<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/03?registers=between&min-day=1&max-day=31 Sat, 18 May 2024 22:13:35 -0700 Sat, 18 May 2024 22:13:35 -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/2023/03?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 308 as Defined in Rule 9232(b) and Delete and Replace Certain Obsolete References https://regulations.justia.com/regulations/fedreg/2023/03/31/2023-06657.html https://regulations.justia.com/regulations/fedreg/2023/03/31/2023-06657.html Fri, 31 Mar 2023 00:00:00 -0700 2023-06657 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-31/pdf/2023-06657.pdf Rule - General Rules and Regulations, Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06701.html https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06701.html Thu, 30 Mar 2023 00:00:00 -0700 2023-06701 Rule https://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06701.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Sponsored Participant Rules https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06561.html https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06561.html Thu, 30 Mar 2023 00:00:00 -0700 2023-06561 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06561.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to British Pounds Sterling as Client-Related Margin https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06559.html https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06559.html Thu, 30 Mar 2023 00:00:00 -0700 2023-06559 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06559.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Amend Rule 4702 To Establish New “Contra Midpoint Only” and “Contra Midpoint Only With Post-Only” Order Types https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06558.html https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06558.html Thu, 30 Mar 2023 00:00:00 -0700 2023-06558 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06558.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Alternative Display Facility New Entrant https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06557.html https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06557.html Thu, 30 Mar 2023 00:00:00 -0700 2023-06557 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06557.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 15c2-5 https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06629.html https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06629.html Thu, 30 Mar 2023 00:00:00 -0700 2023-06629 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06629.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 15c3-1 https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06628.html https://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06628.html Thu, 30 Mar 2023 00:00:00 -0700 2023-06628 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06628.pdf Notice - Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06487.html https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06487.html Wed, 29 Mar 2023 00:00:00 -0700 2023-06487 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06487.pdf Notice - Bain Capital Private Credit and BCSF Advisors, LP https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06433.html https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06433.html Wed, 29 Mar 2023 00:00:00 -0700 2023-06433 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06433.pdf Notice - Nomura Alternative Income Fund and Nomura Private Capital LLC https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06432.html https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06432.html Wed, 29 Mar 2023 00:00:00 -0700 2023-06432 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06432.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06430.html https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06430.html Wed, 29 Mar 2023 00:00:00 -0700 2023-06430 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06430.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06429.html https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06429.html Wed, 29 Mar 2023 00:00:00 -0700 2023-06429 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06429.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06428.html https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06428.html Wed, 29 Mar 2023 00:00:00 -0700 2023-06428 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06428.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06426.html https://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06426.html Wed, 29 Mar 2023 00:00:00 -0700 2023-06426 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06426.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/2023/03/28/2023-06323.html https://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06323.html Tue, 28 Mar 2023 00:00:00 -0700 2023-06323 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06323.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1240.01 To Provide Eligible Individuals Another Opportunity To Elect To Participate in the Maintaining Qualifications Program https://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06322.html https://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06322.html Tue, 28 Mar 2023 00:00:00 -0700 2023-06322 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06322.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change To Update Regulatory Independence Policies https://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06321.html https://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06321.html Tue, 28 Mar 2023 00:00:00 -0700 2023-06321 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06321.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 147(f)(1)(iii) Written Representation as to Purchaser Residency https://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06411.html https://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06411.html Tue, 28 Mar 2023 00:00:00 -0700 2023-06411 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06411.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 147A(f)(1)(iii) Written Representation as to Purchaser Residency https://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06410.html https://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06410.html Tue, 28 Mar 2023 00:00:00 -0700 2023-06410 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06410.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Historical Data Product To Be Known as the Intraday Open-Close Data Report and To Adopt Fees for Such Product https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06193.html https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06193.html Mon, 27 Mar 2023 00:00:00 -0700 2023-06193 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06193.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Replace the Thirteenth Amended and Restated Operating Agreement https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06192.html https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06192.html Mon, 27 Mar 2023 00:00:00 -0700 2023-06192 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06192.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Address Duplicative Requirements https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06196.html https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06196.html Mon, 27 Mar 2023 00:00:00 -0700 2023-06196 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06196.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a 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/2023/03/27/2023-06195.html https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06195.html Mon, 27 Mar 2023 00:00:00 -0700 2023-06195 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06195.pdf Notice - Self-Regulatory Organizations; Cboe BYX 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) https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06194.html https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06194.html Mon, 27 Mar 2023 00:00:00 -0700 2023-06194 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06194.