<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2023/10/03?registers=between Thu, 26 Dec 2024 08:46:26 -0800 Thu, 26 Dec 2024 08:46:26 -0800 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2023/10/03?registers=between Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21806.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21806.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21806 Rule https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21806.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Hashdex Nasdaq Ethereum ETF Under Nasdaq Rule 5711(i) https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21788.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21788.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21788 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21788.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Franklin Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21787.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21787.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21787 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21787.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing Schedule at Options 7, Section 4 Regarding Marketing Fees https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21786.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21786.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21786 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21786.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) Under FINRA Rule 3110 (Supervision) To Include Calendar Year 2024 https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21785.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21785.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21785 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21785.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21784.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21784.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21784 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21784.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Margin Liquidity Adjustment Charge https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21783.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21783.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21783 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21783.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Settlement Values for FLEX Index Options https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21782.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21782.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21782 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21782.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to Its Operational Risk and Resilience Policy https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21780.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21780.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21780 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21780.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21796.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21796.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21796 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21796.pdf Notice - 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 Sale of Open-Close Volume Data https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21795.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21795.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21795 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21795.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the Model Risk Policy https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21794.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21794.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21794 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21794.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules To Govern FLEX Equity Options and a New Order Type To Trade FLEX Equity Options on the BOX Trading Floor https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21793.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21793.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21793 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21793.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Grayscale Ethereum Futures Trust (ETH) ETF Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts) https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21792.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21792.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21792 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21792.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the VanEck Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21791.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21791.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21791 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21791.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21790.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21790.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21790 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21790.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Regarding the Hashdex Bitcoin Futures ETF https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21789.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21789.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21789 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21789.pdf