<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2022/11?registers=between&min-day=1&max-day=30 Sun, 05 May 2024 14:04:01 -0700 Sun, 05 May 2024 14:04:01 -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/2022/11?registers=between&min-day=1&max-day=30 Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2022/11/30/2022-26106.html https://regulations.justia.com/regulations/fedreg/2022/11/30/2022-26106.html Wed, 30 Nov 2022 00:00:00 -0800 2022-26106 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-30/pdf/2022-26106.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, and MEMX LLC Concerning Options-Related Market Surveillance https://regulations.justia.com/regulations/fedreg/2022/11/30/2022-26076.html https://regulations.justia.com/regulations/fedreg/2022/11/30/2022-26076.html Wed, 30 Nov 2022 00:00:00 -0800 2022-26076 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-30/pdf/2022-26076.pdf Notice - Cantor Fitzgerald Sustainable Infrastructure Fund and Cantor Fitzgerald Investment Advisors, L.P. https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25956.html https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25956.html Tue, 29 Nov 2022 00:00:00 -0800 2022-25956 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25956.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25950.html https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25950.html Tue, 29 Nov 2022 00:00:00 -0800 2022-25950 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25950.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 104 https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25949.html https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25949.html Tue, 29 Nov 2022 00:00:00 -0800 2022-25949 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25949.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25948.html https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25948.html Tue, 29 Nov 2022 00:00:00 -0800 2022-25948 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25948.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM Options 7, Section 2 https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25947.html https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25947.html Tue, 29 Nov 2022 00:00:00 -0800 2022-25947 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25947.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25945.html https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25945.html Tue, 29 Nov 2022 00:00:00 -0800 2022-25945 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25945.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25943.html https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25943.html Tue, 29 Nov 2022 00:00:00 -0800 2022-25943 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25943.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B) https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26051.html https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26051.html Tue, 29 Nov 2022 00:00:00 -0800 2022-26051 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-26051.pdf Notice - Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26045.html https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26045.html Tue, 29 Nov 2022 00:00:00 -0800 2022-26045 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-26045.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26044.html https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26044.html Tue, 29 Nov 2022 00:00:00 -0800 2022-26044 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-26044.pdf Rule - Listing Standards for Recovery of Erroneously Awarded Compensation https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-23757.html https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-23757.html Mon, 28 Nov 2022 00:00:00 -0800 2022-23757 Rule https://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-23757.pdf Notice - Prospect Floating Rate and Alternative Income Fund, Inc. and Prospect Capital Management L.P. https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25789.html https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25789.html Mon, 28 Nov 2022 00:00:00 -0800 2022-25789 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-25789.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading To Amend the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25787.html https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25787.html Mon, 28 Nov 2022 00:00:00 -0800 2022-25787 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-25787.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 515 to Make a Minor, Non-Substantive Edit https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25786.html https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25786.html Mon, 28 Nov 2022 00:00:00 -0800 2022-25786 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-25786.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-26014.html https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-26014.html Mon, 28 Nov 2022 00:00:00 -0800 2022-26014 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-26014.pdf Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-23756.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-23756.html Fri, 25 Nov 2022 00:00:00 -0800 2022-23756 Rule https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-23756.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25927.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25927.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25927 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25927.pdf Notice - Order Cancelling Registrations of Certain Transfer Agents https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25665.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25665.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25665 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25665.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position and Exercise Limits for Options on Apple Inc. Stock (“AAPL”) https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25664.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25664.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25664 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25664.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Modify IEX Rule 11.190(b)(7) https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25663.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25663.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25663 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25663.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to ICE Clear Europe Operational Risk and Resilience Policy https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25662.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25662.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25662 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25662.pdf Notice - In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25685.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25685.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25685 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25685.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25673.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25673.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25673 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25673.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25672.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25672.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25672 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25672.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25671.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25671.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25671 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25671.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25670.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25670.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25670 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25670.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25669.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25669.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25669 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25669.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/2022/11/25/2022-25668.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25668.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25668 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25668.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/2022/11/25/2022-25667.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25667.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25667 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25667.