Securities and Exchange Commission September 23, 2024 – Federal Register Recent Federal Regulation Documents

Results 1 - 8 of 8
Sunshine Act Meetings
Document Number: 2024-21808
Type: Notice
Date: 2024-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/09/23/2024-21808.html
Submission for OMB Review; Comment Request; Extension Rule 17Ad-15
Document Number: 2024-21685
Type: Notice
Date: 2024-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/09/23/2024-21685.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation To Provide List of RSLs to FINRA) for New RSL Question
Document Number: 2024-21623
Type: Notice
Date: 2024-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/09/23/2024-21623.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) To Strengthen the General Prohibition Against Borrowing and Lending Arrangements
Document Number: 2024-21622
Type: Notice
Date: 2024-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/09/23/2024-21622.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.31E
Document Number: 2024-21621
Type: Notice
Date: 2024-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/09/23/2024-21621.html
Proposed Collection; Comment Request; Extension: Rule 17f-1(b)
Document Number: 2024-21656
Type: Notice
Date: 2024-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/09/23/2024-21656.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) To Implement a Historical Consolidated Audit Trail Recovery Assessment
Document Number: 2024-21625
Type: Notice
Date: 2024-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/09/23/2024-21625.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31
Document Number: 2024-21624
Type: Notice
Date: 2024-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/09/23/2024-21624.html
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