<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/02?registers=between&min-day=1&max-day=28 Fri, 17 May 2024 04:23:34 -0700 Fri, 17 May 2024 04:23:34 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/02?registers=between&min-day=1&max-day=28 Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees the Exchange Charges Companies Seeking Review of a Delisting Determination, Public Reprimand Letter, or Written Denial of an Initial Listing Application https://regulations.justia.com/regulations/fedreg/2023/02/28/2023-04033.html https://regulations.justia.com/regulations/fedreg/2023/02/28/2023-04033.html Tue, 28 Feb 2023 00:00:00 -0800 2023-04033 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-28/pdf/2023-04033.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Increase Position Limits for Options on Apple Inc. Stock https://regulations.justia.com/regulations/fedreg/2023/02/28/2023-04032.html https://regulations.justia.com/regulations/fedreg/2023/02/28/2023-04032.html Tue, 28 Feb 2023 00:00:00 -0800 2023-04032 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-28/pdf/2023-04032.pdf 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 Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Periods https://regulations.justia.com/regulations/fedreg/2023/02/28/2023-04031.html https://regulations.justia.com/regulations/fedreg/2023/02/28/2023-04031.html Tue, 28 Feb 2023 00:00:00 -0800 2023-04031 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-28/pdf/2023-04031.pdf Rule - Extending Form 144 EDGAR Filing Hours https://regulations.justia.com/regulations/fedreg/2023/02/27/2023-03931.html https://regulations.justia.com/regulations/fedreg/2023/02/27/2023-03931.html Mon, 27 Feb 2023 00:00:00 -0800 2023-03931 Rule https://www.govinfo.gov/content/pkg/FR-2023-02-27/pdf/2023-03931.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/02/27/2023-03907.html https://regulations.justia.com/regulations/fedreg/2023/02/27/2023-03907.html Mon, 27 Feb 2023 00:00:00 -0800 2023-03907 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-27/pdf/2023-03907.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/02/27/2023-04079.html https://regulations.justia.com/regulations/fedreg/2023/02/27/2023-04079.html Mon, 27 Feb 2023 00:00:00 -0800 2023-04079 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-27/pdf/2023-04079.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03873.html https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03873.html Thu, 23 Feb 2023 00:00:00 -0800 2023-03873 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03873.pdf Notice - The RBB Fund, Inc., et al. https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03777.html https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03777.html Thu, 23 Feb 2023 00:00:00 -0800 2023-03777 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03777.pdf Notice - The RBB Fund, Inc., et al. https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03776.html https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03776.html Thu, 23 Feb 2023 00:00:00 -0800 2023-03776 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03776.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03774.html https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03774.html Thu, 23 Feb 2023 00:00:00 -0800 2023-03774 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03774.pdf Notice - Proposed Collection; Comment Request; Extension: Form N-3 https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03771.html https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03771.html Thu, 23 Feb 2023 00:00:00 -0800 2023-03771 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03771.pdf Notice - J.P. Morgan Investment Management Inc. https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03675.html https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03675.html Thu, 23 Feb 2023 00:00:00 -0800 2023-03675 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03675.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.44 Relating to the Retail Liquidity Program https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03699.html https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03699.html Thu, 23 Feb 2023 00:00:00 -0800 2023-03699 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03699.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments Part Q of its White Sugar Delivery Procedures https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03698.html https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03698.html Thu, 23 Feb 2023 00:00:00 -0800 2023-03698 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03698.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 7 https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03697.html https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03697.html Thu, 23 Feb 2023 00:00:00 -0800 2023-03697 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03697.pdf 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 https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03696.html https://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03696.html Thu, 23 Feb 2023 00:00:00 -0800 2023-03696 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03696.pdf Unknown - Regulatory Flexibility Agenda https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-02043.html https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-02043.html Wed, 22 Feb 2023 00:00:00 -0800 2023-02043 Unknown https://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-02043.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments of the ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03581.html https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03581.html Wed, 22 Feb 2023 00:00:00 -0800 2023-03581 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03581.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Applicable Exchange Rules, Usage of Data Feeds, To Disclose That the Exchange Will Utilize Direct Data Feeds From MEMX LLC https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03580.html https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03580.html Wed, 22 Feb 2023 00:00:00 -0800 2023-03580 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03580.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Applicable Exchange Rules, Usage of Data Feeds, To Disclose That the Exchange Will Utilize Direct Data Feeds From MEMX LLC https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03579.html https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03579.html Wed, 22 Feb 2023 00:00:00 -0800 2023-03579 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03579.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 5910 and 5920 To Remove Expired and Obsolete Provisions https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03577.html https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03577.html Wed, 22 Feb 2023 00:00:00 -0800 2023-03577 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03577.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of Modifications to the FICC Government Securities Division Rulebook https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03576.html https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03576.html Wed, 22 Feb 2023 00:00:00 -0800 2023-03576 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03576.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Implementation Date of Revisions Relating to Excess Capital Premium Charge https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03583.html https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03583.html Wed, 22 Feb 2023 00:00:00 -0800 2023-03583 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03583.