Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T06:49:13-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/05/31/2023-11444.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for a New Pair-Off Message That May Be Processed Through the EPN Service2023-05-31T00:00:00-07:002023-05-31T00:00:00-07:002023-11444Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-31/pdf/2023-11444.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/31/2023-11452.htmlNotice - Proposed Collection; Comment Request; Extension: Form SF-12023-05-31T00:00:00-07:002023-05-31T00:00:00-07:002023-11452Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-31/pdf/2023-11452.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/31/2023-11450.htmlNotice - Proposed Collection; Comment Request; Extension: Form SF-32023-05-31T00:00:00-07:002023-05-31T00:00:00-07:002023-11450Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-31/pdf/2023-11450.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/31/2023-11549.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17Ab2-1 and Form CA-12023-05-31T00:00:00-07:002023-05-31T00:00:00-07:002023-11549Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-31/pdf/2023-11549.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/30/2023-10889.htmlProposed Rule - Covered Clearing Agency Resilience and Recovery and Wind-Down Plans2023-05-30T00:00:00-07:002023-05-30T00:00:00-07:002023-10889Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-05-30/pdf/2023-10889.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/30/2023-11356.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-30T00:00:00-07:002023-05-30T00:00:00-07:002023-11356Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-30/pdf/2023-11356.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/26/2023-11240.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Field-Programmable Gate Array Technology as an Optional Delivery Mechanism for PSX TotalView2023-05-26T00:00:00-07:002023-05-26T00:00:00-07:002023-11240Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-26/pdf/2023-11240.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/26/2023-11239.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Field-Programmable Gate Array Technology as an Optional Delivery Mechanism for BX TotalView2023-05-26T00:00:00-07:002023-05-26T00:00:00-07:002023-11239Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-26/pdf/2023-11239.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/26/2023-11313.htmlNotice - Proposed Collection; Comment Request; Extension: Rules 15Ba1-1 Through 15Ba1-82023-05-26T00:00:00-07:002023-05-26T00:00:00-07:002023-11313Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-26/pdf/2023-11313.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/25/2023-11111.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments of the Investment Management Procedures2023-05-25T00:00:00-07:002023-05-25T00:00:00-07:002023-11111Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-25/pdf/2023-11111.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/25/2023-11200.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 30e-12023-05-25T00:00:00-07:002023-05-25T00:00:00-07:002023-11200Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-25/pdf/2023-11200.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/24/2023-11185.htmlNotice - Sunshine Act Meetings2023-05-24T00:00:00-07:002023-05-24T00:00:00-07:002023-11185Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-24/pdf/2023-11185.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/24/2023-11031.htmlNotice - Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail2023-05-24T00:00:00-07:002023-05-24T00:00:00-07:002023-11031Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-24/pdf/2023-11031.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/24/2023-10988.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change by The Options Clearing Corporation Concerning Clearing Member Cybersecurity Obligations2023-05-24T00:00:00-07:002023-05-24T00:00:00-07:002023-10988Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-24/pdf/2023-10988.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10442.htmlRule - Technical Amendments to Form BD and Form BDW2023-05-23T00:00:00-07:002023-05-23T00:00:00-07:002023-10442Rulehttps://www.govinfo.gov/content/pkg/FR-2023-05-23/pdf/2023-10442.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10906.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 32023-05-23T00:00:00-07:002023-05-23T00:00:00-07:002023-10906Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-23/pdf/2023-10906.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10905.htmlNotice - 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 Orders2023-05-23T00:00:00-07:002023-05-23T00:00:00-07:002023-10905Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-23/pdf/2023-10905.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10904.htmlNotice - 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 Schedule2023-05-23T00:00:00-07:002023-05-23T00:00:00-07:002023-10904Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-23/pdf/2023-10904.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/22/2023-10972.htmlNotice - Sunshine Act Meetings2023-05-22T00:00:00-07:002023-05-22T00:00:00-07:002023-10972Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-22/pdf/2023-10972.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/22/2023-10813.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-22T00:00:00-07:002023-05-22T00:00:00-07:002023-10813Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-22/pdf/2023-10813.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/22/2023-10812.htmlNotice - Public Company Accounting Oversight Board; Order Granting Approval of Proposed Amendments To Conform PCAOB Rule 6100 to the Consolidated Appropriations Act, 20232023-05-22T00:00:00-07:002023-05-22T00:00:00-07:002023-10812Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-22/pdf/2023-10812.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/19/2023-10782.htmlNotice - PGIM Investments LLC and PGIM Private Credit Fund2023-05-19T00:00:00-07:002023-05-19T00:00:00-07:002023-10782Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-19/pdf/2023-10782.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/19/2023-10781.htmlNotice - Extension: Rule 613 of Regulation NMS2023-05-19T00:00:00-07:002023-05-19T00:00:00-07:002023-10781Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-19/pdf/2023-10781.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/19/2023-10686.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of Proposed Rule Change To Permit the Listing and Trading of Options on the Nasdaq-100 ESG Index2023-05-19T00:00:00-07:002023-05-19T00:00:00-07:002023-10686Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-19/pdf/2023-10686.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/18/2023-10685.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2023-05-18T00:00:00-07:002023-05-18T00:00:00-07:002023-10685Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-18/pdf/2023-10685.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10474.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.250 To Remove Obsolete Text2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10474Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10474.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10473.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10473Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10473.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10472.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to British Pounds Sterling as Client-Related Margin2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10472Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10472.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10471.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Cboe Data Services, LLC Fee Schedule2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10471Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10471.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10470.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10470Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10470.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10469.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation To Amend and Enhance the Options Clearing Corporation's Model Risk Management Policy2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10469Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10469.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10468.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10468Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10468.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10467.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 Contracts2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10467Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10467.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10466.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10466Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10466.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10465.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10465Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10465.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10464.htmlNotice - Hartford Schroders Private Opportunities Fund, et al.2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10464Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10464.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/16/2023-10366.htmlNotice - JPM Private Markets Fund, et al.2023-05-16T00:00:00-07:002023-05-16T00:00:00-07:002023-10366Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-16/pdf/2023-10366.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/16/2023-10359.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 22023-05-16T00:00:00-07:002023-05-16T00:00:00-07:002023-10359Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-16/pdf/2023-10359.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/16/2023-10358.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule at BX Options 7, Section 2 To Increase the Taker Fee for Customer Orders in SPY2023-05-16T00:00:00-07:002023-05-16T00:00:00-07:002023-10358Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-16/pdf/2023-10358.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10249.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 1182023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10249Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10249.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10248.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3(a)(1)2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10248Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10248.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10247.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 1182023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10247Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10247.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10246.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10246Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10246.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10244.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10244Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10244.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10243.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10243Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10243.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10318.htmlNotice - Sunshine Act Meetings2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10318Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10318.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10386.htmlNotice - Sunshine Act Meetings2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10386Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10386.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10126.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10126Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10126.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10124.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.8 Regarding Certain Cancel-Replace Messages2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10124Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10124.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10123.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.32 Regarding Certain Cancel-Replace Messages2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10123Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10123.pdf