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-5050-6 (Short Term Option Series Program) https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25666.html https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25666.html Fri, 25 Nov 2022 00:00:00 -0800 2022-25666 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25666.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-27, on Supervision, To Further Extend the Current Regulatory Relief for Remote Office Inspections Through June 30, 2023 https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25475.html https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25475.html Wed, 23 Nov 2022 00:00:00 -0800 2022-25475 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25475.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Corporation; Order Granting Proposed Rule Changes To Amend the Stress Testing Framework and Liquidity Risk Management Framework https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25474.html https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25474.html Wed, 23 Nov 2022 00:00:00 -0800 2022-25474 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25474.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading and the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25473.html https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25473.html Wed, 23 Nov 2022 00:00:00 -0800 2022-25473 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25473.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of Pending Amendments to Equity 4, Rules 4120, 4702 and 4703 https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25472.html https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25472.html Wed, 23 Nov 2022 00:00:00 -0800 2022-25472 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25472.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Trading Permit Fees for Market Makers in the MIAX PEARL Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25471.html https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25471.html Wed, 23 Nov 2022 00:00:00 -0800 2022-25471 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25471.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Make Certain Revisions to the Preamble to Rule 10.9217 and Add Rule 2.1210 to the List of Minor Rule Violations in Rule 10.9217(f) https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25470.html https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25470.html Wed, 23 Nov 2022 00:00:00 -0800 2022-25470 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25470.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule G-3, on Professional Qualification Requirements, To Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25476.html https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25476.html Wed, 23 Nov 2022 00:00:00 -0800 2022-25476 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25476.pdf Notice - Hennessy Funds Trust, et al. https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25621.html https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25621.html Wed, 23 Nov 2022 00:00:00 -0800 2022-25621 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25621.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Exchange Rule 14.11(d) To Accommodate Exchange Listing and Trading of Options-Linked Securities https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25359.html https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25359.html Tue, 22 Nov 2022 00:00:00 -0800 2022-25359 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25359.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2614(f), Self-Trade Protection Modifiers https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25358.html https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25358.html Tue, 22 Nov 2022 00:00:00 -0800 2022-25358 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25358.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 6.41P-O https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25357.html https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25357.html Tue, 22 Nov 2022 00:00:00 -0800 2022-25357 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25357.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2617 Order Execution and Routing https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25356.html https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25356.html Tue, 22 Nov 2022 00:00:00 -0800 2022-25356 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25356.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110 To Amend IEX's Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25355.html https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25355.html Tue, 22 Nov 2022 00:00:00 -0800 2022-25355 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25355.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule BX Equity 6, Section 5 To Provide Participants With Additional Optional Settings https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25354.html https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25354.html Tue, 22 Nov 2022 00:00:00 -0800 2022-25354 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25354.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 5 https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25353.html https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25353.html Tue, 22 Nov 2022 00:00:00 -0800 2022-25353 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25353.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Changes To Addendum A To Adopt Fees for the AIP Document Transfer Service as Part of AIP Attachments https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25352.html https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25352.html Tue, 22 Nov 2022 00:00:00 -0800 2022-25352 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25352.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17Ad-10 https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25346.html https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25346.html Tue, 22 Nov 2022 00:00:00 -0800 2022-25346 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25346.pdf Notice - 24X National Exchange LLC; Notice of Filing of Amendment No. 2 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25425.html https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25425.html Tue, 22 Nov 2022 00:00:00 -0800 2022-25425 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25425.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05 and a Related Definition in Rule 16.1 https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25234.html https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25234.html Mon, 21 Nov 2022 00:00:00 -0800 2022-25234 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25234.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, 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 ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25233.html https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25233.html Mon, 21 Nov 2022 00:00:00 -0800 2022-25233 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25233.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05 and a Related Definition in Rule 16.1 https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25232.html https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25232.html Mon, 21 Nov 2022 00:00:00 -0800 2022-25232 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25232.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 4.5(d) https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25231.html https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25231.html Mon, 21 Nov 2022 00:00:00 -0800 2022-25231 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25231.pdf Notice - Proposed Collection; Comment Request; Extension: Notice of Exempt Preliminary Roll-Up Communication https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25225.html https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25225.html Mon, 21 Nov 2022 00:00:00 -0800 2022-25225 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25225.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Initial and Annual Fees for Exchange Traded Products https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25237.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25237.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25237 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25237.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118(a) https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25235.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25235.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25235 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25235.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25230.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25230.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25230 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25230.