Securities and Exchange Commission April 10, 2023 – Federal Register Recent Federal Regulation Documents

Results 1 - 5 of 5
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Several IEX Rules To Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings
Document Number: 2023-07415
Type: Notice
Date: 2023-04-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/04/10/2023-07415.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual With Respect to the Qualification of Eligible Portfolio Companies of an Investment Management Entity for the Investment Management Entity Group Fee Discount
Document Number: 2023-07414
Type: Notice
Date: 2023-04-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/04/10/2023-07414.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Administrative Updates to DTC's Rules, Organization Certificate, and Certain Service Guides
Document Number: 2023-07413
Type: Notice
Date: 2023-04-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/04/10/2023-07413.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Administrative Updates to NSCC's Rules and Certificate of Incorporation
Document Number: 2023-07412
Type: Notice
Date: 2023-04-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/04/10/2023-07412.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change To Make Administrative Updates to FICC's GSD Rules, MBSD Rules, EPN Rules, and Restated Certificate of Incorporation
Document Number: 2023-07411
Type: Notice
Date: 2023-04-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/04/10/2023-07411.html
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