<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2022/03?registers=between&min-day=1&max-day=31 Mon, 06 May 2024 02:40:28 -0700 Mon, 06 May 2024 02:40:28 -0700 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/securities-and-exchange-commission/2022/03?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trade Reporting Fees Applicable to Participants That Use the FINRA/NYSE Trade Reporting Facility https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06516.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06516.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06516 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06516.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06515.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06515.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06515 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06515.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Codify Certain Practices and Requirements Related to the Exchange's Port Message Rate Thresholds https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06514.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06514.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06514 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06514.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06513.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06513.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06513 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06513.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06512.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06512.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06512 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06512.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4756(a)(3), in Light of Planned Changes to the System as Well as To Address Existing Issues https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06511.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06511.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06511 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06511.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual To Allow an Acquisition Company To Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-Off the New Acquisition Company to Its Shareholders https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06638.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06638.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06638 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06638.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06637.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06637.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06637 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06637.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06636.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06636.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06636 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06636.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons as Provided Under Exchange Rule 3.33 and To Amend Related Registration Requirements as Provided Under Rule 3.30 https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06635.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06635.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06635 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06635.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06634.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06634.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06634 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06634.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06633.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06633.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06633 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06633.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06632.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06632.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06632 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06632.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06631.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06631.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06631 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06631.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06630.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06630.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06630 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06630.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06629.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06629.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06629 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06629.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Restructuring Notification Process for Swaptions https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06628.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06628.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06628 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06628.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Extension of Review Period of Advance Notice Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06627.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06627.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06627 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06627.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06626.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06626.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06626 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06626.pdf Proposed Rule - Removal of References to Credit Ratings From Regulation M https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06583.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06583.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06583 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06583.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17j-1 https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06706.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06706.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06706 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06706.pdf Notice - Proposed Collection; Comment Request; Extension: Form N-MFP and Rule 30b1-7 https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06704.html https://regulations.justia.com/regulations/fedreg/2022/03/30/2022-06704.html Wed, 30 Mar 2022 00:00:00 -0700 2022-06704 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-30/pdf/2022-06704.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/03/29/2022-06625.html https://regulations.justia.com/regulations/fedreg/2022/03/29/2022-06625.html Tue, 29 Mar 2022 00:00:00 -0700 2022-06625 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-29/pdf/2022-06625.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06533.html https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06533.html Mon, 28 Mar 2022 00:00:00 -0700 2022-06533 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-28/pdf/2022-06533.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06421.html https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06421.html Mon, 28 Mar 2022 00:00:00 -0700 2022-06421 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-28/pdf/2022-06421.pdf Notice - Submission for OMB Review; Comment Request; Extension for Generic ICR: Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06420.html https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06420.html Mon, 28 Mar 2022 00:00:00 -0700 2022-06420 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-28/pdf/2022-06420.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31-E(h)(3) https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06388.html https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06388.html Mon, 28 Mar 2022 00:00:00 -0700 2022-06388 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-28/pdf/2022-06388.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Formatting Change to Exchange Rule 531, Reports, Market Data Products and Services https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06387.html https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06387.html Mon, 28 Mar 2022 00:00:00 -0700 2022-06387 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-28/pdf/2022-06387.