Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/04?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-17T05:21:15-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08993.htmlNotice - Silver Point Specialty Lending Fund, et al.2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08993Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08993.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08987.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Make Permanent the Operation of its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08987Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08987.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08986.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent the Operation of the 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”) Series2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08986Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08986.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08985.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Make Permanent the Operation of Its Program (“Pilot Program”) That Allows the Exchange To List P.M.-Settled Third Friday-of-the-Month Mini-SPX Index (“XSP”) Options and Mini-Russell 2000 Index (“MRUT”) Options Series2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08985Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08985.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08984.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08984Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08984.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08983.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 Changes2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08983Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08983.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08982.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt New NYSE Chicago Rule 29 To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08982Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08982.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08981.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08981Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08981.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08980.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt New Section 811 of NYSE American Company Guide To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08980Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08980.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08979.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule at Options 72023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08979Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08979.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08978.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Reporting Requirements for Exchange of Contract for Related Position Transactions and Block Trades2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08978Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08978.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08977.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on 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 Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08977Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08977.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08976.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Establish Listing Standards Related to Recovery of Erroneously Awarded Executive Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08976Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08976.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-09162.htmlNotice - Sunshine Act Meetings2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-09162Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-09162.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/27/2023-08829.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Relating to the Clearance of Additional Credit Default Swap Contracts2023-04-27T00:00:00-07:002023-04-27T00:00:00-07:002023-08829Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-27/pdf/2023-08829.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/27/2023-08828.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Term That Newly and Currently Listed Companies May Receive Capital Markets Solutions on a Complimentary Basis Under LTSE Rule 14.6022023-04-27T00:00:00-07:002023-04-27T00:00:00-07:002023-08828Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-27/pdf/2023-08828.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/27/2023-08827.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Proposed Rule Change To Revise the Description of the Stressed Period Used To Calculate the Value-at-Risk Charge and Make Other Changes2023-04-27T00:00:00-07:002023-04-27T00:00:00-07:002023-08827Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-27/pdf/2023-08827.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/27/2023-08879.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form N-32023-04-27T00:00:00-07:002023-04-27T00:00:00-07:002023-08879Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-27/pdf/2023-08879.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/26/2023-08754.htmlNotice - Two Roads Shared Trust and Hypatia Capital Management LLC2023-04-26T00:00:00-07:002023-04-26T00:00:00-07:002023-08754Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-26/pdf/2023-08754.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/26/2023-08753.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Non-Displayed Discretionary Limit Orders To Be Submitted With a Minimum Quantity Instruction2023-04-26T00:00:00-07:002023-04-26T00:00:00-07:002023-08753Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-26/pdf/2023-08753.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/25/2023-08653.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product2023-04-25T00:00:00-07:002023-04-25T00:00:00-07:002023-08653Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-25/pdf/2023-08653.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/25/2023-08652.htmlNotice - Hamilton Lane Private Assets Fund, et al.2023-04-25T00:00:00-07:002023-04-25T00:00:00-07:002023-08652Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-25/pdf/2023-08652.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/25/2023-08649.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product2023-04-25T00:00:00-07:002023-04-25T00:00:00-07:002023-08649Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-25/pdf/2023-08649.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/25/2023-08648.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 4822023-04-25T00:00:00-07:002023-04-25T00:00:00-07:002023-08648Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-25/pdf/2023-08648.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/24/2023-08523.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-04-24T00:00:00-07:002023-04-24T00:00:00-07:002023-08523Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-24/pdf/2023-08523.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/24/2023-08706.htmlNotice - Sunshine Act Meetings2023-04-24T00:00:00-07:002023-04-24T00:00:00-07:002023-08706Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-24/pdf/2023-08706.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08426.htmlNotice - Proposed Collection; Comment Request; Extension: Regulation 14N and Schedule 14N2023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08426Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08426.