Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Exchange Rule 402, Criteria for Underlying Securities, To List and Trade Options on Commodity-Based Trust Shares
Document Number: 2025-07498
Type: Notice
Date: 2025-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/05/01/2025-07498.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 915 To Permit Options on Commodity-Based Trust Shares
Document Number: 2025-07497
Type: Notice
Date: 2025-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/05/01/2025-07497.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Canary HBAR ETF Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)
Document Number: 2025-07403
Type: Notice
Date: 2025-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/30/2025-07403.html
Proposed Collection; Comment Request; Extension: Form Custody
Document Number: 2025-07401
Type: Notice
Date: 2025-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/30/2025-07401.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Grayscale Polkadot Trust (DOT) Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)
Document Number: 2025-07406
Type: Notice
Date: 2025-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/30/2025-07406.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2613 Usage of Data Feeds To Reflect a Name Change
Document Number: 2025-07405
Type: Notice
Date: 2025-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/30/2025-07405.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin and Ethereum ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Document Number: 2025-07404
Type: Notice
Date: 2025-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/30/2025-07404.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the COtwo Advisors Physical European Carbon Allowance Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Document Number: 2025-07316
Type: Notice
Date: 2025-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/29/2025-07316.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fidelity Blue Chip Growth ETF, Fidelity Blue Chip Value ETF, Fidelity Magellan ETF, Fidelity Real Estate Investment ETF, and the Fidelity Fundamental Small-Mid Cap ETF, Shares of Which Are Listed and Traded on the Exchange Pursuant to BZX Rule 14.11(m)
Document Number: 2025-07315
Type: Notice
Date: 2025-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/29/2025-07315.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Recovery and Wind-Down Plan To Satisfy the Requirements of Exchange Act Rule 17ad-26
Document Number: 2025-07314
Type: Notice
Date: 2025-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/29/2025-07314.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2625 To Introduce a New Data Product Known as the U.S. Equity Short Volume & Trades Report
Document Number: 2025-07313
Type: Notice
Date: 2025-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/29/2025-07313.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Shares of the VanEck Avalanche ETF Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)
Document Number: 2025-07312
Type: Notice
Date: 2025-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/29/2025-07312.html
Sunshine Act Meetings
Document Number: 2025-07415
Type: Notice
Date: 2025-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/29/2025-07415.html
Ardian Access LLC and Ardian US LLC
Document Number: 2025-07320
Type: Notice
Date: 2025-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/29/2025-07320.html
Self-Regulatory Organization; NYSE National, Inc.; Order Approving a Proposed Rule Change To Amend NYSE National Rules 7.37 and 7.44
Document Number: 2025-07222
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07222.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Recovery and Wind-Down Plan To Satisfy the Requirements of Exchange Act Rule 17ad-26
Document Number: 2025-07221
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07221.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Recovery and Wind-Down Plan To Satisfy the Requirements of Exchange Act Rule 17ad-26
Document Number: 2025-07220
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07220.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Adopt a Volatility Event Charge
Document Number: 2025-07219
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07219.html
Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Collateral Concentration Limits
Document Number: 2025-07218
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07218.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Conforming Rules 7.37 and 17
Document Number: 2025-07217
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07217.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change for Conforming Rules 7.37E and 7.45E
Document Number: 2025-07216
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07216.html
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Virtual Control Circuit Service in the Connectivity Fee Schedule
Document Number: 2025-07215
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07215.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Virtual Control Circuit Service in the Connectivity Fee Schedule
Document Number: 2025-07214
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07214.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Virtual Control Circuit Service in the Connectivity Fee Schedule
Document Number: 2025-07213
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07213.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Virtual Control Circuit Service in the Connectivity Fee Schedule
Document Number: 2025-07212
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07212.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Connectivity Fee Schedule
Document Number: 2025-07211
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07211.html
Jefferies Finance LLC, et al.
Document Number: 2025-07196
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07196.html
PGIM, Inc., et al.
