Securities and Exchange Commission May 23, 2023 – Federal Register Recent Federal Regulation Documents

Technical Amendments to Form BD and Form BDW

Document Number: 2023-10442

Type: Rule

Date: 2023-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission (``Commission'') is making technical amendments to Form BD and Form BDW, the uniform broker-dealer registration form and the uniform request for withdrawal from broker-dealer registration, respectively. The technical amendments will update the current list of self-regulatory organizations (``SROs'') and government jurisdictions listed on Form BD and Form BDW, and make conforming changes to the definition of ``jurisdiction'' in the forms.

https://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10442.html

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3

Document Number: 2023-10906

Type: Notice

Date: 2023-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10906.html

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders

Document Number: 2023-10905

Type: Notice

Date: 2023-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10905.html

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Equities Fee Schedule

Document Number: 2023-10904

Type: Notice

Date: 2023-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10904.html