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

Results 1 - 50 of 132
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 107B
Document Number: 2023-01882
Type: Notice
Date: 2023-01-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/31/2023-01882.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.1 Concerning All-or-None Orders With the Size of One Contract
Document Number: 2023-01881
Type: Notice
Date: 2023-01-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/31/2023-01881.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures
Document Number: 2023-01880
Type: Notice
Date: 2023-01-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/31/2023-01880.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)
Document Number: 2023-01879
Type: Notice
Date: 2023-01-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/31/2023-01879.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015
Document Number: 2023-01878
Type: Notice
Date: 2023-01-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/31/2023-01878.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving 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
Document Number: 2023-01983
Type: Notice
Date: 2023-01-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/31/2023-01983.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Limited Liability Company Agreement, in Connection With the Name Change of Unit Holder and Make Conforming Changes to the Amended and Restated Limited Liability Company Agreement of Its Facility BOX Market LLC
Document Number: 2023-01746
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01746.html
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
Document Number: 2023-01745
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01745.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: 2023-01744
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01744.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.44-E Relating to the Retail Liquidity Program
Document Number: 2023-01743
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01743.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge
Document Number: 2023-01742
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01742.html
Submission for OMB Review; Comment Request; Extension: Rule 18f-1 and Form N-18f-1
Document Number: 2023-01741
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01741.html
Submission for OMB Review; Comment Request; Extension: Rule 602
Document Number: 2023-01740
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01740.html
Submission for OMB Review; Comment Request; Extension: Rule 201 and Rule 200(g) of Regulation SHO
Document Number: 2023-01739
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01739.html
AEW Capital Management, L.P.
Document Number: 2023-01737
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01737.html
Fidelity Private Credit Fund and Fidelity Diversifying Solutions LLC
Document Number: 2023-01735
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01735.html
Sunshine Act Meetings
Document Number: 2023-01972
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/30/2023-01972.html
Regulation Best Execution
Document Number: 2022-27644
Type: Proposed Rule
Date: 2023-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing new rules under the Securities Exchange Act of 1934 (``Exchange Act'') relating to a broker-dealer's duty of best execution. Proposed Regulation Best Execution would enhance the existing regulatory framework concerning the duty of best execution by requiring detailed policies and procedures for all broker-dealers and more robust policies and procedures for broker-dealers engaging in certain conflicted transactions with retail customers, as well as related review and documentation requirements.
https://regulations.justia.com/regulations/fedreg/2023/01/27/2022-27644.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31(i)(2)
Document Number: 2023-01628
Type: Notice
Date: 2023-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/27/2023-01628.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add Violations of Article 6, Rule 13 to the List of Minor Rule Violations in Rule 10.9217
Document Number: 2023-01627
Type: Notice
Date: 2023-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/27/2023-01627.html
Submission for OMB Review; Comment Request; Extension: Notice of Exempt Preliminary Roll-Up Communication
Document Number: 2023-01615
Type: Notice
Date: 2023-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/27/2023-01615.html
Submission for OMB Review; Comment Request; Extension: Rule 15Fi-2
Document Number: 2023-01614
Type: Notice
Date: 2023-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/27/2023-01614.html
Submission for OMB Review; Comment Request; Extension: Rule 19b-4 and Form 19b-4
Document Number: 2023-01613
Type: Notice
Date: 2023-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/27/2023-01613.html
Order Making Fiscal Year 2023 Annual Adjustments to Transaction Fee Rates
Document Number: 2023-01578
Type: Notice
Date: 2023-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/26/2023-01578.html
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, as Modified by Partial Amendment No. 1
Document Number: 2023-01529
Type: Notice
Date: 2023-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/26/2023-01529.html
Proposed Collection; Comment Request; Extension: Rule 15c3-1
Document Number: 2023-01519
Type: Notice
Date: 2023-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/26/2023-01519.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a New Service and Related Fees for Use of the BOX Options Market LLC (“BOX”) Trade Management System
Document Number: 2023-01516
Type: Notice
Date: 2023-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/26/2023-01516.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Clearing Fees for ICE Futures Europe Gilt Futures and Options and Euribor Options Contracts
Document Number: 2023-01515
Type: Notice
Date: 2023-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/26/2023-01515.html
Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees
Document Number: 2023-01514
Type: Notice
Date: 2023-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/26/2023-01514.html
Sunshine Act Meetings
Document Number: 2023-01579
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01579.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E(i)(2)
Document Number: 2023-01409
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01409.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedules
Document Number: 2023-01407
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01407.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31(i)(2)
Document Number: 2023-01406
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01406.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List
Document Number: 2023-01403
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01403.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule
Document Number: 2023-01402
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01402.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E(i)(2)
Document Number: 2023-01401
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01401.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31(i)(2)
Document Number: 2023-01412
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01412.html
Submission for OMB Review; Comment Request; Extension: Rule 155.EXT
Document Number: 2023-01428
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01428.html
GuideStone Funds and GuideStone Capital Management, LLC
Document Number: 2023-01398
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01398.html
Calmwater Asset Management, LLC
Document Number: 2023-01397
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/01/25/2023-01397.html
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
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