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.31E(h)(3) https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06386.html https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06386.html Mon, 28 Mar 2022 00:00:00 -0700 2022-06386 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-28/pdf/2022-06386.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Columbia Seligman Semiconductor and Technology ETF Under NYSE Arca Rule 8.601 (Active Proxy Portfolio Shares) https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06385.html https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06385.html Mon, 28 Mar 2022 00:00:00 -0700 2022-06385 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-28/pdf/2022-06385.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06384.html https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06384.html Mon, 28 Mar 2022 00:00:00 -0700 2022-06384 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-28/pdf/2022-06384.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt a New Trading Session That Will Operate After the Close of the Regular Trading Hours Session https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06383.html https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06383.html Mon, 28 Mar 2022 00:00:00 -0700 2022-06383 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-28/pdf/2022-06383.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Provisions of NYSE Rule 7.35B https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06382.html https://regulations.justia.com/regulations/fedreg/2022/03/28/2022-06382.html Mon, 28 Mar 2022 00:00:00 -0700 2022-06382 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-28/pdf/2022-06382.pdf Proposed Rule - Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-03212.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-03212.html Thu, 24 Mar 2022 00:00:00 -0700 2022-03212 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-03212.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06195.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06195.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06195 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06195.pdf Notice - 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 List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06194.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06194.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06194 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06194.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; 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 Rule 25.3, Which Governs the Exchange's Minor Rule Violation Plan, in Connection With Certain Minor Rule Violations and Applicable Fines https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06193.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06193.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06193 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06193.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 3, Rule 1002, Qualifications of Exchange Members and Associated Persons; Registration of Branch Offices and Designation of Office of Supervisory Jurisdiction https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06192.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06192.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06192 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06192.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Exempt Non-Convertible Bonds Listed Under Rule 5702 From Certain Corporate Governance Requirements https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06191.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06191.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06191 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06191.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 25.3, Which Governs the Exchange's Minor Rule Violation Plan, in Connection With Certain Minor Rule Violations and Applicable Fines https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06190.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06190.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06190 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06190.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Qualifications for the Market Maker Plus Program in Options 7, Section 3 https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06189.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06189.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06189 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06189.pdf Notice - BlackRock Capital Investment Corporation, et al. https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06203.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06203.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06203 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06203.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change for Certain Amendments to the Preamble to Rule 9217 https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06188.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06188.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06188 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06188.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Create a Monthly Media Enterprise License for the Distribution of Nasdaq Basic to the General Investing Public for Display Usage https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06187.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06187.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06187 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06187.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify and Expand the Package of Products and Services Provided to Companies and Clarify Existing Practice Under Rule 14.602 https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06186.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06186.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06186 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06186.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 to April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06185.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06185.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06185 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06185.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 to April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06184.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06184.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06184 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06184.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 to April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06183.html https://regulations.justia.com/regulations/fedreg/2022/03/24/2022-06183.html Thu, 24 Mar 2022 00:00:00 -0700 2022-06183 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-24/pdf/2022-06183.pdf Proposed Rule - Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-05480.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-05480.html Wed, 23 Mar 2022 00:00:00 -0700 2022-05480 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-05480.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06151.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06151.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06151 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06151.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; 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 Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06105.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06105.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06105 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06105.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 to April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06104.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06104.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06104 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06104.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 5.20.01 to April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06103.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06103.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06103 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06103.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 5.22 to April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06102.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06102.