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 203A-2(d) https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06224.html https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06224.html Mon, 27 Mar 2023 00:00:00 -0700 2023-06224 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06224.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 206(4)-6 https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06173.html https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06173.html Mon, 27 Mar 2023 00:00:00 -0700 2023-06173 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06173.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06399.html https://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06399.html Mon, 27 Mar 2023 00:00:00 -0700 2023-06399 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06399.pdf Notice - AGTB Fund Manager, LLC and AG Twin Brook Capital Income Fund https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06062.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06062.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06062 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06062.pdf Notice - Ares Strategic Income Fund and Ares Capital Management LLC https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06060.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06060.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06060 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06060.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06059.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06059.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06059 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06059.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06058.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06058.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06058 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06058.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving 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/2023/03/24/2023-06057.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06057.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06057 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06057.pdf Notice - Self-Regulatory Organizations: 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/2023/03/24/2023-06056.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06056.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06056 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06056.pdf Notice - Self-Regulatory Organizations: 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/2023/03/24/2023-06055.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06055.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06055 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06055.pdf Rule - Regulation S-T-General Rules and Regulations for Electronic Filings https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06293.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06293.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06293 Rule https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06293.pdf Rule - General Rules and Regulations, Securities Act of 1933 https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06287.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06287.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06287 Rule https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06287.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06208.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06208.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06208 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06208.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Equity 4, Rule 4120 To Establish Common Criteria and Procedures for Halting and Resuming Trading in Equity Securities in the Event of Regulatory or Operational Issues, Reorganize the Text of the Rule, and Make Conforming Changes to Related Rules https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06054.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06054.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06054 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06054.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 203A-2(e) https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06047.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06047.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06047 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06047.pdf Notice - Submission for OMB Review; Comment Request; Extension: Investment Company Interactive Data https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06046.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06046.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06046 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06046.pdf Notice - Submission for OMB Review; Comment Request; Extension: Form S-6 https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06045.html https://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06045.html Fri, 24 Mar 2023 00:00:00 -0700 2023-06045 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06045.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Exchange Pricing Schedule at Options 7, Section 3 https://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05914.html https://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05914.html Thu, 23 Mar 2023 00:00:00 -0700 2023-05914 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-23/pdf/2023-05914.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05912.html https://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05912.html Thu, 23 Mar 2023 00:00:00 -0700 2023-05912 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-23/pdf/2023-05912.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the Shares of the Breakwave Tanker Shipping ETF https://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05915.html https://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05915.html Thu, 23 Mar 2023 00:00:00 -0700 2023-05915 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-23/pdf/2023-05915.pdf Notice - Pender Real Estate Credit Fund and Pender Capital Management, LLC https://regulations.justia.com/regulations/fedreg/2023/03/22/2023-05801.html https://regulations.justia.com/regulations/fedreg/2023/03/22/2023-05801.html Wed, 22 Mar 2023 00:00:00 -0700 2023-05801 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-22/pdf/2023-05801.pdf Notice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05690.html https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05690.html Tue, 21 Mar 2023 00:00:00 -0700 2023-05690 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05690.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05689.html https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05689.html Tue, 21 Mar 2023 00:00:00 -0700 2023-05689 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05689.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05688.html https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05688.html Tue, 21 Mar 2023 00:00:00 -0700 2023-05688 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05688.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 3 To Introduce a Growth Incentive https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05687.html https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05687.html Tue, 21 Mar 2023 00:00:00 -0700 2023-05687 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05687.