07:002023-17319Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-14/pdf/2023-17319.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/11/2023-17212.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5020 (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs2023-08-11T00:00:00-07:002023-08-11T00:00:00-07:002023-17212Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-11/pdf/2023-17212.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/11/2023-17211.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments Part O of Its Delivery Procedures2023-08-11T00:00:00-07:002023-08-11T00:00:00-07:002023-17211Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-11/pdf/2023-17211.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/11/2023-17210.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, to the ICE Clear Europe Clearing Rules Relating to Non-Default Losses2023-08-11T00:00:00-07:002023-08-11T00:00:00-07:002023-17210Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-11/pdf/2023-17210.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/11/2023-17209.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2023-08-11T00:00:00-07:002023-08-11T00:00:00-07:002023-17209Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-11/pdf/2023-17209.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/11/2023-17208.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rules Related to Complex Orders With Respect to a System Migration2023-08-11T00:00:00-07:002023-08-11T00:00:00-07:002023-17208Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-11/pdf/2023-17208.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/10/2023-17104.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce ISE's Options Regulatory Fee2023-08-10T00:00:00-07:002023-08-10T00:00:00-07:002023-17104Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-10/pdf/2023-17104.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/10/2023-17103.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce GEMX's Options Regulatory Fee2023-08-10T00:00:00-07:002023-08-10T00:00:00-07:002023-17103Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-10/pdf/2023-17103.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/10/2023-17102.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan2023-08-10T00:00:00-07:002023-08-10T00:00:00-07:002023-17102Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-10/pdf/2023-17102.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/10/2023-17109.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 Schedule2023-08-10T00:00:00-07:002023-08-10T00:00:00-07:002023-17109Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-10/pdf/2023-17109.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/10/2023-17108.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protection Processes for Simple Orders and Make Other Clarifying Changes2023-08-10T00:00:00-07:002023-08-10T00:00:00-07:002023-17108Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-10/pdf/2023-17108.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/10/2023-17107.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protection Processes for Simple Orders and Make Other Clarifying Changes2023-08-10T00:00:00-07:002023-08-10T00:00:00-07:002023-17107Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-10/pdf/2023-17107.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/10/2023-17106.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protection Processes for Simple Orders and Make Other Clarifying Changes2023-08-10T00:00:00-07:002023-08-10T00:00:00-07:002023-17106Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-10/pdf/2023-17106.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/10/2023-17105.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, To Implement a Low Priced Stock Strike Price Interval Program2023-08-10T00:00:00-07:002023-08-10T00:00:00-07:002023-17105Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-10/pdf/2023-17105.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/10/2023-17127.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to Advance Notice Related to Certain Enhancements to the Gap Risk Measure and the VaR Charge2023-08-10T00:00:00-07:002023-08-10T00:00:00-07:002023-17127Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-10/pdf/2023-17127.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/09/2023-16377.htmlProposed Rule - Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers2023-08-09T00:00:00-07:002023-08-09T00:00:00-07:002023-16377Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-08-09/pdf/2023-16377.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/09/2023-16992.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17a-102023-08-09T00:00:00-07:002023-08-09T00:00:00-07:002023-16992Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-09/pdf/2023-16992.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/09/2023-16991.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 19b-7 and Form 19b-72023-08-09T00:00:00-07:002023-08-09T00:00:00-07:002023-16991Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-09/pdf/2023-16991.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/09/2023-16988.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product2023-08-09T00:00:00-07:002023-08-09T00:00:00-07:002023-16988Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-09/pdf/2023-16988.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/09/2023-16987.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 02023-08-09T00:00:00-07:002023-08-09T00:00:00-07:002023-16987Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-09/pdf/2023-16987.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/09/2023-16983.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product2023-08-09T00:00:00-07:002023-08-09T00:00:00-07:002023-16983Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-09/pdf/2023-16983.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/09/2023-17033.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 10b-172023-08-09T00:00:00-07:002023-08-09T00:00:00-07:002023-17033Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-09/pdf/2023-17033.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/08/2023-16886.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving 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)2023-08-08T00:00:00-07:002023-08-08T00:00:00-07:002023-16886Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-08/pdf/2023-16886.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/08/2023-16885.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Certain Flexible Exchange Equity Options To Be Cash Settled2023-08-08T00:00:00-07:002023-08-08T00:00:00-07:002023-16885Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-08/pdf/2023-16885.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/08/2023-16882.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2023-08-08T00:00:00-07:002023-08-08T00:00:00-07:002023-16882Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-08/pdf/2023-16882.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/08/2023-16881.htmlNotice - Self-Regulatory Organizations; MIAX International Securities Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend MIAX Rule 307, Position Limits2023-08-08T00:00:00-07:002023-08-08T00:00:00-07:002023-16881Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-08/pdf/2023-16881.