Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2022?limit=200&registers=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom 2024-11-03T09:31:53-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28202.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees 2022-12-28T00:00:00-08:00 2022-12-28T00:00:00-08:00 2022-28202 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28202.pdf https://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28201.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 7 2022-12-28T00:00:00-08:00 2022-12-28T00:00:00-08:00 2022-28201 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28201.pdf https://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28200.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees 2022-12-28T00:00:00-08:00 2022-12-28T00:00:00-08:00 2022-28200 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28200.pdf https://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28199.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 6 2022-12-28T00:00:00-08:00 2022-12-28T00:00:00-08:00 2022-28199 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28199.pdf https://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28197.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Annual Listing Fee Set Forth in Section 902.03 of the NYSE Listed Company Manual 2022-12-28T00:00:00-08:00 2022-12-28T00:00:00-08:00 2022-28197 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28197.pdf https://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28196.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Representations Relating to the Stance Equity ESG Large Cap Core ETF 2022-12-28T00:00:00-08:00 2022-12-28T00:00:00-08:00 2022-28196 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28196.pdf https://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28195.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework 2022-12-28T00:00:00-08:00 2022-12-28T00:00:00-08:00 2022-28195 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28195.pdf https://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28181.html Notice - Forum Real Estate Income Fund, et al. 2022-12-28T00:00:00-08:00 2022-12-28T00:00:00-08:00 2022-28181 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28181.pdf https://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28180.html Notice - Proposed Collection; Comment Request; Extension: Form N-8B-4 2022-12-28T00:00:00-08:00 2022-12-28T00:00:00-08:00 2022-28180 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28180.pdf https://regulations.justia.com/regulations/fedreg/2022/12/28/2022-28179.html Notice - Proposed Collection; Comment Request; Extension: Rule 17a-22 2022-12-28T00:00:00-08:00 2022-12-28T00:00:00-08:00 2022-28179 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-28/pdf/2022-28179.pdf https://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28080.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide 2022-12-27T00:00:00-08:00 2022-12-27T00:00:00-08:00 2022-28080 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28080.pdf https://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28079.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4754 Regarding Close Eligible Interest 2022-12-27T00:00:00-08:00 2022-12-27T00:00:00-08:00 2022-28079 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28079.pdf https://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28088.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Corporation; Order Granting Proposed Rule Changes To Amend 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 2022-12-27T00:00:00-08:00 2022-12-27T00:00:00-08:00 2022-28088 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28088.pdf https://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28087.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate Its 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, Miami International Securities Exchange, LLC 2022-12-27T00:00:00-08:00 2022-12-27T00:00:00-08:00 2022-28087 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28087.pdf https://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28086.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 519C Mass Cancellation of Trading Interest 2022-12-27T00:00:00-08:00 2022-12-27T00:00:00-08:00 2022-28086 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28086.pdf https://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28085.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant 2022-12-27T00:00:00-08:00 2022-12-27T00:00:00-08:00 2022-28085 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28085.pdf https://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28084.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest 2022-12-27T00:00:00-08:00 2022-12-27T00:00:00-08:00 2022-28084 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28084.pdf https://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28083.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Establish a Monthly Membership Fee 2022-12-27T00:00:00-08:00 2022-12-27T00:00:00-08:00 2022-28083 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28083.pdf https://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28082.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate MIAX's 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, MIAX PEARL, LLC 2022-12-27T00:00:00-08:00 2022-12-27T00:00:00-08:00 2022-28082 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28082.pdf https://regulations.justia.com/regulations/fedreg/2022/12/27/2022-28081.html 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 2022-12-27T00:00:00-08:00 2022-12-27T00:00:00-08:00 2022-28081 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-27/pdf/2022-28081.pdf https://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27916.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Nasdaq's Post-Trade Risk Management Product to Q2 2023 2022-12-23T00:00:00-08:00 2022-12-23T00:00:00-08:00 2022-27916 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27916.pdf https://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27913.html Notice - PCM Fund, Inc., et al. 2022-12-23T00:00:00-08:00 2022-12-23T00:00:00-08:00 2022-27913 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27913.pdf https://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27912.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit 2022-12-23T00:00:00-08:00 2022-12-23T00:00:00-08:00 2022-27912 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27912.pdf https://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27911.