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05686.html https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05686.html Tue, 21 Mar 2023 00:00:00 -0700 2023-05686 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05686.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05685.html https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05685.html Tue, 21 Mar 2023 00:00:00 -0700 2023-05685 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05685.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05684.html https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05684.html Tue, 21 Mar 2023 00:00:00 -0700 2023-05684 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05684.pdf Notice - Cloudflare, Inc. https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05683.html https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05683.html Tue, 21 Mar 2023 00:00:00 -0700 2023-05683 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05683.pdf Proposed Rule - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05766.html https://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05766.html Tue, 21 Mar 2023 00:00:00 -0700 2023-05766 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05766.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05447.html https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05447.html Mon, 20 Mar 2023 00:00:00 -0700 2023-05447 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05447.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Cboe Data Services, LLC Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05544.html https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05544.html Mon, 20 Mar 2023 00:00:00 -0700 2023-05544 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05544.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 Regarding Multiply Listed Options Fees https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05542.html https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05542.html Mon, 20 Mar 2023 00:00:00 -0700 2023-05542 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05542.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05541.html https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05541.html Mon, 20 Mar 2023 00:00:00 -0700 2023-05541 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05541.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/2023/03/20/2023-05539.html https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05539.html Mon, 20 Mar 2023 00:00:00 -0700 2023-05539 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05539.pdf Notice - Self-Regulatory Organizations; Cboe EDGX 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) https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05536.html https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05536.html Mon, 20 Mar 2023 00:00:00 -0700 2023-05536 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05536.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/2023/03/20/2023-05535.html https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05535.html Mon, 20 Mar 2023 00:00:00 -0700 2023-05535 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05535.pdf Notice - The RBB Fund, Inc., et al. https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05527.html https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05527.html Mon, 20 Mar 2023 00:00:00 -0700 2023-05527 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05527.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05750.html https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05750.html Mon, 20 Mar 2023 00:00:00 -0700 2023-05750 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05750.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05694.html https://regulations.justia.com/regulations/fedreg/2023/03/20/2023-05694.html Mon, 20 Mar 2023 00:00:00 -0700 2023-05694 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-20/pdf/2023-05694.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05449.html https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05449.html Fri, 17 Mar 2023 00:00:00 -0700 2023-05449 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05449.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/2023/03/17/2023-05448.html https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05448.html Fri, 17 Mar 2023 00:00:00 -0700 2023-05448 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05448.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7110 (Order Entry) and Rule 7130 (Execution and Price/Time Priority) Regarding Availability of Identity of Options Participants https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05446.html https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05446.html Fri, 17 Mar 2023 00:00:00 -0700 2023-05446 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05446.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Certain Trading Functionality https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05445.html https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05445.html Fri, 17 Mar 2023 00:00:00 -0700 2023-05445 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05445.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed New Rule 980NYP and Conforming Amendments to Rule 935NY https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05444.html https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05444.html Fri, 17 Mar 2023 00:00:00 -0700 2023-05444 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05444.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Equities Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05443.html https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05443.html Fri, 17 Mar 2023 00:00:00 -0700 2023-05443 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05443.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Establish Listing Standards Related To Recovery of Erroneously Awarded Incentive-Based Executive Compensation https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05442.html https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05442.html Fri, 17 Mar 2023 00:00:00 -0700 2023-05442 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05442.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 12h-1(f) https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05437.html https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05437.html Fri, 17 Mar 2023 00:00:00 -0700 2023-05437 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05437.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17d-1 https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05430.html https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05430.html Fri, 17 Mar 2023 00:00:00 -0700 2023-05430 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05430.pdf Notice - Submission for OMB Review; Comment Request; Extension: Regulation S https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05429.html https://regulations.justia.com/regulations/fedreg/2023/03/17/2023-05429.html Fri, 17 Mar 2023 00:00:00 -0700 2023-05429 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-17/pdf/2023-05429.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/2023/03/16/2023-05337.html https://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05337.html Thu, 16 Mar 2023 00:00:00 -0700 2023-05337 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-16/pdf/2023-05337.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2 Regarding PRISM Pricing https://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05336.html https://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05336.html Thu, 16 Mar 2023 00:00:00 -0700 2023-05336 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-16/pdf/2023-05336.