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

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.