Securities and Exchange Commission March 21, 2023 – Federal Register Recent Federal Regulation Documents

Results 1 - 9 of 9
Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2023-05690
Type: Notice
Date: 2023-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05690.html
Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change by the Options Clearing Corporation Concerning the Amendment of Its Clearing Membership Standards
Document Number: 2023-05689
Type: Notice
Date: 2023-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05689.html
Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Non-Substantively Amend the MIAX Fee Schedule
Document Number: 2023-05688
Type: Notice
Date: 2023-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05688.html
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 3 To Introduce a Growth Incentive
Document Number: 2023-05687
Type: Notice
Date: 2023-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05687.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O Pertaining to Pre-Trade Risk Controls
Document Number: 2023-05686
Type: Notice
Date: 2023-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05686.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Sponsored Participant Rules 11.3(a) and 11.3(b)(2)
Document Number: 2023-05685
Type: Notice
Date: 2023-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05685.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 7.44-E Relating to the Retail Liquidity Program
Document Number: 2023-05684
Type: Notice
Date: 2023-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05684.html
Cloudflare, Inc.
Document Number: 2023-05683
Type: Notice
Date: 2023-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05683.html
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period
Document Number: 2023-05766
Type: Proposed Rule
Date: 2023-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is reopening the comment period for a release (``Investment Management Cybersecurity Release'') proposing new rules under the Investment Advisers Act of 1940 (``Advisers Act'') and the Investment Company Act of 1940 (``Investment Company Act'') that would require registered investment advisers (``advisers'') and investment companies (``funds'') to adopt and implement written cybersecurity policies and procedures reasonably designed to address cybersecurity risks, disclose information about cybersecurity risks and incidents, report information confidentially to the Commission about certain cybersecurity incidents, and maintain related records. Reopening the comment period for the Investment Management Cybersecurity Release will allow interested persons additional time to analyze the issues and prepare their comments in light of other regulatory developments on cybersecurity.
https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05766.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.