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08425.htmlNotice - Proposed Collection; Comment Request; Extension: Form 144-Notice of Proposed Sale of Securities Pursuant to Rule 144 Under the Securities Act of 19332023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08425Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08425.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08424.htmlNotice - Proposed Collection; Comment Request; Extension: Form 5-Annual Statement of Beneficial Ownership2023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08424Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08424.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08423.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 1032023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08423Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08423.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08422.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 1012023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08422Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08422.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08421.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17a-22023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08421Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08421.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08420.htmlNotice - Submission for OMB Review; Comment Request: Extension: Rule 151-12023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08420Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08420.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08419.htmlNotice - Submission for OMB Review; Comment Request: Extension; “Ombudsman Matter Management System Submission Form”2023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08419Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08419.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08495.htmlNotice - Proposed Collection; Comment Request; Extension: Schedule TO2023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08495Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08495.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08410.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to Clearance of Additional Credit Default Swap Contracts2023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08410Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08410.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/20/2023-08308.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments of ICE Futures Europe (“IFEU”) Oil Futures Contracts2023-04-20T00:00:00-07:002023-04-20T00:00:00-07:002023-08308Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-20/pdf/2023-08308.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/20/2023-08307.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses2023-04-20T00:00:00-07:002023-04-20T00:00:00-07:002023-08307Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-20/pdf/2023-08307.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/20/2023-08306.htmlNotice - Investment Managers Series Trust II and Embassy Asset Management, LP2023-04-20T00:00:00-07:002023-04-20T00:00:00-07:002023-08306Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-20/pdf/2023-08306.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/20/2023-08216.htmlRule - Adoption of Updated EDGAR Filer Manual2023-04-20T00:00:00-07:002023-04-20T00:00:00-07:002023-08216Rulehttps://www.govinfo.gov/content/pkg/FR-2023-04-20/pdf/2023-08216.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08226.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain Standard Rates in the NYSE American Equities Price List and Fee Schedule2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08226Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08226.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08225.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08225Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08225.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08224.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08224Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08224.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08223.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08223Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08223.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08222.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the US Equity Short Volume & Trades Report2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08222Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08222.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08221.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known As the US Equity Short Volume & Trades Report2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08221Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08221.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08220.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08220Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08220.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08147.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08147Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08147.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08219.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the US Equity Short Volume & Trades Report2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08219Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08219.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08218.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the US Equity Short Volume & Trades Report2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08218Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08218.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08217.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 900.2NY and To Adopt New Rules 964NYP, 964.1NYP, and 964.2NYP2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08217Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08217.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-06330.htmlProposed Rule - Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-06330Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-06330.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08146.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08146Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08146.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08145.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Codes of Arbitration Procedure To Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08145Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08145.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08144.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Credits at Equity 7, Section 1182023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08144Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08144.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08143.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08143Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08143.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08142.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08142Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08142.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08141.