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/08/2023-16880.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Short Term Option Series Program in Supplementary Material .03 of Options 4, Section 52023-08-08T00:00:00-07:002023-08-08T00:00:00-07:002023-16880Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-08/pdf/2023-16880.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/08/2023-16878.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)2023-08-08T00:00:00-07:002023-08-08T00:00:00-07:002023-16878Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-08/pdf/2023-16878.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/08/2023-16861.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17a-112023-08-08T00:00:00-07:002023-08-08T00:00:00-07:002023-16861Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-08/pdf/2023-16861.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/07/2023-16712.htmlRule - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Representation Regarding the VanEck Merk Gold Trust2023-08-07T00:00:00-07:002023-08-07T00:00:00-07:002023-16712Rulehttps://www.govinfo.gov/content/pkg/FR-2023-08-07/pdf/2023-16712.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/07/2023-16710.htmlRule - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Fixed Midpoint Peg Order Type2023-08-07T00:00:00-07:002023-08-07T00:00:00-07:002023-16710Rulehttps://www.govinfo.gov/content/pkg/FR-2023-08-07/pdf/2023-16710.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/07/2023-16719.htmlRule - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the Collateral and Haircut Procedures2023-08-07T00:00:00-07:002023-08-07T00:00:00-07:002023-16719Rulehttps://www.govinfo.gov/content/pkg/FR-2023-08-07/pdf/2023-16719.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/07/2023-16717.htmlRule - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.40P-O2023-08-07T00:00:00-07:002023-08-07T00:00:00-07:002023-16717Rulehttps://www.govinfo.gov/content/pkg/FR-2023-08-07/pdf/2023-16717.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/04/2023-16194.htmlRule - Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure2023-08-04T00:00:00-07:002023-08-04T00:00:00-07:002023-16194Rulehttps://www.govinfo.gov/content/pkg/FR-2023-08-04/pdf/2023-16194.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/04/2023-16623.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 1015, 9261, 9341, 9524, 9830 and Funding Portal Rule 900 (Code of Procedure) To Permit Hearings Under Those Rules To Be Conducted by Video Conference2023-08-04T00:00:00-07:002023-08-04T00:00:00-07:002023-16623Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-04/pdf/2023-16623.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/04/2023-16622.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Manner in Which the Exchange Will Designate Certain Options Members To Participate in its Mandatory Disaster Recovery Testing for Calendar Year 20232023-08-04T00:00:00-07:002023-08-04T00:00:00-07:002023-16622Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-04/pdf/2023-16622.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/04/2023-16621.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-08-04T00:00:00-07:002023-08-04T00:00:00-07:002023-16621Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-04/pdf/2023-16621.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/04/2023-16867.htmlNotice - Sunshine Act Meetings2023-08-04T00:00:00-07:002023-08-04T00:00:00-07:002023-16867Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-04/pdf/2023-16867.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/04/2023-16676.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form SF-12023-08-04T00:00:00-07:002023-08-04T00:00:00-07:002023-16676Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-04/pdf/2023-16676.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/04/2023-16675.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form SF-32023-08-04T00:00:00-07:002023-08-04T00:00:00-07:002023-16675Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-04/pdf/2023-16675.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16546.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17Ab2-1 and Form CA-12023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16546Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16546.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16507.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Allow Match Trade Prevention Between Users That Access the Exchange With Both a Direct Connection and Sponsored Access2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16507Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16507.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16506.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 Allow EdgeRisk Self Trade Protection Between Users That Access the Exchange With Both a Direct Connection and Sponsored Access2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16506Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16506.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16505.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 Allow EdgeRisk Self Trade Protection Between Users That Access the Exchange With Both a Direct Connection and Sponsored Access2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16505Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16505.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16504.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Allow Match Trade Prevention Between Users That Access the Exchange With Both a Direct Connection and Sponsored Access2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16504Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16504.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16503.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Additional Means of Access to the Member Firm Portal Through an Application Programming Interface2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16503Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16503.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16502.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Additional Means of Access to the Member Firm Portal Through an Application Programming Interface2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16502Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16502.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16501.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Additional Means of Access to the Member Firm Portal Through an Application Programming Interface2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16501Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16501.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16500.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Securities Listed on the Exchange, Which Are Set Forth in BZX Rule 14.13, Company Listing Fees2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16500Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16500.