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06102 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06102.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Various Processes Under Options 3, Section 20 Across the Affiliated Nasdaq Options Exchanges https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06101.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06101.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06101 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06101.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Various Processes Under Options 3, Section 20 Across the Affiliated Nasdaq Options Exchanges https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06100.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06100.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06100 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06100.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Various Processes Under Options 3, Section 20 Across the Affiliated Nasdaq Options Exchanges https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06099.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06099.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06099 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06099.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Various Processes Under Options 3, Section 20 Across the Affiliated Nasdaq Options Exchanges https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06098.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06098.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06098 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06098.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Open Outcry Options Transaction Charges https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06094.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06094.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06094 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06094.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 2622, Limit Up-Limit Down Plan and Trading Halts https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06093.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06093.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06093 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06093.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees and Credits at Equity 7, Sections 114 and 118 March 17, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06092.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06092.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06092 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06092.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change To Amend Nasdaq Rule 5815(d)(4) Regarding the Use of a Hearings Panel Monitor Following a Compliance Determination by a Nasdaq Listings Qualification Hearings Panel https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06091.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06091.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06091 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06091.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06090.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06090.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06090 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06090.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Market Wide Circuit Breaker to April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06089.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06089.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06089 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06089.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Various Processes Under Options 3, Section 20 Across the Affiliated Nasdaq Options Exchanges https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06088.html https://regulations.justia.com/regulations/fedreg/2022/03/23/2022-06088.html Wed, 23 Mar 2022 00:00:00 -0700 2022-06088 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-23/pdf/2022-06088.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-06095.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-06095.html Tue, 22 Mar 2022 00:00:00 -0700 2022-06095 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-06095.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05986.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05986.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05986 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05986.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05985.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05985.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05985 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05985.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Market-Wide Circuit Breaker Pilot to April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05984.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05984.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05984 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05984.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Market-Wide Circuit Breaker Pilot to April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05983.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05983.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05983 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05983.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05982.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05982.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05982 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05982.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05981.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05981.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05981 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05981.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12 https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05980.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05980.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05980 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05980.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change To Enable Exchange Participants To Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders With an Immediate-or-Cancel Time-in-Force Instruction https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05979.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05979.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05979 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05979.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Market-Wide Circuit Breaker Pilot to April 18, 2022 https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05978.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05978.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05978 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05978.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Plus Tier 1b Rebate for SPY, QQQ, and IWM https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05977.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05977.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05977 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05977.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05976.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05976.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05976 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05976.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05975.html https://regulations.justia.com/regulations/fedreg/2022/03/22/2022-05975.html Tue, 22 Mar 2022 00:00:00 -0700 2022-05975 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-22/pdf/2022-05975.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05960.html https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05960.html Mon, 21 Mar 2022 00:00:00 -0700 2022-05960 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-21/pdf/2022-05960.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05844.html https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05844.html Mon, 21 Mar 2022 00:00:00 -0700 2022-05844 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-21/pdf/2022-05844.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the CDS Clearing Rule Book, Supplement, and Procedures https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05843.html https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05843.html Mon, 21 Mar 2022 00:00:00 -0700 2022-05843 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-21/pdf/2022-05843.