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Entry and All-Inclusive Annual Fees for Certain Companies 2022-12-23T00:00:00-08:00 2022-12-23T00:00:00-08:00 2022-27911 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27911.pdf https://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27910.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Increase Certain Annual Fees Set Forth in Section 141 of the NYSE American Company Guide 2022-12-23T00:00:00-08:00 2022-12-23T00:00:00-08:00 2022-27910 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27910.pdf https://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27959.html Notice - Order Scheduling Filing of Statements on Review; In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008) 2022-12-23T00:00:00-08:00 2022-12-23T00:00:00-08:00 2022-27959 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27959.pdf https://regulations.justia.com/regulations/fedreg/2022/12/23/2022-27907.html Notice - Proposed Collection; Comment Request; Extension: Rule 32a-4 2022-12-23T00:00:00-08:00 2022-12-23T00:00:00-08:00 2022-27907 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-23/pdf/2022-27907.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27789.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27789 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27789.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27788.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27788 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27788.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27787.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Partial Amendment No. 1 to Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision) 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27787 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27787.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27786.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Functionality in Connection With a Technology Migration 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27786 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27786.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27785.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain ISE Complex Order Functionalities in Connection With a Technology Migration 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27785 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27785.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27784.html 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 VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27784 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27784.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27783.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27783 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27783.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27794.html Notice - ACAP Strategic Fund, et al. 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27794 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27794.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27793.html Notice - Golub Capital BDC, Inc., et al. 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27793 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27793.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27791.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Make Certain Amendments to the Preamble to Rule 9217 and To Add Rule 2.1210 to the Exchange's Minor Rule Violation Plan for Equities and Options 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27791 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27791.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27790.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27790 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27790.pdf https://regulations.justia.com/regulations/fedreg/2022/12/22/2022-27921.html Notice - Sunshine Act Meetings 2022-12-22T00:00:00-08:00 2022-12-22T00:00:00-08:00 2022-27921 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-22/pdf/2022-27921.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27636.html Rule - Technical Amendments to Commission Rules 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27636 Rule https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27636.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27649.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-8050-3 To Establish Functionality That Will Reject Market Maker Quotes When Those Quotes Would Otherwise Lock or Cross the National Best Bid or Offer 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27649 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27649.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27648.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27648 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27648.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27659.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a 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 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27659 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27659.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27658.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice Related to Certain Enhancements to the Gap Risk Measure and the VaR Charge 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27658 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27658.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27657.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27657 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27657.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27656.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fees Schedule To Adopt Global Trading Hours XSP Lead Market-Makers Incentive Programs 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27656 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27656.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27655.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27655 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27655.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27654.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Requirements in Equity 2, Sections 4, 5, and 11 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27654 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27654.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27653.