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16499.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Listing Standards Related To Notification and Disclosure of Reverse Stock Splits2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16499Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16499.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16542.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 206(4)-62023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16542Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16542.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16491.htmlNotice - Deregistration Under Section 8(f) of the Investment Company Act of 19402023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16491Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16491.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-15124.htmlRule - Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-15124Rulehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-15124.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/03/2023-16518.htmlNotice - Order Granting a Temporary Conditional Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Certain Activities on the Floor of National Securities Exchanges and Certain Activities by Industry Members Off Exchange Floors, as Required by Section 6.4(d) of the National Market System Plan Governing the Consolidated Audit Trail2023-08-03T00:00:00-07:002023-08-03T00:00:00-07:002023-16518Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-03/pdf/2023-16518.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/02/2023-16393.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 915 (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs2023-08-02T00:00:00-07:002023-08-02T00:00:00-07:002023-16393Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-02/pdf/2023-16393.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/02/2023-16392.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Modify the OPRA Fee Schedule Regarding Caps on Certain Port Fees2023-08-02T00:00:00-07:002023-08-02T00:00:00-07:002023-16392Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-02/pdf/2023-16392.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/02/2023-16391.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update its Fees Schedule2023-08-02T00:00:00-07:002023-08-02T00:00:00-07:002023-16391Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-02/pdf/2023-16391.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/02/2023-16390.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor, Non-Substantive Edits to Rules 100, 515A, and 5212023-08-02T00:00:00-07:002023-08-02T00:00:00-07:002023-16390Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-02/pdf/2023-16390.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/02/2023-16389.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Triparty Collateral Mechanism2023-08-02T00:00:00-07:002023-08-02T00:00:00-07:002023-16389Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-02/pdf/2023-16389.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/02/2023-16388.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Make the Nonstandard Expirations Pilot Program Permanent2023-08-02T00:00:00-07:002023-08-02T00:00:00-07:002023-16388Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-02/pdf/2023-16388.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/02/2023-16387.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Make Permanent the Operation of its Pilot Program That Allows the Exchange to List P.M.-Settled Third Friday-of-the-Month Mini-SPX Index Options and Mini-Russell 2000 Index Options Series2023-08-02T00:00:00-07:002023-08-02T00:00:00-07:002023-16387Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-02/pdf/2023-16387.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/02/2023-16403.htmlNotice - Polen Credit Opportunities Fund and Polen Capital Credit, LLC2023-08-02T00:00:00-07:002023-08-02T00:00:00-07:002023-16403Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-02/pdf/2023-16403.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/02/2023-16397.htmlNotice - Alpha Alternative Assets Fund and Alpha Growth Management LLC2023-08-02T00:00:00-07:002023-08-02T00:00:00-07:002023-16397Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-02/pdf/2023-16397.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16247.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16247Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16247.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16246.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule2023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16246Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16246.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16245.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16245Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16245.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16244.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule2023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16244Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16244.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16242.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16242Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16242.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16241.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule2023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16241Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16241.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16240.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule2023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16240Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16240.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16287.htmlProposed Rule - Exemption for Certain Investment Advisers Operating Through the Internet2023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16287Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16287.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16267.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Setting Aside Action by Delegated Authority and Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Requirements for Covered Agency Transactions Under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-0362023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16267Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16267.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16239.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule2023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16239Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16239.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16226.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17a-52023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16226Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16226.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/01/2023-16311.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rules 15Ba1-1 through 15Ba1-82023-08-01T00:00:00-07:002023-08-01T00:00:00-07:002023-16311Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16311.pdf