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 155 https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25226.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25226.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25226 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25226.pdf Notice - Trinity Capital Inc. https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25224.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25224.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25224 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25224.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25088.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25088.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25088 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25088.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/2022/11/18/2022-25087.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25087.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25087 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25087.pdf Notice - Proposed Collection; Comment Request; Extension: Schedule 13E-4F https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25105.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25105.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25105 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25105.pdf Notice - Proposed Collection; Comment Request; Extension: 7a-15 Through 7a-37 https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25104.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25104.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25104 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25104.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17Ab2-2 https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25102.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25102.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25102 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25102.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-6 https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25101.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25101.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25101 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25101.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rules 13n-4(b)(9), (b)(10) and (d) https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25100.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25100.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25100 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25100.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 22c-1 https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25099.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25099.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25099 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25099.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 204-5 https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25098.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25098.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25098 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25098.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 6c-11 https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25097.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25097.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25097 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25097.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 3a71-3(d) https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25096.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25096.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25096 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25096.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 10b-10 https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25095.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25095.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25095 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25095.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25089.html https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25089.html Fri, 18 Nov 2022 00:00:00 -0800 2022-25089 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25089.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24895.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24895.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24895 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24895.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24894.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24894.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24894 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24894.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership and Trading Rights Fees https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24893.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24893.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24893 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24893.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add Violations of Rule 2.1210 to the Exchange's Minor Rule Violation Plan for the Equities and Options Markets https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24892.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24892.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24892 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24892.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24891.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24891.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24891 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24891.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Phlx Equity 6, Section 5 Concerning Optional Risk Settings for Stocks https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24890.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24890.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24890 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24890.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24889.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24889.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24889 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24889.pdf Proposed Rule - Outsourcing by Investment Advisers https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-23694.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-23694.html Wed, 16 Nov 2022 00:00:00 -0800 2022-23694 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-23694.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change To Amend the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24888.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24888.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24888 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24888.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24887.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24887.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24887 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24887.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 17a-14 and Form CRS https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24880.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24880.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24880 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24880.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change, As modified by Amendment No. 1, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24959.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24959.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24959 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24959.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision) https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24958.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24958.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24958 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24958.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update and Harmonize the Exchange's Reimbursement Schedule for Forwarding Proxy and Other Issuer Material https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24957.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24957.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24957 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24957.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24956.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24956.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24956 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24956.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24955.html https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24955.html Wed, 16 Nov 2022 00:00:00 -0800 2022-24955 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24955.