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08141Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08141.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/17/2023-07963.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Clearing Agency Securities Valuation Framework2023-04-17T00:00:00-07:002023-04-17T00:00:00-07:002023-07963Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-17/pdf/2023-07963.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/17/2023-07962.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Clearing Agency Securities Valuation Framework2023-04-17T00:00:00-07:002023-04-17T00:00:00-07:002023-07962Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-17/pdf/2023-07962.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/17/2023-07961.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Clearing Agency Securities Valuation Framework2023-04-17T00:00:00-07:002023-04-17T00:00:00-07:002023-07961Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-17/pdf/2023-07961.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/17/2023-08187.htmlNotice - Sunshine Act Meetings2023-04-17T00:00:00-07:002023-04-17T00:00:00-07:002023-08187Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-17/pdf/2023-08187.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/14/2023-05775.htmlProposed Rule - Regulation Systems Compliance and Integrity2023-04-14T00:00:00-07:002023-04-14T00:00:00-07:002023-05775Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-04-14/pdf/2023-05775.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/14/2023-07875.htmlNotice - DoubleLine ETF Trust, et al.2023-04-14T00:00:00-07:002023-04-14T00:00:00-07:002023-07875Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-14/pdf/2023-07875.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07736.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07736Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07736.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07735.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Rule Governing the Listing and Trading of Shares of the Gabelli Equity Income ETF2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07735Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07735.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07734.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish a New Qualified Contingent Cross (“QCC”) Growth Rebate2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07734Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07734.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07733.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Periods2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07733Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07733.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07732.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning Order-to-Trade Ratio Fees for Market Makers2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07732Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07732.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07731.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Permanent Certain P.M.-Settled Pilots2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07731Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07731.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07730.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Permanent Certain P.M.-Settled Pilots2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07730Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07730.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/12/2023-07612.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rules G-12 and G-15 To Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day After the Trade Date and To Amend Rule G-12 To Update an Outdated Cross Reference2023-04-12T00:00:00-07:002023-04-12T00:00:00-07:002023-07612Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-12/pdf/2023-07612.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/12/2023-07626.htmlNotice - MBC Total Private Markets Access Fund and Seneca Management, LLC2023-04-12T00:00:00-07:002023-04-12T00:00:00-07:002023-07626Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-12/pdf/2023-07626.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/12/2023-07755.htmlNotice - Sunshine Act Meetings2023-04-12T00:00:00-07:002023-04-12T00:00:00-07:002023-07755Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-12/pdf/2023-07755.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/11/2023-07496.htmlNotice - Proposed Collection; Comment Request: Extension: “Investor Form”2023-04-11T00:00:00-07:002023-04-11T00:00:00-07:002023-07496Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-11/pdf/2023-07496.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/11/2023-07495.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 15c2-112023-04-11T00:00:00-07:002023-04-11T00:00:00-07:002023-07495Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-11/pdf/2023-07495.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/11/2023-07502.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records2023-04-11T00:00:00-07:002023-04-11T00:00:00-07:002023-07502Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-11/pdf/2023-07502.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/11/2023-07618.htmlNotice - Sunshine Act Meetings2023-04-11T00:00:00-07:002023-04-11T00:00:00-07:002023-07618Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-11/pdf/2023-07618.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/10/2023-07415.htmlNotice - 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 Proceedings2023-04-10T00:00:00-07:002023-04-10T00:00:00-07:002023-07415Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-10/pdf/2023-07415.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/10/2023-07414.htmlNotice - 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 Discount2023-04-10T00:00:00-07:002023-04-10T00:00:00-07:002023-07414Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-10/pdf/2023-07414.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/10/2023-07413.htmlNotice - 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 Guides2023-04-10T00:00:00-07:002023-04-10T00:00:00-07:002023-07413Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-10/pdf/2023-07413.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/10/2023-07412.htmlNotice - 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 Incorporation2023-04-10T00:00:00-07:002023-04-10T00:00:00-07:002023-07412Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-10/pdf/2023-07412.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/10/2023-07411.htmlNotice - 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 Incorporation2023-04-10T00:00:00-07:002023-04-10T00:00:00-07:002023-07411Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-10/pdf/2023-07411.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/07/2023-07267.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-04-07T00:00:00-07:002023-04-07T00:00:00-07:002023-07267Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-07/pdf/2023-07267.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/07/2023-07266.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule2023-04-07T00:00:00-07:002023-04-07T00:00:00-07:002023-07266Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-07/pdf/2023-07266.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/07/2023-07265.