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Recently-Approved Changes to IEX Rule 11.190(g) That Are Designed To Provide an Alternative Calculation for Pegged Order Types for Determining Whether a Quote Instability Condition Exists https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03582.html https://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03582.html Wed, 22 Feb 2023 00:00:00 -0800 2023-03582 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03582.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03650.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03650.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03650 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03650.pdf Proposed Rule - The Commission's Privacy Act Regulations https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03467.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03467.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03467 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03467.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Order-to-Trade Ratio Fees https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03487.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03487.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03487 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03487.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing Schedule at Options 7, Section 3 To Modify the PIM Break-Up Rebate https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03486.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03486.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03486 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03486.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Pricing Schedule at Options 7, Section 6 To Modify the Crossing Fee Cap https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03485.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03485.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03485 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03485.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 4 (Complex Order Fees) https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03484.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03484.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03484 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03484.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Pricing Schedule at Options 7, Section 3 https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03483.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03483.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03483 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03483.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.19E Pertaining to Pre-Trade Risk Controls https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03482.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03482.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03482 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03482.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19-E Pertaining to Pre-Trade Risk Controls https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03481.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03481.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03481 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03481.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19 Pertaining to Pre-trade Risk Controls https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03480.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03480.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03480 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03480.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX Pricing Schedule at Options 7, Section 3 To Add a New Priority Customer Maker Rebate https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03479.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03479.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03479 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03479.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Rule 11.25 To Permit Mid-Point Peg Orders Entered as Periodic Auction Eligible Orders To Contain an Instruction To Not Execute in a Locked Market https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03478.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03478.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03478 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03478.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 1.160 https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03477.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03477.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03477 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03477.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03476.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03476.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03476 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03476.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Applicable Exchange Rules, Usage of Data Feeds, To Disclose That the Exchange Will Utilize Direct Data Feeds From MEMX LLC https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03475.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03475.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03475 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03475.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03474.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03474.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03474 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03474.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Applicable Exchange Rules, Usage of Data Feeds, To Disclose That the Exchange Will Utilize Direct Data Feeds From MEMX LLC https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03473.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03473.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03473 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03473.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19 Pertaining to Pre-Trade Risk Controls https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03472.html https://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03472.html Tue, 21 Feb 2023 00:00:00 -0800 2023-03472 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03472.pdf Notice - Carlyle AlpInvest Private Markets Fund, et al. https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03342.html https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03342.html Fri, 17 Feb 2023 00:00:00 -0800 2023-03342 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03342.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17f-7 https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03337.html https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03337.html Fri, 17 Feb 2023 00:00:00 -0800 2023-03337 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03337.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2618 To Add Optional Risk Control Settings https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03335.html https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03335.html Fri, 17 Feb 2023 00:00:00 -0800 2023-03335 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03335.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.4-O https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03334.html https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03334.html Fri, 17 Feb 2023 00:00:00 -0800 2023-03334 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03334.pdf 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 Section 5 and Equity 2 Section 11 https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03333.html https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03333.html Fri, 17 Feb 2023 00:00:00 -0800 2023-03333 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03333.