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/2024/02/13?limit=200®isters=between&mode=atom2024-12-29T11:42:07-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-02951.htmlNotice - Proposed Collection; Comment Request; Extension: Market Data Infrastructure2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-02951Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-02951.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-02950.htmlNotice - Proposed Collection; Comment Request; Extension: Form C2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-02950Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-02950.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-02860.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-02860Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-02860.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-02859.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-02859Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-02859.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-02858.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-02858Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-02858.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-02856.htmlNotice - Proposed Collection; Comment Request; Extension: Regulation D (Form D)2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-02856Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-02856.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-02862.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend MSRB Rule G-12 To Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-02862Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-02862.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-02861.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Fees for Top of PHLX Options (TOPO), PHLX Orders, and TOPO Plus Orders2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-02861Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-02861.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-02906.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 0-52024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-02906Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-02906.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-02936.htmlNotice - BIP Ventures Evergreen BDC, et al.2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-02936Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-02936.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01179.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01179Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01179.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01178.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01178Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01178.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01177.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01177Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01177.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01176.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01176Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01176.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01175.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01175Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01175.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01174.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01174Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01174.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01173.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Establish Fees Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01173Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01173.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01172.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Proposed Rule Change To Establish Fees Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01172Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01172.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01171.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX, LLC; Notice of Filing of Proposed Rule Change To Establish Fees Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01171Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01171.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01194.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 6897(a) and Supplementary Material To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01194Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01194.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01193.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01193Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01193.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01192.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of a Proposed Rule Change To Establish Fees Related To Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01192Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01192.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01191.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01191Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01191.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01190.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01190Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01190.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01184.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC ; Notice of Filing of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01184Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01184.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01183.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01183Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01183.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01182.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01182Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01182.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01181.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01181Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01181.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01180.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01180Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01180.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01251.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) To Implement a Historical Consolidated Audit Trail Recovery Assessment; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01251Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01251.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01203.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01203Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01203.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01201.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the NYSE Price List To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01201Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01201.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01200.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01200Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01200.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01199.htmlNotice - Self-Regulatory Organizations; MIAX Emerald LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01199Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01199.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01197.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01197Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01197.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01196.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01196Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01196.pdfhttps://regulations.justia.com/regulations/fedreg/2024/02/13/2024-01195.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2024-02-13T00:00:00-08:002024-02-13T00:00:00-08:002024-01195Noticehttps://www.govinfo.gov/content/pkg/FR-2024-02-13/pdf/2024-01195.pdf