Securities and Exchange Commission 2022 – Federal Register Recent Federal Regulation Documents

Results 351 - 400 of 1,219
Main Street Capital Corporation, et al.
Document Number: 2022-22419
Type: Notice
Date: 2022-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/17/2022-22419.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Document Number: 2022-22345
Type: Notice
Date: 2022-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/14/2022-22345.html
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
Document Number: 2022-22280
Type: Notice
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22280.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Extend the Waiver Period for Certain Non-Transaction Fees and To Extend the SPIKES Options Market Maker Incentive Program Until December 31, 2022
Document Number: 2022-22277
Type: Notice
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22277.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Document Number: 2022-22181
Type: Notice
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22181.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Facility Fees Section in the Fees Schedule in Connection With the Exchange's New Trading Floor
Document Number: 2022-22180
Type: Notice
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22180.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 Concerning Drill-Through Protection and Fat Finger Check
Document Number: 2022-22179
Type: Notice
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22179.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 Concerning Drill-Through Protection and Fat Finger Check
Document Number: 2022-22178
Type: Notice
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22178.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 Concerning Drill-Through Protection and Fat Finger Check
Document Number: 2022-22177
Type: Notice
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22177.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Two Pilot Programs
Document Number: 2022-22176
Type: Notice
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22176.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Two Pilot Programs
Document Number: 2022-22175
Type: Notice
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22175.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
Document Number: 2022-22174
Type: Notice
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22174.html
Adoption of Updated EDGAR Filer Manual
Document Number: 2022-22194
Type: Rule
Date: 2022-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to Volume II of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``Filer Manual'') and related rules and forms. The EDGAR system was upgraded on September 19, 2022.
https://regulations.justia.com/regulations/fedreg/2022/10/13/2022-22194.html
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Document Number: 2022-22082
Type: Notice
Date: 2022-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/12/2022-22082.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Waive Certain Port-Related Fees at Equity 7, Section 3
Document Number: 2022-22081
Type: Notice
Date: 2022-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/12/2022-22081.html
Submission for OMB Review; Comment Request; Extension: Form F-4
Document Number: 2022-22098
Type: Notice
Date: 2022-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/12/2022-22098.html
Submission for OMB Review; Comment Request; Extension: Form S-4
Document Number: 2022-22097
Type: Notice
Date: 2022-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/12/2022-22097.html
Submission for OMB Review; Comment Request; Extension: Rule 18a-4
Document Number: 2022-22096
Type: Notice
Date: 2022-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/12/2022-22096.html
Submission for OMB Review; Comment Request; Extension: Form F-1
Document Number: 2022-22095
Type: Notice
Date: 2022-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/12/2022-22095.html
Submission for OMB Review; Comment Request; Extension: Form F-7
Document Number: 2022-22094
Type: Notice
Date: 2022-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/12/2022-22094.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 5.34(b) Related to Price Protections and Risk Controls for Complex Orders
Document Number: 2022-22083
Type: Notice
Date: 2022-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/12/2022-22083.html
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
Document Number: 2022-21989
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21989.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2022-21988
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21988.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2022-21987
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21987.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2022-21986
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21986.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Document Number: 2022-21985
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21985.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality
Document Number: 2022-21984
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21984.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2022-21983
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21983.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting 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
Document Number: 2022-21982
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21982.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend BZX Rule 11.28(a) To Extend the MOC Cut-Off Time
Document Number: 2022-21981
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21981.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2022-21980
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21980.html
Submission for OMB Review; Comment Request; Extension: Form 10
Document Number: 2022-21956
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21956.html
Submission for OMB Review; Comment Request; Extension: Industry Guide
Document Number: 2022-21955
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21955.html
Submission for OMB Review; Comment Request; Extension: Form 20-F
Document Number: 2022-21954
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21954.html
Submission for OMB Review; Comment Request; Extension: Form 18-K
Document Number: 2022-21960
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21960.html
Submission for OMB Review; Comment Request; Extension: Rule 12d1-3
Document Number: 2022-21959
Type: Notice
Date: 2022-10-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/11/2022-21959.html
Sunshine Act Meetings
Document Number: 2022-21909
Type: Notice
Date: 2022-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/06/2022-21909.html
Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940
Document Number: 2022-21687
Type: Notice
Date: 2022-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On April 22, 2021, August 25, 2021, November 3, 2021 and May 20, 2022, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $238,121 incurred in connection with the liquidation were paid by the applicant. Filing Date: The application was filed on September 2, 2022. Applicant's Address: Alexander.Karampatsos@dechert.com.
https://regulations.justia.com/regulations/fedreg/2022/10/06/2022-21687.html
Self-Regulatory Organizations; BOX Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Article 4 of the Exchange's Bylaws To Establish a Staggered Board
Document Number: 2022-21677
Type: Notice
Date: 2022-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/06/2022-21677.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Exchange To Declare a Regulatory Halt
Document Number: 2022-21561
Type: Notice
Date: 2022-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/05/2022-21561.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Document Number: 2022-21560
Type: Notice
Date: 2022-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/05/2022-21560.html
Neuberger Berman BDC LLC, et al.
Document Number: 2022-21540
Type: Notice
Date: 2022-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/05/2022-21540.html
Constitution Capital Private Markets Fund, LLC and Constitution Capital PM, LP
Document Number: 2022-21645
Type: Notice
Date: 2022-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/05/2022-21645.html
Proposed Collection; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 Through 14c-7 and Schedule 14C)
Document Number: 2022-21446
Type: Notice
Date: 2022-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/04/2022-21446.html
Submission for OMB Review; Comment Request; Extension: Rule 31a-2
Document Number: 2022-21445
Type: Notice
Date: 2022-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/04/2022-21445.html
Proposed Collection; Comment Request; Extension: Form N-17D-1
Document Number: 2022-21444
Type: Notice
Date: 2022-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/04/2022-21444.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings
Document Number: 2022-21435
Type: Notice
Date: 2022-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/04/2022-21435.html
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity Fees
Document Number: 2022-21339
Type: Notice
Date: 2022-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/03/2022-21339.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule
Document Number: 2022-21338
Type: Notice
Date: 2022-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/03/2022-21338.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise
Document Number: 2022-21337
Type: Notice
Date: 2022-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/10/03/2022-21337.html
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