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 903 https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03332.html https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03332.html Fri, 17 Feb 2023 00:00:00 -0800 2023-03332 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03332.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03331.html https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03331.html Fri, 17 Feb 2023 00:00:00 -0800 2023-03331 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03331.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03330.html https://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03330.html Fri, 17 Feb 2023 00:00:00 -0800 2023-03330 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03330.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed https://regulations.justia.com/regulations/fedreg/2023/02/16/2023-03252.html https://regulations.justia.com/regulations/fedreg/2023/02/16/2023-03252.html Thu, 16 Feb 2023 00:00:00 -0800 2023-03252 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-16/pdf/2023-03252.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed https://regulations.justia.com/regulations/fedreg/2023/02/16/2023-03251.html https://regulations.justia.com/regulations/fedreg/2023/02/16/2023-03251.html Thu, 16 Feb 2023 00:00:00 -0800 2023-03251 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-16/pdf/2023-03251.pdf 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 https://regulations.justia.com/regulations/fedreg/2023/02/16/2023-03250.html https://regulations.justia.com/regulations/fedreg/2023/02/16/2023-03250.html Thu, 16 Feb 2023 00:00:00 -0800 2023-03250 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-16/pdf/2023-03250.pdf 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 https://regulations.justia.com/regulations/fedreg/2023/02/16/2023-03249.html https://regulations.justia.com/regulations/fedreg/2023/02/16/2023-03249.html Thu, 16 Feb 2023 00:00:00 -0800 2023-03249 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-16/pdf/2023-03249.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fees Schedule Concerning Membership Fees and Market Maker Appointment Fees https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03160.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03160.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03160 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03160.pdf Notice - Proposed Collection; Comment Request; Extension: Customer Account Statements https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03154.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03154.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03154 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03154.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 101 https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03233.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03233.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03233 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03233.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 103 https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03232.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03232.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03232 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03232.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 17a-2 https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03231.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03231.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03231 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03231.pdf Notice - Proposed Collection; Comment Request: Extension; “Ombudsman Matter Management System Submission Form” https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03230.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03230.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03230 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03230.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03169.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03169.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03169 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03169.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03168.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03168.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03168 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03168.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03167.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03167.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03167 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03167.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03166.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03166.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03166 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03166.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1308, Supervision of Accounts https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03165.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03165.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03165 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03165.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(e) To Offer Users an Additional Option for How To Apply the Exchange's Existing Anti-Internalization Functionality to Their Orders https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03164.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03164.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03164 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03164.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Alternative Display Facility New Entrant https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03163.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03163.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03163 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03163.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time for Cboe Market Close https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03162.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03162.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03162 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03162.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Select Customer Options Reduction Program https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03161.html https://regulations.justia.com/regulations/fedreg/2023/02/15/2023-03161.html Wed, 15 Feb 2023 00:00:00 -0800 2023-03161 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-15/pdf/2023-03161.pdf Proposed Rule - Prohibition Against Conflicts of Interest in Certain Securitizations https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-02003.html https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-02003.html Tue, 14 Feb 2023 00:00:00 -0800 2023-02003 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2023-02-14/pdf/2023-02003.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule for the Cboe Silexx Platform https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03061.html https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03061.html Tue, 14 Feb 2023 00:00:00 -0800 2023-03061 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-14/pdf/2023-03061.