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Reflect Adjustments to FINRA's Registration Fees Related to the Central Registration Depository 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27653 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27653.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27652.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove a Monthly Credit Associated With Trading Permit Fees 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27652 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27652.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27651.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27651 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27651.pdf https://regulations.justia.com/regulations/fedreg/2022/12/21/2022-27650.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Finance Procedures 2022-12-21T00:00:00-08:00 2022-12-21T00:00:00-08:00 2022-27650 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-21/pdf/2022-27650.pdf https://regulations.justia.com/regulations/fedreg/2022/12/20/2022-27497.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rules 5605 and 5606 2022-12-20T00:00:00-08:00 2022-12-20T00:00:00-08:00 2022-27497 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-20/pdf/2022-27497.pdf https://regulations.justia.com/regulations/fedreg/2022/12/20/2022-27488.html Notice - Proposed Collection; Comment Request; Extension: Rule 19b-1 2022-12-20T00:00:00-08:00 2022-12-20T00:00:00-08:00 2022-27488 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-20/pdf/2022-27488.pdf https://regulations.justia.com/regulations/fedreg/2022/12/20/2022-27500.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19-E 2022-12-20T00:00:00-08:00 2022-12-20T00:00:00-08:00 2022-27500 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-20/pdf/2022-27500.pdf https://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27641.html Notice - Sunshine Act Meetings 2022-12-19T00:00:00-08:00 2022-12-19T00:00:00-08:00 2022-27641 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27641.pdf https://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27384.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market 2022-12-19T00:00:00-08:00 2022-12-19T00:00:00-08:00 2022-27384 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27384.pdf https://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27383.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 17, Rule 5 2022-12-19T00:00:00-08:00 2022-12-19T00:00:00-08:00 2022-27383 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27383.pdf https://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27382.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19 2022-12-19T00:00:00-08:00 2022-12-19T00:00:00-08:00 2022-27382 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27382.pdf https://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27381.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19 2022-12-19T00:00:00-08:00 2022-12-19T00:00:00-08:00 2022-27381 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27381.pdf https://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27380.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address an Erroneous Reference in Equity 4, Rule 4780(e) 2022-12-19T00:00:00-08:00 2022-12-19T00:00:00-08:00 2022-27380 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27380.pdf https://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27379.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees 2022-12-19T00:00:00-08:00 2022-12-19T00:00:00-08:00 2022-27379 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27379.pdf https://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27378.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees 2022-12-19T00:00:00-08:00 2022-12-19T00:00:00-08:00 2022-27378 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27378.pdf https://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27377.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees 2022-12-19T00:00:00-08:00 2022-12-19T00:00:00-08:00 2022-27377 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27377.pdf https://regulations.justia.com/regulations/fedreg/2022/12/19/2022-27376.html 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 2022-12-19T00:00:00-08:00 2022-12-19T00:00:00-08:00 2022-27376 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-19/pdf/2022-27376.pdf https://regulations.justia.com/regulations/fedreg/2022/12/16/2022-24376.html Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting 2022-12-16T00:00:00-08:00 2022-12-16T00:00:00-08:00 2022-24376 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-24376.pdf https://regulations.justia.com/regulations/fedreg/2022/12/16/2022-27163.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 (Registration Requirements and Restrictions on Membership) 2022-12-16T00:00:00-08:00 2022-12-16T00:00:00-08:00 2022-27163 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-27163.pdf https://regulations.justia.com/regulations/fedreg/2022/12/16/2022-27266.html Notice - Silver Spike Investment Corp., et al. 2022-12-16T00:00:00-08:00 2022-12-16T00:00:00-08:00 2022-27266 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-27266.pdf https://regulations.justia.com/regulations/fedreg/2022/12/16/2022-27257.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees 2022-12-16T00:00:00-08:00 2022-12-16T00:00:00-08:00 2022-27257 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-27257.pdf https://regulations.justia.com/regulations/fedreg/2022/12/16/2022-27256.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees 2022-12-16T00:00:00-08:00 2022-12-16T00:00:00-08:00 2022-27256 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-27256.pdf https://regulations.justia.com/regulations/fedreg/2022/12/16/2022-27255.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Article 17, Rule 5 2022-12-16T00:00:00-08:00 2022-12-16T00:00:00-08:00 2022-27255 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-16/pdf/2022-27255.pdf https://regulations.justia.com/regulations/fedreg/2022/12/15/2022-27168.html Notice - MidCap Financial Investment Corporation, et al. 2022-12-15T00:00:00-08:00 2022-12-15T00:00:00-08:00 2022-27168 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-15/pdf/2022-27168.pdf https://regulations.justia.com/regulations/fedreg/2022/12/15/2022-27162.