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86/87) Examination https://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05335.html https://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05335.html Thu, 16 Mar 2023 00:00:00 -0700 2023-05335 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-16/pdf/2023-05335.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05334.html https://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05334.html Thu, 16 Mar 2023 00:00:00 -0700 2023-05334 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-16/pdf/2023-05334.pdf Notice - Submission for OMB Review; Comment Request; Extension: Securities Act Rule 477 https://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05377.html https://regulations.justia.com/regulations/fedreg/2023/03/16/2023-05377.html Thu, 16 Mar 2023 00:00:00 -0700 2023-05377 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-16/pdf/2023-05377.pdf Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Liquidity Risk Model Framework https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05271.html https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05271.html Wed, 15 Mar 2023 00:00:00 -0700 2023-05271 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05271.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.62P-O(i)(2) https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05270.html https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05270.html Wed, 15 Mar 2023 00:00:00 -0700 2023-05270 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05270.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2622, Limit Up-Limit Down Plan and Trading Halts https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05269.html https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05269.html Wed, 15 Mar 2023 00:00:00 -0700 2023-05269 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05269.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05268.html https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05268.html Wed, 15 Mar 2023 00:00:00 -0700 2023-05268 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05268.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Rules To Require Companies Listed on the Exchange To Develop, Implement, and Disclose a Written Compensation Recovery Policy To Comply With Rule 10D-1 Under the Exchange Act and Make Other Related Changes https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05265.html https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05265.html Wed, 15 Mar 2023 00:00:00 -0700 2023-05265 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05265.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05298.html https://regulations.justia.com/regulations/fedreg/2023/03/15/2023-05298.html Wed, 15 Mar 2023 00:00:00 -0700 2023-05298 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-15/pdf/2023-05298.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05129.html https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05129.html Tue, 14 Mar 2023 00:00:00 -0700 2023-05129 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05129.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05128.html https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05128.html Tue, 14 Mar 2023 00:00:00 -0700 2023-05128 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05128.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05127.html https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05127.html Tue, 14 Mar 2023 00:00:00 -0700 2023-05127 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05127.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05126.html https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05126.html Tue, 14 Mar 2023 00:00:00 -0700 2023-05126 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05126.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05125.html https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05125.html Tue, 14 Mar 2023 00:00:00 -0700 2023-05125 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05125.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule To Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05124.html https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05124.html Tue, 14 Mar 2023 00:00:00 -0700 2023-05124 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05124.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05123.html https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05123.html Tue, 14 Mar 2023 00:00:00 -0700 2023-05123 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05123.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05247.html https://regulations.justia.com/regulations/fedreg/2023/03/14/2023-05247.html Tue, 14 Mar 2023 00:00:00 -0700 2023-05247 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-14/pdf/2023-05247.pdf Notice - Lord Abbett & Co. LCC, et al. https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05044.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05044.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05044 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05044.pdf Notice - BC Partners Lending Corporation, et al. https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05043.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05043.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05043 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05043.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05042.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05042.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05042 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05042.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05041.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05041.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05041 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05041.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Listing Standards Related to Recovery of Erroneously Awarded Executive Compensation https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05040.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05040.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05040 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05040.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation and Bylaws https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05039.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05039.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05039 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05039.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article II, Section 2.03(b) of Its Operating Agreement https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05038.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05038.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05038 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05038.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Article II, Section 2.03(b) of Its Operating Agreement https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05037.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05037.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05037 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05037.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section FIFTH of Its Certificate of Incorporation https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05036.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05036.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05036 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05036.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt New Section 303A.14 of the NYSE Listed Company Manual To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05035.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05035.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05035 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05035.