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=atom2024-05-23T12:51:18-07:00Justia 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.pdf