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity Fees https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05842.html https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05842.html Mon, 21 Mar 2022 00:00:00 -0700 2022-05842 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-21/pdf/2022-05842.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05841.html https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05841.html Mon, 21 Mar 2022 00:00:00 -0700 2022-05841 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-21/pdf/2022-05841.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05840.html https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05840.html Mon, 21 Mar 2022 00:00:00 -0700 2022-05840 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-21/pdf/2022-05840.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05839.html https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05839.html Mon, 21 Mar 2022 00:00:00 -0700 2022-05839 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-21/pdf/2022-05839.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12-E https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05838.html https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05838.html Mon, 21 Mar 2022 00:00:00 -0700 2022-05838 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-21/pdf/2022-05838.pdf Notice - Goldman Sachs BDC, Inc., et al. https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05833.html https://regulations.justia.com/regulations/fedreg/2022/03/21/2022-05833.html Mon, 21 Mar 2022 00:00:00 -0700 2022-05833 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-21/pdf/2022-05833.pdf Proposed Rule - Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities https://regulations.justia.com/regulations/fedreg/2022/03/18/2022-01975.html https://regulations.justia.com/regulations/fedreg/2022/03/18/2022-01975.html Fri, 18 Mar 2022 00:00:00 -0700 2022-01975 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-03-18/pdf/2022-01975.pdf Notice - Panagram Capital, LLC, et al. https://regulations.justia.com/regulations/fedreg/2022/03/18/2022-05704.html https://regulations.justia.com/regulations/fedreg/2022/03/18/2022-05704.html Fri, 18 Mar 2022 00:00:00 -0700 2022-05704 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-18/pdf/2022-05704.pdf Notice - Self-Regulatory Organizations; MIAX EMERALD, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/18/2022-05699.html https://regulations.justia.com/regulations/fedreg/2022/03/18/2022-05699.html Fri, 18 Mar 2022 00:00:00 -0700 2022-05699 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-18/pdf/2022-05699.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the External Subscriber Fees Applicable to Cboe One Summary Derived Data API Service https://regulations.justia.com/regulations/fedreg/2022/03/18/2022-05698.html https://regulations.justia.com/regulations/fedreg/2022/03/18/2022-05698.html Fri, 18 Mar 2022 00:00:00 -0700 2022-05698 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-18/pdf/2022-05698.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Modification to the Permitted Components of the Tracking Basket of the Hartford Large Cap Growth ETF, and To Permit the Use of Custom Baskets by the Hartford Large Cap Growth ETF, the Invesco US Large Cap Core ETF, and the Invesco Real Assets ESG ETF https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05601.html https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05601.html Thu, 17 Mar 2022 00:00:00 -0700 2022-05601 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-17/pdf/2022-05601.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Certain Series of Tracking Fund Shares Issued by Fidelity Covington Trust, Which Are Listed and Traded on the Exchange Pursuant to Rule 14.11(m), To Use Custom Baskets https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05599.html https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05599.html Thu, 17 Mar 2022 00:00:00 -0700 2022-05599 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-17/pdf/2022-05599.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Registration Rules in General 4 https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05597.html https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05597.html Thu, 17 Mar 2022 00:00:00 -0700 2022-05597 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-17/pdf/2022-05597.pdf Notice - Submission for OMB Review; Comment Request; Extension: Form N-CSR https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05679.html https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05679.html Thu, 17 Mar 2022 00:00:00 -0700 2022-05679 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-17/pdf/2022-05679.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05596.html https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05596.html Thu, 17 Mar 2022 00:00:00 -0700 2022-05596 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-17/pdf/2022-05596.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the External Subscriber Fees Applicable To Cboe One Summary Derived Data API Service https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05595.html https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05595.html Thu, 17 Mar 2022 00:00:00 -0700 2022-05595 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-17/pdf/2022-05595.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280 https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05594.html https://regulations.justia.com/regulations/fedreg/2022/03/17/2022-05594.html Thu, 17 Mar 2022 00:00:00 -0700 2022-05594 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-17/pdf/2022-05594.pdf Notice - Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-04671.html https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-04671.html Wed, 16 Mar 2022 00:00:00 -0700 2022-04671 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-16/pdf/2022-04671.pdf Proposed Rule - Short Position and Short Activity Reporting by Institutional Investment Managers https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-04670.html https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-04670.html Wed, 16 Mar 2022 00:00:00 -0700 2022-04670 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-03-16/pdf/2022-04670.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-05483.html https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-05483.html Wed, 16 Mar 2022 00:00:00 -0700 2022-05483 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-16/pdf/2022-05483.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the Global X Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-05500.html https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-05500.html Wed, 16 Mar 2022 00:00:00 -0700 2022-05500 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-16/pdf/2022-05500.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the NYDIG Bitcoin ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-05499.html https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-05499.html Wed, 16 Mar 2022 00:00:00 -0700 2022-05499 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-16/pdf/2022-05499.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-05541.html https://regulations.justia.com/regulations/fedreg/2022/03/16/2022-05541.html Wed, 16 Mar 2022 00:00:00 -0700 2022-05541 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-16/pdf/2022-05541.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt Fees for a New Data Product Called the Liquidity Taker Event Report-Complex Orders https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05374.html https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05374.html Tue, 15 Mar 2022 00:00:00 -0700 2022-05374 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-15/pdf/2022-05374.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule To Adopt Fees for a New Data Product Called the Liquidity Taker Event Report-Complex Orders https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05373.html https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05373.html Tue, 15 Mar 2022 00:00:00 -0700 2022-05373 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-15/pdf/2022-05373.