<![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/2023/11/02?registers=between Sat, 21 Dec 2024 08:48:13 -0800 Sat, 21 Dec 2024 08:48:13 -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/2023/11/02?registers=between Notice - Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24131.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24131.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24131 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24131.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24177.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24177.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24177 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24177.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24176.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24176.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24176 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24176.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24175.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24175.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24175 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24175.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24174.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24174.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24174 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24174.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24173.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24173.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24173 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24173.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24172.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24172.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24172 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24172.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24171.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24171.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24171 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24171.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24170.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24170.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24170 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24170.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24180.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24180.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24180 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24180.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24179.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24179.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24179 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24179.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24178.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24178.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24178 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24178.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 2614(a)(1)(ix) and 2618(b)(1) To Amend Certain Risk Controls When Trading Equity Securities on MIAX Pearl Equities https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24270.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24270.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24270 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24270.pdf Notice - Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) Under the Securities Exchange Act of 1934, From Rule 15c2-11 for Fixed-Income Securities Sold in Compliance With the Safe Harbor of Rule 144A Under the Securities Act of 1933 https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24245.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24245.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24245 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24245.pdf