Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/03?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T21:59:06-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/03/31/2023-06657.htmlNotice - 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 References2023-03-31T00:00:00-07:002023-03-31T00:00:00-07:002023-06657Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-31/pdf/2023-06657.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06701.htmlRule - General Rules and Regulations, Securities Exchange Act of 19342023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06701Rulehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06701.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06561.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Sponsored Participant Rules2023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06561Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06561.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06559.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to British Pounds Sterling as Client-Related Margin2023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06559Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06559.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06558.htmlNotice - 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 Types2023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06558Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06558.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06557.htmlNotice - 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 Entrant2023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06557Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06557.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06629.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 15c2-52023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06629Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06629.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/30/2023-06628.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 15c3-12023-03-30T00:00:00-07:002023-03-30T00:00:00-07:002023-06628Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-30/pdf/2023-06628.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06487.htmlNotice - Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06487Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06487.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06433.htmlNotice - Bain Capital Private Credit and BCSF Advisors, LP2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06433Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06433.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06432.htmlNotice - Nomura Alternative Income Fund and Nomura Private Capital LLC2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06432Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06432.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06430.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06430Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06430.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06429.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06429Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06429.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06428.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06428Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06428.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/29/2023-06426.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-03-29T00:00:00-07:002023-03-29T00:00:00-07:002023-06426Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-29/pdf/2023-06426.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06323.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-03-28T00:00:00-07:002023-03-28T00:00:00-07:002023-06323Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06323.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06322.htmlNotice - 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 Program2023-03-28T00:00:00-07:002023-03-28T00:00:00-07:002023-06322Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06322.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06321.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change To Update Regulatory Independence Policies2023-03-28T00:00:00-07:002023-03-28T00:00:00-07:002023-06321Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06321.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06411.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 147(f)(1)(iii) Written Representation as to Purchaser Residency2023-03-28T00:00:00-07:002023-03-28T00:00:00-07:002023-06411Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06411.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/28/2023-06410.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 147A(f)(1)(iii) Written Representation as to Purchaser Residency2023-03-28T00:00:00-07:002023-03-28T00:00:00-07:002023-06410Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-28/pdf/2023-06410.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06193.htmlNotice - 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 Product2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06193Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06193.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06192.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Replace the Thirteenth Amended and Restated Operating Agreement2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06192Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06192.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06196.htmlNotice - 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 Requirements2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06196Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06196.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06195.htmlNotice - 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 Credit2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06195Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06195.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06194.htmlNotice - 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)2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06194Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06194.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06224.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 203A-2(d)2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06224Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06224.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06173.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 206(4)-62023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06173Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06173.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/27/2023-06399.htmlNotice - Sunshine Act Meetings2023-03-27T00:00:00-07:002023-03-27T00:00:00-07:002023-06399Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-27/pdf/2023-06399.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06062.htmlNotice - AGTB Fund Manager, LLC and AG Twin Brook Capital Income Fund2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06062Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06062.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06060.htmlNotice - Ares Strategic Income Fund and Ares Capital Management LLC2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06060Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06060.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06059.htmlNotice - 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 Charge2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06059Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06059.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06058.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06058Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06058.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06057.htmlNotice - 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 Procedures2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06057Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06057.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06056.htmlNotice - 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 Schedule2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06056Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06056.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06055.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Its Fee Schedule2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06055Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06055.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06293.htmlRule - Regulation S-T-General Rules and Regulations for Electronic Filings2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06293Rulehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06293.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06287.htmlRule - General Rules and Regulations, Securities Act of 19332023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06287Rulehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06287.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06208.htmlNotice - Sunshine Act Meetings2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06208Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06208.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06054.htmlNotice - 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 Rules2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06054Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06054.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06047.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 203A-2(e)2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06047Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06047.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06046.htmlNotice - Submission for OMB Review; Comment Request; Extension: Investment Company Interactive Data2023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06046Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06046.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/24/2023-06045.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form S-62023-03-24T00:00:00-07:002023-03-24T00:00:00-07:002023-06045Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-24/pdf/2023-06045.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05914.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Exchange Pricing Schedule at Options 7, Section 32023-03-23T00:00:00-07:002023-03-23T00:00:00-07:002023-05914Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-23/pdf/2023-05914.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05912.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule2023-03-23T00:00:00-07:002023-03-23T00:00:00-07:002023-05912Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-23/pdf/2023-05912.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/23/2023-05915.htmlNotice - 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 ETF2023-03-23T00:00:00-07:002023-03-23T00:00:00-07:002023-05915Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-23/pdf/2023-05915.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/22/2023-05801.htmlNotice - Pender Real Estate Credit Fund and Pender Capital Management, LLC2023-03-22T00:00:00-07:002023-03-22T00:00:00-07:002023-05801Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-22/pdf/2023-05801.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05690.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05690Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05690.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05689.htmlNotice - 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 Standards2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05689Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05689.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05688.htmlNotice - 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 Schedule2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05688Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05688.pdfhttps://regulations.justia.com/regulations/fedreg/2023/03/21/2023-05687.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 3 To Introduce a Growth Incentive2023-03-21T00:00:00-07:002023-03-21T00:00:00-07:002023-05687Noticehttps://www.govinfo.gov/content/pkg/FR-2023-03-21/pdf/2023-05687.pdf