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Extend the Regulatory Relief and Permit Dealers To Conduct Office Inspections Remotely Until December 31, 2022 Pursuant to MSRB Rule G-27, on Supervision https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05372.html https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05372.html Tue, 15 Mar 2022 00:00:00 -0700 2022-05372 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-15/pdf/2022-05372.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05371.html https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05371.html Tue, 15 Mar 2022 00:00:00 -0700 2022-05371 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-15/pdf/2022-05371.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98 https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05370.html https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05370.html Tue, 15 Mar 2022 00:00:00 -0700 2022-05370 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-15/pdf/2022-05370.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Disapproving a Proposed Rule Change To Modify Nasdaq IM-5101-2 To Permit an Acquisition Company To Contribute a Portion of Its Deposit Account to Another Entity in a Spin-Off or Similar Corporate Transaction https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05369.html https://regulations.justia.com/regulations/fedreg/2022/03/15/2022-05369.html Tue, 15 Mar 2022 00:00:00 -0700 2022-05369 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-15/pdf/2022-05369.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05250.html https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05250.html Mon, 14 Mar 2022 00:00:00 -0700 2022-05250 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-14/pdf/2022-05250.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections 902.03 and 902.11 of the NYSE Listed Company Manual To Establish Fees for the Listing of Rights https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05248.html https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05248.html Mon, 14 Mar 2022 00:00:00 -0700 2022-05248 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-14/pdf/2022-05248.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05246.html https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05246.html Mon, 14 Mar 2022 00:00:00 -0700 2022-05246 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-14/pdf/2022-05246.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05245.html https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05245.html Mon, 14 Mar 2022 00:00:00 -0700 2022-05245 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-14/pdf/2022-05245.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05473.html https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05473.html Mon, 14 Mar 2022 00:00:00 -0700 2022-05473 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-14/pdf/2022-05473.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05405.html https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05405.html Mon, 14 Mar 2022 00:00:00 -0700 2022-05405 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-14/pdf/2022-05405.pdf Notice - Proposed Collection; Comment Request; Extension: Regulation S-ID https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05350.html https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05350.html Mon, 14 Mar 2022 00:00:00 -0700 2022-05350 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-14/pdf/2022-05350.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 12b-1 https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05349.html https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05349.html Mon, 14 Mar 2022 00:00:00 -0700 2022-05349 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-14/pdf/2022-05349.pdf Notice - Alpha Alternative Assets Fund and Alpha Growth Management LLC https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05345.html https://regulations.justia.com/regulations/fedreg/2022/03/14/2022-05345.html Mon, 14 Mar 2022 00:00:00 -0700 2022-05345 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-14/pdf/2022-05345.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Amend BZX Rule 11.17, Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05150.html https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05150.html Fri, 11 Mar 2022 00:00:00 -0800 2022-05150 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-11/pdf/2022-05150.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05149.html https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05149.html Fri, 11 Mar 2022 00:00:00 -0800 2022-05149 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-11/pdf/2022-05149.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05148.html https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05148.html Fri, 11 Mar 2022 00:00:00 -0800 2022-05148 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-11/pdf/2022-05148.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Equity 4, Section 4120 To Add Categories of Regulatory and Operational Halts, To Reorganize the Remaining Text of the Rule, and To Make Conforming Changes to Related Rules https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05147.html https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05147.html Fri, 11 Mar 2022 00:00:00 -0800 2022-05147 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-11/pdf/2022-05147.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05146.html https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05146.html Fri, 11 Mar 2022 00:00:00 -0800 2022-05146 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-11/pdf/2022-05146.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Amend the Excessive Quoting Fee https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05145.html https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05145.html Fri, 11 Mar 2022 00:00:00 -0800 2022-05145 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-11/pdf/2022-05145.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05144.html https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05144.html Fri, 11 Mar 2022 00:00:00 -0800 2022-05144 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-11/pdf/2022-05144.pdf Notice - Proposed Collection; Comment Request, Extension: Form 13F https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05201.html https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05201.html Fri, 11 Mar 2022 00:00:00 -0800 2022-05201 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-11/pdf/2022-05201.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05200.html https://regulations.justia.com/regulations/fedreg/2022/03/11/2022-05200.html Fri, 11 Mar 2022 00:00:00 -0800 2022-05200 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-11/pdf/2022-05200.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-05015.html https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-05015.html Thu, 10 Mar 2022 00:00:00 -0800 2022-05015 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-10/pdf/2022-05015.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; 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 the Requirements of Section 102.06 of the NYSE Listed Company Manual To Allow an Acquisition Company To Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-Off the New Acquisition Company to Its Shareholders https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-05024.html https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-05024.html Thu, 10 Mar 2022 00:00:00 -0800 2022-05024 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-10/pdf/2022-05024.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-05023.html https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-05023.html Thu, 10 Mar 2022 00:00:00 -0800 2022-05023 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-10/pdf/2022-05023.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to TRACE Reporting of Corporate Bond Trades That Are Part of a Larger Portfolio Trade https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-05021.html https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-05021.html Thu, 10 Mar 2022 00:00:00 -0800 2022-05021 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-10/pdf/2022-05021.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-05019.html https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-05019.html Thu, 10 Mar 2022 00:00:00 -0800 2022-05019 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-10/pdf/2022-05019.pdf Proposed Rule - Modernization of Beneficial Ownership Reporting https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-03222.html https://regulations.justia.com/regulations/fedreg/2022/03/10/2022-03222.html Thu, 10 Mar 2022 00:00:00 -0800 2022-03222 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-03-10/pdf/2022-03222.