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24973.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24973.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24973 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24973.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Clearing Rules, Collateral and Haircut Procedures, Collateral and Haircut Policy and Finance Procedures https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24766.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24766.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24766 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24766.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 5 https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24765.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24765.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24765 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24765.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a 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/2022/11/15/2022-24764.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24764.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24764 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24764.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24763.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24763.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24763 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24763.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24762.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24762.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24762 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24762.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830. https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24761.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24761.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24761 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24761.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24760.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24760.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24760 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24760.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24759.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24759.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24759 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24759.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation Notice of Designation of Longer Period for Commission Action on Proposed Rule Change by The Options Clearing Corporation Concerning a Risk Management Framework and Corporate Risk Management Policy https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24769.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24769.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24769 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24769.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice and Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part GG of the ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24768.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24768.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24768 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24768.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24767.html https://regulations.justia.com/regulations/fedreg/2022/11/15/2022-24767.html Tue, 15 Nov 2022 00:00:00 -0800 2022-24767 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-15/pdf/2022-24767.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24653.html https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24653.html Mon, 14 Nov 2022 00:00:00 -0800 2022-24653 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-14/pdf/2022-24653.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24652.html https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24652.html Mon, 14 Nov 2022 00:00:00 -0800 2022-24652 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-14/pdf/2022-24652.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove the Monthly Volume Credit https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24651.html https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24651.html Mon, 14 Nov 2022 00:00:00 -0800 2022-24651 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-14/pdf/2022-24651.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove a Monthly Credit Associated With Trading Permit Fees https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24650.html https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24650.html Mon, 14 Nov 2022 00:00:00 -0800 2022-24650 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-14/pdf/2022-24650.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify an Implementation Timeframe for the Introduction of Enhanced Anti-Internalization Functionality https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24649.html https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24649.html Mon, 14 Nov 2022 00:00:00 -0800 2022-24649 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-14/pdf/2022-24649.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Legacy Disciplinary Rules 475, 476, 476A, and 477; Adopt New Rule 2050; and Make Conforming Changes to Rules 2A, 27, 36, 600A, 619, 637, 3170, 8001, 8130, 8320, 9001 and 9217 https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24648.html https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24648.html Mon, 14 Nov 2022 00:00:00 -0800 2022-24648 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-14/pdf/2022-24648.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Corrections to Its By-Laws https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24647.html https://regulations.justia.com/regulations/fedreg/2022/11/14/2022-24647.html Mon, 14 Nov 2022 00:00:00 -0800 2022-24647 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-14/pdf/2022-24647.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Years 2020 and 2021, and Through December 31 of Calendar Year 2022) Under FINRA Rule 3110 (Supervision) https://regulations.justia.com/regulations/fedreg/2022/11/10/2022-24509.html https://regulations.justia.com/regulations/fedreg/2022/11/10/2022-24509.html Thu, 10 Nov 2022 00:00:00 -0800 2022-24509 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-10/pdf/2022-24509.pdf Notice - Self-Regulatory Organizations; NYSE Arca, 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 6.64P-O https://regulations.justia.com/regulations/fedreg/2022/11/10/2022-24508.html https://regulations.justia.com/regulations/fedreg/2022/11/10/2022-24508.html Thu, 10 Nov 2022 00:00:00 -0800 2022-24508 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-10/pdf/2022-24508.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 To Amend Certain Fees and Rebates for Qualified Contingent Cross Transactions https://regulations.justia.com/regulations/fedreg/2022/11/10/2022-24507.html https://regulations.justia.com/regulations/fedreg/2022/11/10/2022-24507.html Thu, 10 Nov 2022 00:00:00 -0800 2022-24507 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-10/pdf/2022-24507.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options https://regulations.justia.com/regulations/fedreg/2022/11/10/2022-24506.html https://regulations.justia.com/regulations/fedreg/2022/11/10/2022-24506.html Thu, 10 Nov 2022 00:00:00 -0800 2022-24506 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-10/pdf/2022-24506.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of filing of Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework https://regulations.justia.com/regulations/fedreg/2022/11/10/2022-24505.html https://regulations.justia.com/regulations/fedreg/2022/11/10/2022-24505.html Thu, 10 Nov 2022 00:00:00 -0800 2022-24505 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-10/pdf/2022-24505.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24415.html https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24415.html Wed, 09 Nov 2022 00:00:00 -0800 2022-24415 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-09/pdf/2022-24415.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Rate of Return on Euro Cash Margin and Guaranty Fund Deposits https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24414.html https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24414.html Wed, 09 Nov 2022 00:00:00 -0800 2022-24414 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-09/pdf/2022-24414.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Electronic Multi-Leg Orders on BOX https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24413.html https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24413.html Wed, 09 Nov 2022 00:00:00 -0800 2022-24413 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-09/pdf/2022-24413.