Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/02?limit=200®isters=between&min-day=1&max-day=28&mode=atom2024-05-23T01:33:19-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/02/28/2023-04033.htmlNotice - 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 Application2023-02-28T00:00:00-08:002023-02-28T00:00:00-08:002023-04033Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-28/pdf/2023-04033.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/28/2023-04032.htmlNotice - 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. Stock2023-02-28T00:00:00-08:002023-02-28T00:00:00-08:002023-04032Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-28/pdf/2023-04032.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/28/2023-04031.htmlNotice - 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 Periods2023-02-28T00:00:00-08:002023-02-28T00:00:00-08:002023-04031Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-28/pdf/2023-04031.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/27/2023-03931.htmlRule - Extending Form 144 EDGAR Filing Hours2023-02-27T00:00:00-08:002023-02-27T00:00:00-08:002023-03931Rulehttps://www.govinfo.gov/content/pkg/FR-2023-02-27/pdf/2023-03931.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/27/2023-03907.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-02-27T00:00:00-08:002023-02-27T00:00:00-08:002023-03907Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-27/pdf/2023-03907.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/27/2023-04079.htmlNotice - Sunshine Act Meetings2023-02-27T00:00:00-08:002023-02-27T00:00:00-08:002023-04079Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-27/pdf/2023-04079.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03873.htmlNotice - Sunshine Act Meetings2023-02-23T00:00:00-08:002023-02-23T00:00:00-08:002023-03873Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03873.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03777.htmlNotice - The RBB Fund, Inc., et al.2023-02-23T00:00:00-08:002023-02-23T00:00:00-08:002023-03777Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03777.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03776.htmlNotice - The RBB Fund, Inc., et al.2023-02-23T00:00:00-08:002023-02-23T00:00:00-08:002023-03776Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03776.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03774.htmlNotice - 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 Policy2023-02-23T00:00:00-08:002023-02-23T00:00:00-08:002023-03774Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03774.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03771.htmlNotice - Proposed Collection; Comment Request; Extension: Form N-32023-02-23T00:00:00-08:002023-02-23T00:00:00-08:002023-03771Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03771.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03675.htmlNotice - J.P. Morgan Investment Management Inc.2023-02-23T00:00:00-08:002023-02-23T00:00:00-08:002023-03675Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03675.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03699.htmlNotice - 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 Program2023-02-23T00:00:00-08:002023-02-23T00:00:00-08:002023-03699Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03699.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03698.htmlNotice - 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 Procedures2023-02-23T00:00:00-08:002023-02-23T00:00:00-08:002023-03698Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03698.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03697.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 72023-02-23T00:00:00-08:002023-02-23T00:00:00-08:002023-03697Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03697.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/23/2023-03696.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees2023-02-23T00:00:00-08:002023-02-23T00:00:00-08:002023-03696Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-23/pdf/2023-03696.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/22/2023-02043.htmlUnknown - Regulatory Flexibility Agenda2023-02-22T00:00:00-08:002023-02-22T00:00:00-08:002023-02043Unknownhttps://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-02043.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03581.htmlNotice - 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 Procedures2023-02-22T00:00:00-08:002023-02-22T00:00:00-08:002023-03581Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03581.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03580.htmlNotice - 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 LLC2023-02-22T00:00:00-08:002023-02-22T00:00:00-08:002023-03580Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03580.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03579.htmlNotice - 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 LLC2023-02-22T00:00:00-08:002023-02-22T00:00:00-08:002023-03579Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03579.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03577.htmlNotice - 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 Provisions2023-02-22T00:00:00-08:002023-02-22T00:00:00-08:002023-03577Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03577.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03576.htmlNotice - 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 Rulebook2023-02-22T00:00:00-08:002023-02-22T00:00:00-08:002023-03576Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03576.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03583.htmlNotice - 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 Charge2023-02-22T00:00:00-08:002023-02-22T00:00:00-08:002023-03583Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03583.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/22/2023-03582.htmlNotice - 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 Exists2023-02-22T00:00:00-08:002023-02-22T00:00:00-08:002023-03582Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-22/pdf/2023-03582.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03650.htmlNotice - Sunshine Act Meetings2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03650Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03650.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03467.htmlProposed Rule - The Commission's Privacy Act Regulations2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03467Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03467.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03487.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Order-to-Trade Ratio Fees2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03487Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03487.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03486.htmlNotice - 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 Rebate2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03486Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03486.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03485.htmlNotice - 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 Cap2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03485Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03485.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03484.htmlNotice - 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)2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03484Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03484.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03483.htmlNotice - 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 32023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03483Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03483.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03482.htmlNotice - 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 Controls2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03482Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03482.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03481.htmlNotice - 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 Controls2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03481Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03481.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03480.htmlNotice - 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 Controls2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03480Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03480.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03479.htmlNotice - 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 Rebate2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03479Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03479.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03478.htmlNotice - 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 Market2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03478Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03478.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03477.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 1.1602023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03477Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03477.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03476.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03476Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03476.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03475.htmlNotice - 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 LLC2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03475Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03475.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03474.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03474Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03474.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03473.htmlNotice - 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 LLC2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03473Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03473.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/21/2023-03472.htmlNotice - 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 Controls2023-02-21T00:00:00-08:002023-02-21T00:00:00-08:002023-03472Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-21/pdf/2023-03472.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03342.htmlNotice - Carlyle AlpInvest Private Markets Fund, et al.2023-02-17T00:00:00-08:002023-02-17T00:00:00-08:002023-03342Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03342.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03337.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17f-72023-02-17T00:00:00-08:002023-02-17T00:00:00-08:002023-03337Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03337.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03335.htmlNotice - 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 Settings2023-02-17T00:00:00-08:002023-02-17T00:00:00-08:002023-03335Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03335.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03334.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.4-O2023-02-17T00:00:00-08:002023-02-17T00:00:00-08:002023-03334Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03334.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03333.htmlNotice - 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 112023-02-17T00:00:00-08:002023-02-17T00:00:00-08:002023-03333Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03333.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03332.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 9032023-02-17T00:00:00-08:002023-02-17T00:00:00-08:002023-03332Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03332.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03331.htmlNotice - 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 Feed2023-02-17T00:00:00-08:002023-02-17T00:00:00-08:002023-03331Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03331.pdfhttps://regulations.justia.com/regulations/fedreg/2023/02/17/2023-03330.htmlNotice - 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 Feed2023-02-17T00:00:00-08:002023-02-17T00:00:00-08:002023-03330Noticehttps://www.govinfo.gov/content/pkg/FR-2023-02-17/pdf/2023-03330.pdf