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls https://regulations.justia.com/regulations/fedreg/2022/03/09/2022-04921.html https://regulations.justia.com/regulations/fedreg/2022/03/09/2022-04921.html Wed, 09 Mar 2022 00:00:00 -0800 2022-04921 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-09/pdf/2022-04921.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 https://regulations.justia.com/regulations/fedreg/2022/03/09/2022-04920.html https://regulations.justia.com/regulations/fedreg/2022/03/09/2022-04920.html Wed, 09 Mar 2022 00:00:00 -0800 2022-04920 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-09/pdf/2022-04920.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2022/03/09/2022-05097.html https://regulations.justia.com/regulations/fedreg/2022/03/09/2022-05097.html Wed, 09 Mar 2022 00:00:00 -0800 2022-05097 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-09/pdf/2022-05097.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Index Options Rules https://regulations.justia.com/regulations/fedreg/2022/03/09/2022-04955.html https://regulations.justia.com/regulations/fedreg/2022/03/09/2022-04955.html Wed, 09 Mar 2022 00:00:00 -0800 2022-04955 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-09/pdf/2022-04955.pdf Proposed Rule - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies https://regulations.justia.com/regulations/fedreg/2022/03/09/2022-03145.html https://regulations.justia.com/regulations/fedreg/2022/03/09/2022-03145.html Wed, 09 Mar 2022 00:00:00 -0800 2022-03145 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-03-09/pdf/2022-03145.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04796.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04796.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04796 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04796.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04795.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04795.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04795 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04795.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04794.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04794.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04794 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04794.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04793.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04793.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04793 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04793.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04792.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04792.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04792 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04792.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04836.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04836.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04836 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04836.pdf Notice - Joint Industry Plan; Notice of Filing of Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04834.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04834.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04834 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04834.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 2a-7 https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04884.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04884.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04884 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04884.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04882.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04882.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04882 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04882.pdf Notice - Proposed Collection; Comment Request; Extension: Form N-8F https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04892.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04892.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04892 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04892.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 248.30 https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04891.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04891.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04891 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04891.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04890.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04890.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04890 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04890.pdf Notice - Onex Falcon Direct Lending BDC Fund, et al. https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04816.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04816.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04816 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04816.pdf Notice - Jefferies Private Credit BDC Inc., et al. https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04815.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04815.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04815 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04815.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04802.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04802.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04802 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04802.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04801.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04801.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04801 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04801.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 30e-2 https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04800.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04800.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04800 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04800.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04799.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04799.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04799 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04799.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04798.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04798.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04798 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04798.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04797.html https://regulations.justia.com/regulations/fedreg/2022/03/08/2022-04797.html Tue, 08 Mar 2022 00:00:00 -0800 2022-04797 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-08/pdf/2022-04797.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Proprietary Market Data Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04675.html https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04675.html Mon, 07 Mar 2022 00:00:00 -0800 2022-04675 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-07/pdf/2022-04675.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 531 To Provide for a New Service Called the High Precision Network Time Signal Service https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04674.html https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04674.html Mon, 07 Mar 2022 00:00:00 -0800 2022-04674 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-07/pdf/2022-04674.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Proprietary Market Data Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04673.html https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04673.html Mon, 07 Mar 2022 00:00:00 -0800 2022-04673 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-07/pdf/2022-04673.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04923.html https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04923.html Mon, 07 Mar 2022 00:00:00 -0800 2022-04923 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-07/pdf/2022-04923.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04922.html https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04922.html Mon, 07 Mar 2022 00:00:00 -0800 2022-04922 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-07/pdf/2022-04922.