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program Until May 8, 2023 https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24412.html https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24412.html Wed, 09 Nov 2022 00:00:00 -0800 2022-24412 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-09/pdf/2022-24412.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24411.html https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24411.html Wed, 09 Nov 2022 00:00:00 -0800 2022-24411 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-09/pdf/2022-24411.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24410.html https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24410.html Wed, 09 Nov 2022 00:00:00 -0800 2022-24410 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-09/pdf/2022-24410.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 15b11-1/Form BD-N https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24408.html https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24408.html Wed, 09 Nov 2022 00:00:00 -0800 2022-24408 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-09/pdf/2022-24408.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Increase the Minimum Required Fund Deposit for Government Securities Division Netting Members and Sponsoring Members, and Make Other Changes; Correction https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24428.html https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24428.html Wed, 09 Nov 2022 00:00:00 -0800 2022-24428 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-09/pdf/2022-24428.pdf Notice - J.P. Morgan Exchange-Traded Fund Trust, et al. https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24397.html https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24397.html Wed, 09 Nov 2022 00:00:00 -0800 2022-24397 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-09/pdf/2022-24397.pdf Notice - 24X National Exchange LLC; Notice of Filing of Amendment No. 1 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24380.html https://regulations.justia.com/regulations/fedreg/2022/11/09/2022-24380.html Wed, 09 Nov 2022 00:00:00 -0800 2022-24380 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-09/pdf/2022-24380.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130 https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24288.html https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24288.html Tue, 08 Nov 2022 00:00:00 -0800 2022-24288 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-08/pdf/2022-24288.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24287.html https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24287.html Tue, 08 Nov 2022 00:00:00 -0800 2022-24287 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-08/pdf/2022-24287.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24286.html https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24286.html Tue, 08 Nov 2022 00:00:00 -0800 2022-24286 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-08/pdf/2022-24286.pdf Notice - 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 the Shares of the Breakwave Tanker Shipping ETF https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24284.html https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24284.html Tue, 08 Nov 2022 00:00:00 -0800 2022-24284 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-08/pdf/2022-24284.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24283.html https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24283.html Tue, 08 Nov 2022 00:00:00 -0800 2022-24283 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-08/pdf/2022-24283.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24282.html https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24282.html Tue, 08 Nov 2022 00:00:00 -0800 2022-24282 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-08/pdf/2022-24282.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-4 https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24248.html https://regulations.justia.com/regulations/fedreg/2022/11/08/2022-24248.html Tue, 08 Nov 2022 00:00:00 -0800 2022-24248 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-08/pdf/2022-24248.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2614, Orders and Order Instructions and Rule 2618, Risk Settings and Trading Risk Metrics To Enhance Existing Risk Controls https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24146.html https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24146.html Mon, 07 Nov 2022 00:00:00 -0800 2022-24146 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-07/pdf/2022-24146.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Remove the Fill-Or-Kill (“FOK”) Order Type and Fill Or Kill (“FOK”) eQuotes From the Exchange https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24145.html https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24145.html Mon, 07 Nov 2022 00:00:00 -0800 2022-24145 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-07/pdf/2022-24145.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 6 To Adopt a New Qualified Contingent Cross Rebate Program and Increase the Crossing Fee Cap https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24144.html https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24144.html Mon, 07 Nov 2022 00:00:00 -0800 2022-24144 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-07/pdf/2022-24144.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24143.html https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24143.html Mon, 07 Nov 2022 00:00:00 -0800 2022-24143 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-07/pdf/2022-24143.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24142.html https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24142.html Mon, 07 Nov 2022 00:00:00 -0800 2022-24142 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-07/pdf/2022-24142.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Standard Monthly Expirations for XND https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24141.html https://regulations.justia.com/regulations/fedreg/2022/11/07/2022-24141.html Mon, 07 Nov 2022 00:00:00 -0800 2022-24141 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-07/pdf/2022-24141.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(e) To Expand the Availability of the Exchange's Existing Anti-Internalization Functionality to More Members https://regulations.justia.com/regulations/fedreg/2022/11/04/2022-24008.html https://regulations.justia.com/regulations/fedreg/2022/11/04/2022-24008.html Fri, 04 Nov 2022 00:00:00 -0700 2022-24008 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-04/pdf/2022-24008.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 https://regulations.justia.com/regulations/fedreg/2022/11/04/2022-24007.html https://regulations.justia.com/regulations/fedreg/2022/11/04/2022-24007.html Fri, 04 Nov 2022 00:00:00 -0700 2022-24007 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-04/pdf/2022-24007.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership and Trading Rights Fees https://regulations.justia.com/regulations/fedreg/2022/11/04/2022-24006.html https://regulations.justia.com/regulations/fedreg/2022/11/04/2022-24006.html Fri, 04 Nov 2022 00:00:00 -0700 2022-24006 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-04/pdf/2022-24006.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; 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Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest https://regulations.justia.com/regulations/fedreg/2022/11/03/2022-23869.html https://regulations.justia.com/regulations/fedreg/2022/11/03/2022-23869.html Thu, 03 Nov 2022 00:00:00 -0700 2022-23869 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-03/pdf/2022-23869.pdf Notice - Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2022/11/03/2022-23884.html https://regulations.justia.com/regulations/fedreg/2022/11/03/2022-23884.html Thu, 03 Nov 2022 00:00:00 -0700 2022-23884 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-03/pdf/2022-23884.pdf Notice - Royalty Pharma plc and Royalty Pharma Finance Corporation https://regulations.justia.com/regulations/fedreg/2022/11/02/2022-23788.html https://regulations.justia.com/regulations/fedreg/2022/11/02/2022-23788.html Wed, 02 Nov 2022 00:00:00 -0700 2022-23788 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-02/pdf/2022-23788.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 1801, Definitions and Rule 1809, Terms of Index Options Contracts To Remove References to BRIXX Indexes https://regulations.justia.com/regulations/fedreg/2022/11/02/2022-23783.html https://regulations.justia.com/regulations/fedreg/2022/11/02/2022-23783.html Wed, 02 Nov 2022 00:00:00 -0700 2022-23783 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-02/pdf/2022-23783.pdf Notice - Self-Regulatory Organizations; 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