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule 2022-12-15T00:00:00-08:00 2022-12-15T00:00:00-08:00 2022-27162 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-15/pdf/2022-27162.pdf https://regulations.justia.com/regulations/fedreg/2022/12/15/2022-27161.html Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule 2022-12-15T00:00:00-08:00 2022-12-15T00:00:00-08:00 2022-27161 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-15/pdf/2022-27161.pdf https://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27052.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Providing Clearing Services for Additional Index and Single Name Credit Default Swaps 2022-12-14T00:00:00-08:00 2022-12-14T00:00:00-08:00 2022-27052 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27052.pdf https://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27051.html 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) 2022-12-14T00:00:00-08:00 2022-12-14T00:00:00-08:00 2022-27051 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27051.pdf https://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27043.html Notice - Monroe Capital Corporation, et al. 2022-12-14T00:00:00-08:00 2022-12-14T00:00:00-08:00 2022-27043 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27043.pdf https://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27054.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the Breakwave Tanker Shipping ETF 2022-12-14T00:00:00-08:00 2022-12-14T00:00:00-08:00 2022-27054 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27054.pdf https://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27053.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2022-12-14T00:00:00-08:00 2022-12-14T00:00:00-08:00 2022-27053 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27053.pdf https://regulations.justia.com/regulations/fedreg/2022/12/14/2022-27222.html Notice - Sunshine Act Meetings 2022-12-14T00:00:00-08:00 2022-12-14T00:00:00-08:00 2022-27222 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-14/pdf/2022-27222.pdf https://regulations.justia.com/regulations/fedreg/2022/12/13/2022-26950.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision) To Extend the Temporary Remote Inspection Relief to IEX Members for Calendar Year 2022 2022-12-13T00:00:00-08:00 2022-12-13T00:00:00-08:00 2022-26950 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-13/pdf/2022-26950.pdf https://regulations.justia.com/regulations/fedreg/2022/12/13/2022-26949.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. 2022-12-13T00:00:00-08:00 2022-12-13T00:00:00-08:00 2022-26949 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-13/pdf/2022-26949.pdf https://regulations.justia.com/regulations/fedreg/2022/12/13/2022-27154.html Notice - Sunshine Act Meetings 2022-12-13T00:00:00-08:00 2022-12-13T00:00:00-08:00 2022-27154 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-13/pdf/2022-27154.pdf https://regulations.justia.com/regulations/fedreg/2022/12/13/2022-26961.html Notice - Proposed Collection; Comment Request; Extension: Rule 17f-7 2022-12-13T00:00:00-08:00 2022-12-13T00:00:00-08:00 2022-26961 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-13/pdf/2022-26961.pdf https://regulations.justia.com/regulations/fedreg/2022/12/12/2022-27038.html Notice - Sunshine Act Meetings 2022-12-12T00:00:00-08:00 2022-12-12T00:00:00-08:00 2022-27038 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-27038.pdf https://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26948.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee 2022-12-12T00:00:00-08:00 2022-12-12T00:00:00-08:00 2022-26948 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26948.pdf https://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26898.html Proposed Rule - Reopening of Comment Period for Share Repurchase Disclosure Modernization 2022-12-12T00:00:00-08:00 2022-12-12T00:00:00-08:00 2022-26898 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26898.pdf https://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26944.html Notice - Privacy Act of 1974; System of Records 2022-12-12T00:00:00-08:00 2022-12-12T00:00:00-08:00 2022-26944 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26944.pdf https://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26867.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee 2022-12-12T00:00:00-08:00 2022-12-12T00:00:00-08:00 2022-26867 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26867.pdf https://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26866.html Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees 2022-12-12T00:00:00-08:00 2022-12-12T00:00:00-08:00 2022-26866 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26866.pdf https://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26865.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4753 and Equity 4, Rule 4703 2022-12-12T00:00:00-08:00 2022-12-12T00:00:00-08:00 2022-26865 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26865.pdf https://regulations.justia.com/regulations/fedreg/2022/12/12/2022-26864.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2022-12-12T00:00:00-08:00 2022-12-12T00:00:00-08:00 2022-26864 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-12/pdf/2022-26864.pdf https://regulations.justia.com/regulations/fedreg/2022/12/09/2022-26901.html Notice - Sunshine Act Meetings 2022-12-09T00:00:00-08:00 2022-12-09T00:00:00-08:00 2022-26901 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-09/pdf/2022-26901.pdf https://regulations.justia.com/regulations/fedreg/2022/12/09/2022-26745.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2022-12-09T00:00:00-08:00 2022-12-09T00:00:00-08:00 2022-26745 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-09/pdf/2022-26745.pdf https://regulations.justia.com/regulations/fedreg/2022/12/09/2022-26744.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 17, Rule 5 2022-12-09T00:00:00-08:00 2022-12-09T00:00:00-08:00 2022-26744 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-09/pdf/2022-26744.pdf https://regulations.justia.com/regulations/fedreg/2022/12/09/2022-26817.html Notice - Submission for OMB Review; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C) 2022-12-09T00:00:00-08:00 2022-12-09T00:00:00-08:00 2022-26817 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-09/pdf/2022-26817.pdf https://regulations.justia.com/regulations/fedreg/2022/12/09/2022-26815.html Notice - Submission for OMB Review; Comment Request; Extension: Form N-17D-1 2022-12-09T00:00:00-08:00 2022-12-09T00:00:00-08:00 2022-26815 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-09/pdf/2022-26815.pdf https://regulations.justia.com/regulations/fedreg/2022/12/08/2022-26650.