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04830.html https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04830.html Mon, 07 Mar 2022 00:00:00 -0800 2022-04830 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-07/pdf/2022-04830.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04823.html https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04823.html Mon, 07 Mar 2022 00:00:00 -0800 2022-04823 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-07/pdf/2022-04823.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Proprietary Market Data Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04560.html https://regulations.justia.com/regulations/fedreg/2022/03/07/2022-04560.html Mon, 07 Mar 2022 00:00:00 -0800 2022-04560 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-07/pdf/2022-04560.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity Fees https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04568.html https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04568.html Fri, 04 Mar 2022 00:00:00 -0800 2022-04568 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-04/pdf/2022-04568.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedules https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04567.html https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04567.html Fri, 04 Mar 2022 00:00:00 -0800 2022-04567 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-04/pdf/2022-04567.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify How Drill-Through Price Protection Applies to Users' Orders When Multiple Stop Orders and Stop-Limit Orders Are Triggered by the Same Price https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04566.html https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04566.html Fri, 04 Mar 2022 00:00:00 -0800 2022-04566 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-04/pdf/2022-04566.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify How Drill-Through Price Protection Applies to Users' Orders When Multiple Stop Order and Stop-Limit Orders Are Triggered by the Same Price https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04565.html https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04565.html Fri, 04 Mar 2022 00:00:00 -0800 2022-04565 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-04/pdf/2022-04565.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify How Drill-Through Price Protection Applies to Users' Orders When Multiple Stop (Stop-Loss) and Stop-Limit Orders Are Triggered by the Same Price https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04563.html https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04563.html Fri, 04 Mar 2022 00:00:00 -0800 2022-04563 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-04/pdf/2022-04563.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify How Drill-Through Price Protection Applies to Users' Orders When Multiple Stop (Stop-Loss) and Stop-Limit Orders Are Triggered by the Same Price https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04562.html https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04562.html Fri, 04 Mar 2022 00:00:00 -0800 2022-04562 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-04/pdf/2022-04562.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Proprietary Market Data Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04561.html https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04561.html Fri, 04 Mar 2022 00:00:00 -0800 2022-04561 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-04/pdf/2022-04561.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04695.html https://regulations.justia.com/regulations/fedreg/2022/03/04/2022-04695.html Fri, 04 Mar 2022 00:00:00 -0800 2022-04695 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-04/pdf/2022-04695.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g) https://regulations.justia.com/regulations/fedreg/2022/03/03/2022-04423.html https://regulations.justia.com/regulations/fedreg/2022/03/03/2022-04423.html Thu, 03 Mar 2022 00:00:00 -0800 2022-04423 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-03/pdf/2022-04423.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2617(b) To Adopt Two New Routing Options, and To Make Related Changes and Clarifications to Rules 2614(a)(2)(B) and 2617(b)(2) https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04211.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04211.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04211 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04211.pdf Notice - 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 List and Trade Shares of the Franklin Responsibly Sourced Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04212.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04212.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04212 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04212.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04336.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04336.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04336 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04336.pdf Notice - Consolidated Tape Association; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04335.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04335.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04335 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04335.pdf Notice - Consolidated Tape Association; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04334.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04334.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04334 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04334.pdf Notice - Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04333.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04333.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04333 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04333.pdf Notice - Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Fifty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04332.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04332.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04332 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04332.pdf Notice - Securities Exchange Act of 1934; Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(C)(3) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04331.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04331.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04331 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04331.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change Concerning The Options Clearing Corporation's Cash and Investment Management https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04330.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04330.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04330 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04330.pdf Notice - Northern Lights Fund Trust IV, et al. https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04312.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04312.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04312 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04312.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04387.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04387.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04387 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04387.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04386.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04386.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04386 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04386.pdf Notice - Application: Deregistration Under the Investment Company Act https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04385.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04385.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04385 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04385.pdf Proposed Rule - Reopening of Comment Period for Reporting of Securities Loans https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04384.html https://regulations.justia.com/regulations/fedreg/2022/03/02/2022-04384.html Wed, 02 Mar 2022 00:00:00 -0800 2022-04384 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-03-02/pdf/2022-04384.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/03/01/2022-04325.html https://regulations.justia.com/regulations/fedreg/2022/03/01/2022-04325.html Tue, 01 Mar 2022 00:00:00 -0800 2022-04325 Notice https://www.govinfo.gov/content/pkg/FR-2022-03-01/pdf/2022-04325.pdf