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and To Amend MSRB Rule G-8, on Books and Records https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03060.html https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03060.html Tue, 14 Feb 2023 00:00:00 -0800 2023-03060 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-14/pdf/2023-03060.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03059.html https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03059.html Tue, 14 Feb 2023 00:00:00 -0800 2023-03059 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-14/pdf/2023-03059.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531, Reports and Market Data Products, To Provide for the New “Liquidity Taker Event Report-Resting Simple Orders” https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03058.html https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03058.html Tue, 14 Feb 2023 00:00:00 -0800 2023-03058 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-14/pdf/2023-03058.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531, Reports and Market Data Products, To Provide for the New “Liquidity Taker Event Report-Resting Simple Orders” https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03057.html https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03057.html Tue, 14 Feb 2023 00:00:00 -0800 2023-03057 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-14/pdf/2023-03057.pdf Notice - Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03056.html https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03056.html Tue, 14 Feb 2023 00:00:00 -0800 2023-03056 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-14/pdf/2023-03056.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03055.html https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03055.html Tue, 14 Feb 2023 00:00:00 -0800 2023-03055 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-14/pdf/2023-03055.pdf Notice - Order Regarding Review of FASB Accounting Support Fee for 2023 Under the Sarbanes-Oxley Act of 2002 https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03077.html https://regulations.justia.com/regulations/fedreg/2023/02/14/2023-03077.html Tue, 14 Feb 2023 00:00:00 -0800 2023-03077 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-14/pdf/2023-03077.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/02/13/2023-03096.html https://regulations.justia.com/regulations/fedreg/2023/02/13/2023-03096.html Mon, 13 Feb 2023 00:00:00 -0800 2023-03096 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-13/pdf/2023-03096.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 19b-5 and Form PILOT https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02832.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02832.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02832 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02832.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 15b1-1/Form BD https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02831.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02831.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02831 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02831.pdf Notice - Submission for OMB Review; Comment Request; Extension: Regulation SBSR https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02830.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02830.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02830 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02830.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-03014.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-03014.html Fri, 10 Feb 2023 00:00:00 -0800 2023-03014 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-03014.pdf Notice - Constitution Capital Access Fund, LLC, et al. https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02956.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02956.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02956 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02956.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Rule 7.19-E Concerning Pre-Trade Risk Controls https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02954.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02954.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02954 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02954.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Rule 6.40P-O Concerning Pre-Trade Risk Controls https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02953.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02953.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02953 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02953.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Rule 7.19 Concerning Pre-Trade Risk Controls https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02952.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02952.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02952 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02952.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Reflect Adjustments to FINRA Registration Fees and Fingerprinting Processing Fees https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02950.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02950.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02950 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02950.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02949.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02949.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02949 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02949.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 6 https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02946.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02946.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02946 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02946.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules in Connection with the Technology Migration to Enhanced Nasdaq Functionality https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02821.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02821.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02821 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02821.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules in Connection With a Technology Migration to Enhanced Nasdaq, Inc. (“Nasdaq”) Functionality https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02820.html https://regulations.justia.com/regulations/fedreg/2023/02/10/2023-02820.html Fri, 10 Feb 2023 00:00:00 -0800 2023-02820 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-10/pdf/2023-02820.pdf Notice - Kennedy Lewis Management LP, et al. https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02800.html https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02800.html Thu, 09 Feb 2023 00:00:00 -0800 2023-02800 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-09/pdf/2023-02800.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02718.html https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02718.html Thu, 09 Feb 2023 00:00:00 -0800 2023-02718 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-09/pdf/2023-02718.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02717.html https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02717.html Thu, 09 Feb 2023 00:00:00 -0800 2023-02717 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-09/pdf/2023-02717.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02716.html https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02716.html Thu, 09 Feb 2023 00:00:00 -0800 2023-02716 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-09/pdf/2023-02716.