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule To Delete Text That Is No Longer in Effect2023-04-07T00:00:00-07:002023-04-07T00:00:00-07:002023-07265Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-07/pdf/2023-07265.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/07/C1-2022-27675.htmlRule - Insider Trading Arrangements and Related Disclosures2023-04-07T00:00:00-07:002023-04-07T00:00:00-07:00C1-2022-27675Rulehttps://www.govinfo.gov/content/pkg/FR-2023-04-07/pdf/C1-2022-27675.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/07/2023-07390.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 15b6-1 and Form BDW2023-04-07T00:00:00-07:002023-04-07T00:00:00-07:002023-07390Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-07/pdf/2023-07390.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07145.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision)2023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07145Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07145.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07144.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 2617 and 2626 Regarding Retail Orders Routed Pursuant to the Route to Primary Auction Routing Option2023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07144Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07144.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07143.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Increase the Position and Exercise Limits for Options on Apple Inc. Stock (“AAPL”)2023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07143Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07143.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07142.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07142Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07142.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07141.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of Options on the Nasdaq-100 ESG Index2023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07141Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07141.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07140.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Make a Clarifying Change to the Term Settlement Style Applicable to Flexible Exchange Options2023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07140Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07140.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07139.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments of the ICE Clear Europe Delivery Procedures2023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07139Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07139.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07225.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 1022023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07225Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07225.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07224.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 1042023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07224Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07224.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-05774.htmlProposed Rule - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information2023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-05774Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-05774.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07157.htmlNotice - Invesco Dynamic Credit Opportunity Fund, et al.2023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07157Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07157.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/06/2023-07156.htmlNotice - Deregistration Under Section 8(f) of the Investment Company Act of 19402023-04-06T00:00:00-07:002023-04-06T00:00:00-07:002023-07156Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-06/pdf/2023-07156.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/05/2023-05767.htmlProposed Rule - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents2023-04-05T00:00:00-07:002023-04-05T00:00:00-07:002023-05767Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-04-05/pdf/2023-05767.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/05/2023-07006.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments of the Investment Management Procedures2023-04-05T00:00:00-07:002023-04-05T00:00:00-07:002023-07006Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-05/pdf/2023-07006.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/05/2023-07004.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Clearing Member Cybersecurity Obligations2023-04-05T00:00:00-07:002023-04-05T00:00:00-07:002023-07004Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-05/pdf/2023-07004.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/04/2023-06899.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and To Amend MSRB Rule G-8, on Books and Records2023-04-04T00:00:00-07:002023-04-04T00:00:00-07:002023-06899Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-04/pdf/2023-06899.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/04/2023-06897.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of SGI U.S. Large Cap Core ETF2023-04-04T00:00:00-07:002023-04-04T00:00:00-07:002023-06897Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-04/pdf/2023-06897.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/04/2023-06963.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 203-2 & Form ADV-W2023-04-04T00:00:00-07:002023-04-04T00:00:00-07:002023-06963Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-04/pdf/2023-06963.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/04/2023-06961.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to Board Rule Governing Determinations Under the Holding Foreign Companies Accountable Act2023-04-04T00:00:00-07:002023-04-04T00:00:00-07:002023-06961Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-04/pdf/2023-06961.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/03/2023-06784.htmlNotice - Joint Industry Plan; Notice of Withdrawal of Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by Partial Amendment Nos. 1 and 22023-04-03T00:00:00-07:002023-04-03T00:00:00-07:002023-06784Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-03/pdf/2023-06784.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/03/2023-06783.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend and Restate the Limited Liability Company Agreement of MEMX Holdings LLC2023-04-03T00:00:00-07:002023-04-03T00:00:00-07:002023-06783Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-03/pdf/2023-06783.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/03/2023-06782.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the SGI Dynamic Tactical ETF Under Nasdaq Rule 5750 (“Proxy Portfolio Shares”)2023-04-03T00:00:00-07:002023-04-03T00:00:00-07:002023-06782Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-03/pdf/2023-06782.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/03/2023-06781.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.25E2023-04-03T00:00:00-07:002023-04-03T00:00:00-07:002023-06781Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-03/pdf/2023-06781.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/03/2023-06962.htmlNotice - Sunshine Act Meetings2023-04-03T00:00:00-07:002023-04-03T00:00:00-07:002023-06962Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-03/pdf/2023-06962.pdf