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change To Adopt New Section 811 of NYSE American Company Guide To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05034.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05034.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05034 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05034.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NYSE Arca Rule 5.3-E(p) To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05033.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05033.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05033 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05033.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NYSE Chicago Rule 29 To Establish Listing Standards Related To Recovery of Erroneously Awarded Incentive-Based Executive Compensation https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05032.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05032.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05032 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05032.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05138.html https://regulations.justia.com/regulations/fedreg/2023/03/13/2023-05138.html Mon, 13 Mar 2023 00:00:00 -0700 2023-05138 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-13/pdf/2023-05138.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 313 https://regulations.justia.com/regulations/fedreg/2023/03/10/2023-04876.html https://regulations.justia.com/regulations/fedreg/2023/03/10/2023-04876.html Fri, 10 Mar 2023 00:00:00 -0800 2023-04876 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-10/pdf/2023-04876.pdf Notice - Confluent, Inc. https://regulations.justia.com/regulations/fedreg/2023/03/10/2023-04867.html https://regulations.justia.com/regulations/fedreg/2023/03/10/2023-04867.html Fri, 10 Mar 2023 00:00:00 -0800 2023-04867 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-10/pdf/2023-04867.pdf Notice - JPMorgan Private Markets Fund, et al. https://regulations.justia.com/regulations/fedreg/2023/03/10/2023-04866.html https://regulations.justia.com/regulations/fedreg/2023/03/10/2023-04866.html Fri, 10 Mar 2023 00:00:00 -0800 2023-04866 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-10/pdf/2023-04866.pdf Notice - 24X National Exchange LLC; Notice of Withdrawal of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04797.html https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04797.html Thu, 09 Mar 2023 00:00:00 -0800 2023-04797 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-04797.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/2023/03/09/2023-04787.html https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04787.html Thu, 09 Mar 2023 00:00:00 -0800 2023-04787 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-04787.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04786.html https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04786.html Thu, 09 Mar 2023 00:00:00 -0800 2023-04786 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-04786.pdf Notice - PGIM Private Real Estate Fund, Inc., et al. https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04785.html https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04785.html Thu, 09 Mar 2023 00:00:00 -0800 2023-04785 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-04785.pdf Proposed Rule - Safeguarding Advisory Client Assets https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-03681.html https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-03681.html Thu, 09 Mar 2023 00:00:00 -0800 2023-03681 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-03681.pdf Notice - Submission for OMB Review; Comment Request; Extension: Customer Account Statements (17 CFR 242.607) https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04825.html https://regulations.justia.com/regulations/fedreg/2023/03/09/2023-04825.html Thu, 09 Mar 2023 00:00:00 -0800 2023-04825 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-04825.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the Capital Replenishment Plan https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04682.html https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04682.html Wed, 08 Mar 2023 00:00:00 -0800 2023-04682 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04682.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of Alger Weatherbie Enduring Growth ETF https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04689.html https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04689.html Wed, 08 Mar 2023 00:00:00 -0800 2023-04689 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04689.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/2023/03/08/2023-04688.html https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04688.html Wed, 08 Mar 2023 00:00:00 -0800 2023-04688 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04688.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.76AP-O https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04687.html https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04687.html Wed, 08 Mar 2023 00:00:00 -0800 2023-04687 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04687.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04686.html https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04686.html Wed, 08 Mar 2023 00:00:00 -0800 2023-04686 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04686.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04685.html https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04685.html Wed, 08 Mar 2023 00:00:00 -0800 2023-04685 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04685.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04684.html https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04684.html Wed, 08 Mar 2023 00:00:00 -0800 2023-04684 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04684.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 10.3 Regarding Margin Requirements https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04683.html https://regulations.justia.com/regulations/fedreg/2023/03/08/2023-04683.html Wed, 08 Mar 2023 00:00:00 -0800 2023-04683 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-08/pdf/2023-04683.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/2023/03/07/2023-04571.html https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04571.html Tue, 07 Mar 2023 00:00:00 -0800 2023-04571 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04571.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19 Related to Pre-Trade Risk Controls https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04565.html https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04565.html Tue, 07 Mar 2023 00:00:00 -0800 2023-04565 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04565.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Operational Arrangements https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04581.html https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04581.html Tue, 07 Mar 2023 00:00:00 -0800 2023-04581 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04581.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise the Description of the Stressed Period Used To Calculate the Value-at-Risk Charge and Make Other Changes https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04580.html https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04580.html Tue, 07 Mar 2023 00:00:00 -0800 2023-04580 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04580.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/2023/03/07/2023-04579.html https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04579.html Tue, 07 Mar 2023 00:00:00 -0800 2023-04579 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04579.