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the Options Clearing Corporation's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02715.html https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02715.html Thu, 09 Feb 2023 00:00:00 -0800 2023-02715 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-09/pdf/2023-02715.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02713.html https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02713.html Thu, 09 Feb 2023 00:00:00 -0800 2023-02713 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-09/pdf/2023-02713.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02712.html https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02712.html Thu, 09 Feb 2023 00:00:00 -0800 2023-02712 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-09/pdf/2023-02712.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02711.html https://regulations.justia.com/regulations/fedreg/2023/02/09/2023-02711.html Thu, 09 Feb 2023 00:00:00 -0800 2023-02711 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-09/pdf/2023-02711.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part N1 of the Delivery Procedures https://regulations.justia.com/regulations/fedreg/2023/02/08/2023-02604.html https://regulations.justia.com/regulations/fedreg/2023/02/08/2023-02604.html Wed, 08 Feb 2023 00:00:00 -0800 2023-02604 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-08/pdf/2023-02604.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Rule 7.19 Concerning Pre-Trade Risk Controls https://regulations.justia.com/regulations/fedreg/2023/02/08/2023-02603.html https://regulations.justia.com/regulations/fedreg/2023/02/08/2023-02603.html Wed, 08 Feb 2023 00:00:00 -0800 2023-02603 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-08/pdf/2023-02603.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2023/02/08/2023-02602.html https://regulations.justia.com/regulations/fedreg/2023/02/08/2023-02602.html Wed, 08 Feb 2023 00:00:00 -0800 2023-02602 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-08/pdf/2023-02602.pdf Proposed Rule - Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02235.html https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02235.html Tue, 07 Feb 2023 00:00:00 -0800 2023-02235 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2023-02-07/pdf/2023-02235.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02510.html https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02510.html Tue, 07 Feb 2023 00:00:00 -0800 2023-02510 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-07/pdf/2023-02510.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Revise the Excess Capital Premium Charge https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02509.html https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02509.html Tue, 07 Feb 2023 00:00:00 -0800 2023-02509 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-07/pdf/2023-02509.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISO Functionality https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02508.html https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02508.html Tue, 07 Feb 2023 00:00:00 -0800 2023-02508 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-07/pdf/2023-02508.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISO Functionality https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02507.html https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02507.html Tue, 07 Feb 2023 00:00:00 -0800 2023-02507 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-07/pdf/2023-02507.pdf Notice - In the Matter of the MEMX LLC Regarding an Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program (File No. SR-MEMX-2021-10); Order Scheduling Filing of Statements on Review https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02523.html https://regulations.justia.com/regulations/fedreg/2023/02/07/2023-02523.html Tue, 07 Feb 2023 00:00:00 -0800 2023-02523 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-07/pdf/2023-02523.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market https://regulations.justia.com/regulations/fedreg/2023/02/06/2023-02357.html https://regulations.justia.com/regulations/fedreg/2023/02/06/2023-02357.html Mon, 06 Feb 2023 00:00:00 -0800 2023-02357 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-06/pdf/2023-02357.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/02/06/2023-02576.html https://regulations.justia.com/regulations/fedreg/2023/02/06/2023-02576.html Mon, 06 Feb 2023 00:00:00 -0800 2023-02576 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-06/pdf/2023-02576.pdf 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 https://regulations.justia.com/regulations/fedreg/2023/02/03/2023-02238.html https://regulations.justia.com/regulations/fedreg/2023/02/03/2023-02238.html Fri, 03 Feb 2023 00:00:00 -0800 2023-02238 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-03/pdf/2023-02238.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Exchange's Post-Market Session To End at 8:00 p.m. Eastern Time https://regulations.justia.com/regulations/fedreg/2023/02/03/2023-02237.html https://regulations.justia.com/regulations/fedreg/2023/02/03/2023-02237.html Fri, 03 Feb 2023 00:00:00 -0800 2023-02237 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-03/pdf/2023-02237.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 104 https://regulations.justia.com/regulations/fedreg/2023/02/03/2023-02262.html https://regulations.justia.com/regulations/fedreg/2023/02/03/2023-02262.html Fri, 03 Feb 2023 00:00:00 -0800 2023-02262 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-03/pdf/2023-02262.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 102 https://regulations.justia.com/regulations/fedreg/2023/02/03/2023-02261.html https://regulations.justia.com/regulations/fedreg/2023/02/03/2023-02261.html Fri, 03 Feb 2023 00:00:00 -0800 2023-02261 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-03/pdf/2023-02261.pdf 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 https://regulations.justia.com/regulations/fedreg/2023/02/02/2023-02129.html https://regulations.justia.com/regulations/fedreg/2023/02/02/2023-02129.html Thu, 02 Feb 2023 00:00:00 -0800 2023-02129 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-02/pdf/2023-02129.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC To Amend Exchange Rule 531, Reports, Market Data Products and Services, To Provide for the New “Liquidity Taker Event Report-Resting Simple Orders” https://regulations.justia.com/regulations/fedreg/2023/02/02/2023-02127.html https://regulations.justia.com/regulations/fedreg/2023/02/02/2023-02127.html Thu, 02 Feb 2023 00:00:00 -0800 2023-02127 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-02/pdf/2023-02127.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 4120 https://regulations.justia.com/regulations/fedreg/2023/02/01/2023-01999.html https://regulations.justia.com/regulations/fedreg/2023/02/01/2023-01999.html Wed, 01 Feb 2023 00:00:00 -0800 2023-01999 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-01/pdf/2023-01999.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders https://regulations.justia.com/regulations/fedreg/2023/02/01/2023-01998.html https://regulations.justia.com/regulations/fedreg/2023/02/01/2023-01998.html Wed, 01 Feb 2023 00:00:00 -0800 2023-01998 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-01/pdf/2023-01998.pdf Notice - Notice of Applications for Deregistration https://regulations.justia.com/regulations/fedreg/2023/02/01/2023-02110.html https://regulations.justia.com/regulations/fedreg/2023/02/01/2023-02110.html Wed, 01 Feb 2023 00:00:00 -0800 2023-02110 Notice https://www.govinfo.gov/content/pkg/FR-2023-02-01/pdf/2023-02110.pdf