Securities and Exchange Commission July 2024 – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE Aggregated Lite Data Feed
Document Number: 2024-16807
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16807.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Establish Fees for the NYSE American Aggregated Lite Data Feed
Document Number: 2024-16806
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16806.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Sections 5 and 10 and Options 3, Section 15
Document Number: 2024-16805
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16805.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 and Rule 5.2-E(j)(6)
Document Number: 2024-16804
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16804.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services
Document Number: 2024-16803
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16803.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services
Document Number: 2024-16802
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16802.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Partial Amendment No. 1 to Proposed Rule Change To Amend FINRA Rule 6730 To Reduce the 15-Minute TRACE Reporting Timeframe to One Minute
Document Number: 2024-16801
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16801.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services
Document Number: 2024-16800
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16800.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services
Document Number: 2024-16799
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16799.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services
Document Number: 2024-16798
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16798.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services
Document Number: 2024-16797
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16797.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to Proposed Rule Change Consisting of Amendments to MSRB Rule G-14 To Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB
Document Number: 2024-16796
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16796.html
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Proprietary Market Data Products
Document Number: 2024-16795
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16795.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Document Number: 2024-16794
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16794.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Proprietary Market Data Fee Schedule To Establish an Access Fee for the NYSE Pillar Depth Data Feed
Document Number: 2024-16808
Type: Notice
Date: 2024-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/31/2024-16808.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Regarding Its Backtesting Framework and To Establish a Resource Backtesting Margin Charge
Document Number: 2024-16661
Type: Notice
Date: 2024-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/30/2024-16661.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Section 802.01D of the NYSE Listed Company Manual Concerning the Suspension and Delisting of a Listed Company That Has Changed Its Primary Business Focus
Document Number: 2024-16659
Type: Notice
Date: 2024-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/30/2024-16659.html
Submission for OMB Review; Comment Request; Extension: Rule 24b-1
Document Number: 2024-16668
Type: Notice
Date: 2024-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/30/2024-16668.html
Submission for OMB Review; Comment Request; Extension: Interagency Statement on Sound Practices
Document Number: 2024-16666
Type: Notice
Date: 2024-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/30/2024-16666.html
Axonic Alternative Income Fund, et al.
Document Number: 2024-16748
Type: Notice
Date: 2024-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/30/2024-16748.html
Overland Advantage, et al.
Document Number: 2024-16747
Type: Notice
Date: 2024-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/30/2024-16747.html
Sunshine Act Meetings
Document Number: 2024-16733
Type: Notice
Date: 2024-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/29/2024-16733.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish New Logical Ports in Connection With a New Connectivity Offering on Its Equity Options Platform
Document Number: 2024-16552
Type: Notice
Date: 2024-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/29/2024-16552.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Corporate Actions Distributions Service Guide
Document Number: 2024-16551
Type: Notice
Date: 2024-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/29/2024-16551.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for Nasdaq 100 Index Options in Options 7, Section 5.A
Document Number: 2024-16550
Type: Notice
Date: 2024-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/29/2024-16550.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for Nasdaq 100 Index Options in Options 7, Section 5.A
Document Number: 2024-16549
Type: Notice
Date: 2024-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/29/2024-16549.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for Nasdaq 100 Index Options in Options 7, Section 3
Document Number: 2024-16548
Type: Notice
Date: 2024-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/29/2024-16548.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Options 7
Document Number: 2024-16547
Type: Notice
Date: 2024-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/29/2024-16547.html
Proposed Collection; Comment Request; Extension: Rule 206(4)-7
Document Number: 2024-16567
Type: Notice
Date: 2024-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/29/2024-16567.html
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Make Certain Clarifying Changes
Document Number: 2024-16553
Type: Notice
Date: 2024-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/29/2024-16553.html
Submission for OMB Review; Comment Request; Extension: Rule 3a71-6
Document Number: 2024-16610
Type: Notice
Date: 2024-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/29/2024-16610.html
Submission for OMB Review; Comment Request; Extension: Rule 15g-3
Document Number: 2024-16416
Type: Notice
Date: 2024-07-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/26/2024-16416.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend FINRA Rule 2210 (Communications with the Public) To Permit Projections of Performance in Institutional Communications and Specified Communications to Qualified Purchasers and Knowledgeable Employees
Document Number: 2024-16304
Type: Notice
Date: 2024-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/25/2024-16304.html
Self-Regulatory Organizations; BOX Exchange LLC; Cboe Exchange, Inc.; MIAX International Securities Exchange LLC; MIAX PEARL LLC; Nasdaq ISE, LLC; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Permit the Listing and Trading of Options on Trusts That Hold Bitcoin
Document Number: 2024-16303
Type: Notice
Date: 2024-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/25/2024-16303.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to Transaction Fee Tiers
Document Number: 2024-16302
Type: Notice
Date: 2024-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/25/2024-16302.html
Self-Regulatory Organizations; NYSE Arca, 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 Amend Exchange Rule 5.3-O To Permit the Listing and Trading of Options on Commodity-Based Trust Shares
Document Number: 2024-16301
Type: Notice
Date: 2024-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/25/2024-16301.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand Its Co-Location Services
Document Number: 2024-16300
Type: Notice
Date: 2024-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/25/2024-16300.html
[Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand its Co- Location Services
Document Number: 2024-16299
Type: Notice
Date: 2024-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/25/2024-16299.html
Andalusian Credit Company, LLC, et al.
Document Number: 2024-16276
Type: Notice
Date: 2024-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/25/2024-16276.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand Its Co-Location Services
Document Number: 2024-16305
Type: Notice
Date: 2024-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/25/2024-16305.html
Proposed Collection; Comment Request; Extension: Rule 17Ad-13
Document Number: 2024-16230
Type: Notice
Date: 2024-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/24/2024-16230.html
Proposed Collection; Comment Request; Extension: Rule 17a-12
Document Number: 2024-16226
Type: Notice
Date: 2024-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/24/2024-16226.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) To Reduce the 15-Minute TRACE Reporting Timeframe to One Minute
Document Number: 2024-16224
Type: Notice
Date: 2024-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/24/2024-16224.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand Its Co-Location Services
Document Number: 2024-16223
Type: Notice
Date: 2024-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/24/2024-16223.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fees the Exchange Charges Companies Seeking a Review of a Delisting Determination, Public Reprimand Letter, or Written Denial of an Initial Listing Application
Document Number: 2024-16222
Type: Notice
Date: 2024-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/24/2024-16222.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend MSRB Rule G-14 To Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB
Document Number: 2024-16221
Type: Notice
Date: 2024-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/24/2024-16221.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand Its Co-Location Services
Document Number: 2024-16220
Type: Notice
Date: 2024-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/24/2024-16220.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Strike Interval for Options on SPDR® Gold Shares
Document Number: 2024-16219
Type: Notice
Date: 2024-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/24/2024-16219.html
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 by The Options Clearing Corporation Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility
Document Number: 2024-16218
Type: Notice
Date: 2024-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/24/2024-16218.html
Proposed Collection; Comment Request; Extension: Regulation R, Rule 701
Document Number: 2024-16234
Type: Notice
Date: 2024-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/07/24/2024-16234.html
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