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise 2022-12-08T00:00:00-08:00 2022-12-08T00:00:00-08:00 2022-26650 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-08/pdf/2022-26650.pdf https://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26539.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series 2022-12-07T00:00:00-08:00 2022-12-07T00:00:00-08:00 2022-26539 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26539.pdf https://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26538.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2022-12-07T00:00:00-08:00 2022-12-07T00:00:00-08:00 2022-26538 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26538.pdf https://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26537.html 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 Market Data Fees 2022-12-07T00:00:00-08:00 2022-12-07T00:00:00-08:00 2022-26537 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26537.pdf https://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26536.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Distributions Guide 2022-12-07T00:00:00-08:00 2022-12-07T00:00:00-08:00 2022-26536 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26536.pdf https://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26535.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 2 and Amendment No. 3 and of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Revise the Excess Capital Premium Charge Order 2022-12-07T00:00:00-08:00 2022-12-07T00:00:00-08:00 2022-26535 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26535.pdf https://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26534.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series 2022-12-07T00:00:00-08:00 2022-12-07T00:00:00-08:00 2022-26534 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26534.pdf https://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26533.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 11.190(g) To Provide an Alternative Calculation for Non-Displayed Pegged Order Types for Determining Whether a Quote Instability Condition Exists 2022-12-07T00:00:00-08:00 2022-12-07T00:00:00-08:00 2022-26533 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26533.pdf https://regulations.justia.com/regulations/fedreg/2022/12/07/2022-26541.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. To Reflect the Fee for Directed Orders Routed by the Exchange to an Alternative Trading System 2022-12-07T00:00:00-08:00 2022-12-07T00:00:00-08:00 2022-26541 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-07/pdf/2022-26541.pdf https://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26444.html Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule 2022-12-06T00:00:00-08:00 2022-12-06T00:00:00-08:00 2022-26444 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26444.pdf https://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26443.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series 2022-12-06T00:00:00-08:00 2022-12-06T00:00:00-08:00 2022-26443 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26443.pdf https://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26442.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series 2022-12-06T00:00:00-08:00 2022-12-06T00:00:00-08:00 2022-26442 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26442.pdf https://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26441.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq 100 Micro Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program 2022-12-06T00:00:00-08:00 2022-12-06T00:00:00-08:00 2022-26441 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26441.pdf https://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26440.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series 2022-12-06T00:00:00-08:00 2022-12-06T00:00:00-08:00 2022-26440 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26440.pdf https://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26439.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listed Company Manual Section 302.00 2022-12-06T00:00:00-08:00 2022-12-06T00:00:00-08:00 2022-26439 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26439.pdf https://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26445.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) 2022-12-06T00:00:00-08:00 2022-12-06T00:00:00-08:00 2022-26445 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26445.pdf https://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26426.html Notice - Proposed Collection; Comment Request; Extension: Rule 15b1-1/Form BD 2022-12-06T00:00:00-08:00 2022-12-06T00:00:00-08:00 2022-26426 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26426.pdf https://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26425.html Notice - Proposed Collection; Comment Request; Extension: Regulation SBSR 2022-12-06T00:00:00-08:00 2022-12-06T00:00:00-08:00 2022-26425 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26425.pdf https://regulations.justia.com/regulations/fedreg/2022/12/06/2022-26424.html Notice - Proposed Collection; Comment Request; Extension: Rule 19b-5 and Form PILOT 2022-12-06T00:00:00-08:00 2022-12-06T00:00:00-08:00 2022-26424 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-06/pdf/2022-26424.pdf https://regulations.justia.com/regulations/fedreg/2022/12/05/2022-26330.html Notice - Varagon Capital Corporation, et al. 2022-12-05T00:00:00-08:00 2022-12-05T00:00:00-08:00 2022-26330 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-05/pdf/2022-26330.pdf https://regulations.justia.com/regulations/fedreg/2022/12/05/2022-26336.html Notice - Submission for OMB Review; Comment Request; Extension: Rule 302 2022-12-05T00:00:00-08:00 2022-12-05T00:00:00-08:00 2022-26336 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-05/pdf/2022-26336.pdf https://regulations.justia.com/regulations/fedreg/2022/12/05/2022-26334.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19E 2022-12-05T00:00:00-08:00 2022-12-05T00:00:00-08:00 2022-26334 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-05/pdf/2022-26334.pdf https://regulations.justia.com/regulations/fedreg/2022/12/05/2022-26486.html Notice - Sunshine Act Meetings 2022-12-05T00:00:00-08:00 2022-12-05T00:00:00-08:00 2022-26486 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-05/pdf/2022-26486.pdf https://regulations.justia.com/regulations/fedreg/2022/12/02/2022-26235.html Notice - Joint Industry Plan; Notice of Filing of Partial Amendment No. 1 to an Amendment to the National Market System Plan Governing the Consolidated Audit Trail 2022-12-02T00:00:00-08:00 2022-12-02T00:00:00-08:00 2022-26235 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-02/pdf/2022-26235.pdf https://regulations.justia.com/regulations/fedreg/2022/12/02/2022-26234.