Securities and Exchange Commission January 24, 2023 – Federal Register Recent Federal Regulation Documents

Adoption of Updated EDGAR Filer Manual

Document Number: 2023-01200

Type: Rule

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission (``Commission'') is adopting amendments to Volumes I and II of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``Filer Manual'') and related rules and forms. EDGAR Releases 22.4 and 22.4.1 will be deployed in the EDGAR system on December 19, 2022, and January 3, 2023, respectively.

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01200.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9132, 10.9133, 10.9135, 10.9146, 10.9522, 10.9524, 10.9559 and 10.9630

Document Number: 2023-01267

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01267.html

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rules 9132, 9133, 9135, 9146, 9522, 9524, 9559 and 9630

Document Number: 2023-01266

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01266.html

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 9132, 9133, 9135, 9146, 9522, 9524, 9559 and 9630

Document Number: 2023-01265

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01265.html

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses

Document Number: 2023-01264

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01264.html

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Make Permanent the Operation of Its Program That Allows the Exchange To List P.M.-Settled Third Friday-of-the-Month S&P 500 Stock Index (“S&P 500”) Options (“SPX”) Series

Document Number: 2023-01260

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01260.html

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 7.31E

Document Number: 2023-01259

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01259.html

Forum Real Estate Income Fund, et al.

Document Number: 2023-01247

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01247.html

Submission for OMB Review; Comment Request; Extension: Trust Indenture Act Rules 7a-15 Through 7a-37

Document Number: 2023-01246

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01246.html

Submission for OMB Review; Comment Request: Extension: Rule 17a-14 and Form CRS

Document Number: 2023-01254

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01254.html

Submission for OMB Review; Comment Request; Extension: Rule 10b-10

Document Number: 2023-01251

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01251.html

Submission for OMB Review; Comment Request; Extension: Rule 3a71-3(d)

Document Number: 2023-01250

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01250.html

Proposed Collection; Comment Request; Extension: Rule 15c2-5

Document Number: 2023-01249

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01249.html

Submission for OMB Review; Comment Request; Extension: Schedule 13E-4F

Document Number: 2023-01248

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01248.html

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31

Document Number: 2023-01277

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01277.html

Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the CDSClear Fee Grid for 2023

Document Number: 2023-01276

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01276.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 Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)

Document Number: 2023-01275

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01275.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule

Document Number: 2023-01274

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01274.html

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31

Document Number: 2023-01273

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01273.html

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31

Document Number: 2023-01272

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01272.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31-E

Document Number: 2023-01271

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01271.html

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Liquidity Risk Model Framework

Document Number: 2023-01270

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01270.html

Self-Regulatory Organizations; NYSE National Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9132, 10.9133, 10.9135, 10.9146, 10.9522, 10.9524, 10.9559 and 10.9630

Document Number: 2023-01269

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01269.html

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9132, 10.9133, 10.9135, 10.9146, 10.9522, 10.9524, 10.9559 and 10.9630

Document Number: 2023-01268

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01268.html

Sunshine Act Meetings

Document Number: 2023-01430

Type: Notice

Date: 2023-01-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/01/24/2023-01430.html