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/2023/03/07/2023-04572.html https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04572.html Tue, 07 Mar 2023 00:00:00 -0800 2023-04572 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04572.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 22d-1 https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04629.html https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04629.html Tue, 07 Mar 2023 00:00:00 -0800 2023-04629 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04629.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 22e-4 https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04627.html https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04627.html Tue, 07 Mar 2023 00:00:00 -0800 2023-04627 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04627.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 17f-5 https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04626.html https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04626.html Tue, 07 Mar 2023 00:00:00 -0800 2023-04626 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04626.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/2023/03/07/2023-04582.html https://regulations.justia.com/regulations/fedreg/2023/03/07/2023-04582.html Tue, 07 Mar 2023 00:00:00 -0800 2023-04582 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-07/pdf/2023-04582.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 19b-1 https://regulations.justia.com/regulations/fedreg/2023/03/06/2023-04525.html https://regulations.justia.com/regulations/fedreg/2023/03/06/2023-04525.html Mon, 06 Mar 2023 00:00:00 -0800 2023-04525 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-06/pdf/2023-04525.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 8c-1 https://regulations.justia.com/regulations/fedreg/2023/03/06/2023-04541.html https://regulations.justia.com/regulations/fedreg/2023/03/06/2023-04541.html Mon, 06 Mar 2023 00:00:00 -0800 2023-04541 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-06/pdf/2023-04541.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/03/06/2023-04615.html https://regulations.justia.com/regulations/fedreg/2023/03/06/2023-04615.html Mon, 06 Mar 2023 00:00:00 -0800 2023-04615 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-06/pdf/2023-04615.pdf Rule - Shortening the Securities Transaction Settlement Cycle https://regulations.justia.com/regulations/fedreg/2023/03/06/2023-03566.html https://regulations.justia.com/regulations/fedreg/2023/03/06/2023-03566.html Mon, 06 Mar 2023 00:00:00 -0800 2023-03566 Rule https://www.govinfo.gov/content/pkg/FR-2023-03-06/pdf/2023-03566.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Options 7, Section 4, Multiply Listed Options Fees https://regulations.justia.com/regulations/fedreg/2023/03/03/2023-04357.html https://regulations.justia.com/regulations/fedreg/2023/03/03/2023-04357.html Fri, 03 Mar 2023 00:00:00 -0800 2023-04357 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-03/pdf/2023-04357.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-22 https://regulations.justia.com/regulations/fedreg/2023/03/03/2023-04447.html https://regulations.justia.com/regulations/fedreg/2023/03/03/2023-04447.html Fri, 03 Mar 2023 00:00:00 -0800 2023-04447 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-03/pdf/2023-04447.pdf Notice - Submission for OMB Review; Comment Request; Extension: Form N-8B-4 https://regulations.justia.com/regulations/fedreg/2023/03/03/2023-04446.html https://regulations.justia.com/regulations/fedreg/2023/03/03/2023-04446.html Fri, 03 Mar 2023 00:00:00 -0800 2023-04446 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-03/pdf/2023-04446.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 11.9, 11.10, and 11.11 https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04231.html https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04231.html Thu, 02 Mar 2023 00:00:00 -0800 2023-04231 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04231.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Make Permanent Certain P.M.-Settled Pilots https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04230.html https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04230.html Thu, 02 Mar 2023 00:00:00 -0800 2023-04230 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04230.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.13 https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04229.html https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04229.html Thu, 02 Mar 2023 00:00:00 -0800 2023-04229 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04229.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 11.9, 11.10, and 11.11 https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04228.html https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04228.html Thu, 02 Mar 2023 00:00:00 -0800 2023-04228 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04228.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.13 https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04227.html https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04227.html Thu, 02 Mar 2023 00:00:00 -0800 2023-04227 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04227.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the JPMorgan Active Small Cap Value ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares) https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04226.html https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04226.html Thu, 02 Mar 2023 00:00:00 -0800 2023-04226 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04226.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Make Permanent Certain P.M.-Settled Pilots https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04224.html https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04224.html Thu, 02 Mar 2023 00:00:00 -0800 2023-04224 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04224.pdf Notice - Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04214.html https://regulations.justia.com/regulations/fedreg/2023/03/02/2023-04214.html Thu, 02 Mar 2023 00:00:00 -0800 2023-04214 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-02/pdf/2023-04214.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2, BX Options Market-Fees and Rebates https://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04124.html https://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04124.html Wed, 01 Mar 2023 00:00:00 -0800 2023-04124 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-01/pdf/2023-04124.pdf Notice - Tidal Trust II, et al. https://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04134.html https://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04134.html Wed, 01 Mar 2023 00:00:00 -0800 2023-04134 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-01/pdf/2023-04134.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 Rule 4702 To Establish New “Contra Midpoint Only” and “Contra Midpoint Only With Post-Only” Order Types https://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04125.html https://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04125.html Wed, 01 Mar 2023 00:00:00 -0800 2023-04125 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-01/pdf/2023-04125.pdf Notice - Proposed Collection; Comment Request; Extension: Form ADV-H https://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04210.html https://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04210.html Wed, 01 Mar 2023 00:00:00 -0800 2023-04210 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-01/pdf/2023-04210.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 32a-4 https://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04209.html https://regulations.justia.com/regulations/fedreg/2023/03/01/2023-04209.html Wed, 01 Mar 2023 00:00:00 -0800 2023-04209 Notice https://www.govinfo.gov/content/pkg/FR-2023-03-01/pdf/2023-04209.pdf