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 10.3 Regarding Margin Requirements 2022-12-02T00:00:00-08:00 2022-12-02T00:00:00-08:00 2022-26234 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-02/pdf/2022-26234.pdf https://regulations.justia.com/regulations/fedreg/2022/12/02/2022-26233.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees 2022-12-02T00:00:00-08:00 2022-12-02T00:00:00-08:00 2022-26233 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-02/pdf/2022-26233.pdf https://regulations.justia.com/regulations/fedreg/2022/12/02/2022-26232.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees 2022-12-02T00:00:00-08:00 2022-12-02T00:00:00-08:00 2022-26232 Notice https://www.govinfo.gov/content/pkg/FR-2022-12-02/pdf/2022-26232.pdf https://regulations.justia.com/regulations/fedreg/2022/12/02/2022-26133.html Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 2022-12-02T00:00:00-08:00 2022-12-02T00:00:00-08:00 2022-26133 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2022-12-02/pdf/2022-26133.pdf https://regulations.justia.com/regulations/fedreg/2022/11/30/2022-26106.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2022-11-30T00:00:00-08:00 2022-11-30T00:00:00-08:00 2022-26106 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-30/pdf/2022-26106.pdf https://regulations.justia.com/regulations/fedreg/2022/11/30/2022-26076.html 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 2022-11-30T00:00:00-08:00 2022-11-30T00:00:00-08:00 2022-26076 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-30/pdf/2022-26076.pdf https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25956.html Notice - Cantor Fitzgerald Sustainable Infrastructure Fund and Cantor Fitzgerald Investment Advisors, L.P. 2022-11-29T00:00:00-08:00 2022-11-29T00:00:00-08:00 2022-25956 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25956.pdf https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25950.html 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 2022-11-29T00:00:00-08:00 2022-11-29T00:00:00-08:00 2022-25950 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25950.pdf https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25949.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 104 2022-11-29T00:00:00-08:00 2022-11-29T00:00:00-08:00 2022-25949 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25949.pdf https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25948.html 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 2022-11-29T00:00:00-08:00 2022-11-29T00:00:00-08:00 2022-25948 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25948.pdf https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25947.html 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 2022-11-29T00:00:00-08:00 2022-11-29T00:00:00-08:00 2022-25947 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25947.pdf https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25945.html 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 2022-11-29T00:00:00-08:00 2022-11-29T00:00:00-08:00 2022-25945 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25945.pdf https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-25943.html 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 2022-11-29T00:00:00-08:00 2022-11-29T00:00:00-08:00 2022-25943 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-25943.pdf https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26051.html 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) 2022-11-29T00:00:00-08:00 2022-11-29T00:00:00-08:00 2022-26051 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-26051.pdf https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26045.html 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 2022-11-29T00:00:00-08:00 2022-11-29T00:00:00-08:00 2022-26045 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-26045.pdf https://regulations.justia.com/regulations/fedreg/2022/11/29/2022-26044.html 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 2022-11-29T00:00:00-08:00 2022-11-29T00:00:00-08:00 2022-26044 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-29/pdf/2022-26044.pdf https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-23757.html Rule - Listing Standards for Recovery of Erroneously Awarded Compensation 2022-11-28T00:00:00-08:00 2022-11-28T00:00:00-08:00 2022-23757 Rule https://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-23757.pdf https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25789.html Notice - Prospect Floating Rate and Alternative Income Fund, Inc. and Prospect Capital Management L.P. 2022-11-28T00:00:00-08:00 2022-11-28T00:00:00-08:00 2022-25789 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-25789.pdf https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25787.html 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 2022-11-28T00:00:00-08:00 2022-11-28T00:00:00-08:00 2022-25787 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-25787.pdf https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-25786.html 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 2022-11-28T00:00:00-08:00 2022-11-28T00:00:00-08:00 2022-25786 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-25786.pdf https://regulations.justia.com/regulations/fedreg/2022/11/28/2022-26014.html Notice - Sunshine Act Meetings 2022-11-28T00:00:00-08:00 2022-11-28T00:00:00-08:00 2022-26014 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-28/pdf/2022-26014.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-23756.html Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-23756 Rule https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-23756.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25927.html Notice - Sunshine Act Meetings 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25927 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25927.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25665.html Notice - Order Cancelling Registrations of Certain Transfer Agents 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25665 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25665.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25664.html 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”) 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25664 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25664.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25663.