Document Number: 2025-07225
Type: Notice
Date: 2025-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/28/2025-07225.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Canary SUI ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Document Number: 2025-07106
Type: Notice
Date: 2025-04-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/25/2025-07106.html
Self-Regulatory Organizations; Investors Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules To Govern the Trading of Options on the Exchange for a New Facility Called IEX Options
Document Number: 2025-07105
Type: Notice
Date: 2025-04-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/25/2025-07105.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Collection of Intraday Margin
Document Number: 2025-07104
Type: Notice
Date: 2025-04-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/25/2025-07104.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Collection of Intraday Margin
Document Number: 2025-07103
Type: Notice
Date: 2025-04-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/25/2025-07103.html
[Investment Company Act Release No. 35544; File No. 812-15741] HEADKKR FS Income Trust, et al.
Document Number: 2025-07107
Type: Notice
Date: 2025-04-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/25/2025-07107.html
Connetic Venture Capital Access Fund and Connetic RIA, LLC
Document Number: 2025-07083
Type: Notice
Date: 2025-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/24/2025-07083.html
Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) and Security-Based Swap Data Repository Rules; Extension
Document Number: 2025-06920
Type: Rule
Date: 2025-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is extending a statement regarding compliance with rules for security-based swap data repositories and Regulation SBSR.
https://regulations.justia.com/regulations/fedreg/2025/04/24/2025-06920.html
CME Securities Clearing, Inc.; Order Instituting Proceedings To Determine Whether To Grant or Deny an Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Document Number: 2025-07033
Type: Notice
Date: 2025-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/24/2025-07033.html
Proposed Collection; Comment Request; Extension: Rule 237
Document Number: 2025-07048
Type: Notice
Date: 2025-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/24/2025-07048.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Waive the Combined Cap on Floor Broker Credits Paid for QCC Trades and Rebates Paid Through the Manual Billable Rebate Program for the Month of April 2025
Document Number: 2025-07047
Type: Notice
Date: 2025-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/24/2025-07047.html
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 208, MIAX Sapphire Billing System
Document Number: 2025-06907
Type: Notice
Date: 2025-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/23/2025-06907.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule Regarding Certain Fees and Rebates Applicable to Volume Executed in the CUBE Auctions
Document Number: 2025-06916
Type: Notice
Date: 2025-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/23/2025-06916.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 208, MIAX Billing System
Document Number: 2025-06915
Type: Notice
Date: 2025-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/23/2025-06915.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Options Regulatory Fee Until December 31, 2025
Document Number: 2025-06914
Type: Notice
Date: 2025-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/23/2025-06914.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Pearl Options Rule 208, MIAX Pearl Billing System, and MIAX Pearl Equities Rule 3002, Collection of Exchange Fees and Other Claims and Billing Policy
Document Number: 2025-06913
Type: Notice
Date: 2025-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/23/2025-06913.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 208, MIAX Emerald Billing System
Document Number: 2025-06912
Type: Notice
Date: 2025-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/23/2025-06912.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Nasdaq Rule 5712 To Provide for the Listing and Trading of Commodity- and Digital Asset-Based Investment Interests and To List and Trade Shares of the Hashdex Nasdaq Crypto Index US ETF Under Proposed Nasdaq Rule 5712
Document Number: 2025-06911
Type: Notice
Date: 2025-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/23/2025-06911.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of New Section 108.00 in the NYSE Listed Company Manual
Document Number: 2025-06910
Type: Notice
Date: 2025-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/23/2025-06910.html
MidCap Financial Investment Corporation, et al.
Document Number: 2025-06843
Type: Notice
Date: 2025-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/22/2025-06843.html
New Mountain Capital, L.L.C., et al.
Document Number: 2025-06842
Type: Notice
Date: 2025-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/22/2025-06842.html
HPS Corporate Lending Fund, et al.
Document Number: 2025-06889
Type: Notice
Date: 2025-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/22/2025-06889.html
Aether Infrastructure & Natural Resources Fund, et al.
Document Number: 2025-06888
Type: Notice
Date: 2025-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/22/2025-06888.html
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