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Modify IEX Rule 11.190(b)(7) 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25663 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25663.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25662.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to ICE Clear Europe Operational Risk and Resilience Policy 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25662 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25662.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25685.html 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 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25685 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25685.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25673.html 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 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25673 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25673.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25672.html 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 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25672 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25672.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25671.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25671 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25671.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25670.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25670 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25670.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25669.html 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 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25669 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25669.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25668.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25668 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25668.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25667.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25667 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25667.pdf https://regulations.justia.com/regulations/fedreg/2022/11/25/2022-25666.html 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) 2022-11-25T00:00:00-08:00 2022-11-25T00:00:00-08:00 2022-25666 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-25/pdf/2022-25666.pdf https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25475.html 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 2022-11-23T00:00:00-08:00 2022-11-23T00:00:00-08:00 2022-25475 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25475.pdf https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25474.html 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 2022-11-23T00:00:00-08:00 2022-11-23T00:00:00-08:00 2022-25474 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25474.pdf https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25473.html 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 2022-11-23T00:00:00-08:00 2022-11-23T00:00:00-08:00 2022-25473 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25473.pdf https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25472.html 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 2022-11-23T00:00:00-08:00 2022-11-23T00:00:00-08:00 2022-25472 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25472.pdf https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25471.html 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 2022-11-23T00:00:00-08:00 2022-11-23T00:00:00-08:00 2022-25471 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25471.pdf https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25470.html 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) 2022-11-23T00:00:00-08:00 2022-11-23T00:00:00-08:00 2022-25470 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25470.pdf https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25476.html 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 2022-11-23T00:00:00-08:00 2022-11-23T00:00:00-08:00 2022-25476 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25476.pdf https://regulations.justia.com/regulations/fedreg/2022/11/23/2022-25621.html Notice - Hennessy Funds Trust, et al. 2022-11-23T00:00:00-08:00 2022-11-23T00:00:00-08:00 2022-25621 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-23/pdf/2022-25621.pdf https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25359.html 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 2022-11-22T00:00:00-08:00 2022-11-22T00:00:00-08:00 2022-25359 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25359.pdf https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25358.html 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 2022-11-22T00:00:00-08:00 2022-11-22T00:00:00-08:00 2022-25358 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25358.pdf https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25357.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 6.41P-O 2022-11-22T00:00:00-08:00 2022-11-22T00:00:00-08:00 2022-25357 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25357.pdf https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25356.html 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 2022-11-22T00:00:00-08:00 2022-11-22T00:00:00-08:00 2022-25356 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25356.pdf https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25355.html 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 2022-11-22T00:00:00-08:00 2022-11-22T00:00:00-08:00 2022-25355 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25355.pdf https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25354.html 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 2022-11-22T00:00:00-08:00 2022-11-22T00:00:00-08:00 2022-25354 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25354.pdf https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25353.html 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 2022-11-22T00:00:00-08:00 2022-11-22T00:00:00-08:00 2022-25353 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25353.pdf https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25352.html 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 2022-11-22T00:00:00-08:00 2022-11-22T00:00:00-08:00 2022-25352 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25352.pdf https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25346.html Notice - Submission for OMB Review; Comment Request; Extension: Rule 17Ad-10 2022-11-22T00:00:00-08:00 2022-11-22T00:00:00-08:00 2022-25346 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25346.pdf https://regulations.justia.com/regulations/fedreg/2022/11/22/2022-25425.html 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 2022-11-22T00:00:00-08:00 2022-11-22T00:00:00-08:00 2022-25425 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-22/pdf/2022-25425.pdf https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25234.html 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 2022-11-21T00:00:00-08:00 2022-11-21T00:00:00-08:00 2022-25234 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25234.pdf https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25233.html 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 2022-11-21T00:00:00-08:00 2022-11-21T00:00:00-08:00 2022-25233 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25233.pdf https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25232.html 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 2022-11-21T00:00:00-08:00 2022-11-21T00:00:00-08:00 2022-25232 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25232.pdf https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25231.html 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) 2022-11-21T00:00:00-08:00 2022-11-21T00:00:00-08:00 2022-25231 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25231.pdf https://regulations.justia.com/regulations/fedreg/2022/11/21/2022-25225.html Notice - Proposed Collection; Comment Request; Extension: Notice of Exempt Preliminary Roll-Up Communication 2022-11-21T00:00:00-08:00 2022-11-21T00:00:00-08:00 2022-25225 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-21/pdf/2022-25225.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25237.html 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 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25237 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25237.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25235.html 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) 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25235 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25235.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25230.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25230 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25230.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25226.html Notice - Proposed Collection; Comment Request; Extension: Rule 155 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25226 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25226.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25224.html Notice - Trinity Capital Inc. 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25224 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25224.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25088.html 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 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25088 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25088.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25087.html Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25087 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25087.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25105.html Notice - Proposed Collection; Comment Request; Extension: Schedule 13E-4F 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25105 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25105.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25104.html Notice - Proposed Collection; Comment Request; Extension: 7a-15 Through 7a-37 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25104 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25104.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25102.html Notice - Submission for OMB Review; Comment Request; Extension: Rule 17Ab2-2 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25102 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25102.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25101.html Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-6 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25101 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25101.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25100.html Notice - Submission for OMB Review; Comment Request; Extension: Rules 13n-4(b)(9), (b)(10) and (d) 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25100 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25100.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25099.html Notice - Submission for OMB Review; Comment Request; Extension: Rule 22c-1 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25099 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25099.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25098.html Notice - Submission for OMB Review; Comment Request; Extension: Rule 204-5 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25098 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25098.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25097.html Notice - Submission for OMB Review; Comment Request; Extension: Rule 6c-11 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25097 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25097.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25096.html Notice - Proposed Collection; Comment Request; Extension: Rule 3a71-3(d) 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25096 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25096.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25095.html Notice - Proposed Collection; Comment Request; Extension: Rule 10b-10 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25095 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25095.pdf https://regulations.justia.com/regulations/fedreg/2022/11/18/2022-25089.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2022-11-18T00:00:00-08:00 2022-11-18T00:00:00-08:00 2022-25089 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-18/pdf/2022-25089.pdf https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24895.html 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 2022-11-16T00:00:00-08:00 2022-11-16T00:00:00-08:00 2022-24895 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24895.pdf https://regulations.justia.com/regulations/fedreg/2022/11/16/2022-24894.html 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 2022-11-16T00:00:00-08:00 2022-11-16T00:00:00-08:00 2022-24894 Notice https://www.govinfo.gov/content/pkg/FR-2022-11-16/pdf/2022-24894.pdf