Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/06?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-17T05:21:01-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/06/30/2023-13895.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 32023-06-30T00:00:00-07:002023-06-30T00:00:00-07:002023-13895Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-30/pdf/2023-13895.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/30/2023-13894.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA's Trading Activity Fee2023-06-30T00:00:00-07:002023-06-30T00:00:00-07:002023-13894Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-30/pdf/2023-13894.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/30/2023-12592.htmlRule - Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers2023-06-30T00:00:00-07:002023-06-30T00:00:00-07:002023-12592Rulehttps://www.govinfo.gov/content/pkg/FR-2023-06-30/pdf/2023-12592.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/30/2023-13952.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 4822023-06-30T00:00:00-07:002023-06-30T00:00:00-07:002023-13952Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-30/pdf/2023-13952.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/29/2023-13864.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures2023-06-29T00:00:00-07:002023-06-29T00:00:00-07:002023-13864Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-29/pdf/2023-13864.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/29/2023-13791.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments FTSE 100 Index Contracts and SARON Futures Contracts2023-06-29T00:00:00-07:002023-06-29T00:00:00-07:002023-13791Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-29/pdf/2023-13791.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/29/2023-13790.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Options 7 Regarding PXL Order Pricing2023-06-29T00:00:00-07:002023-06-29T00:00:00-07:002023-13790Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-29/pdf/2023-13790.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/29/2023-13788.htmlNotice - Proposed Collection; Comment Request; Extension: Form 144-Notice of Proposed Sale of Securities Pursuant to Rule 144 Under the Securities Act of 19332023-06-29T00:00:00-07:002023-06-29T00:00:00-07:002023-13788Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-29/pdf/2023-13788.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/29/2023-13787.htmlNotice - Proposed Collection; Comment Request; Extension: Form 5-Annual Statement of Beneficial Ownership2023-06-29T00:00:00-07:002023-06-29T00:00:00-07:002023-13787Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-29/pdf/2023-13787.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/29/2023-13785.htmlNotice - Proposed Collection; Comment Request; Extension: Regulation 14N and Schedule 14N2023-06-29T00:00:00-07:002023-06-29T00:00:00-07:002023-13785Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-29/pdf/2023-13785.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/29/2023-13784.htmlNotice - Proposed Collection; Comment Request; Extension: Schedule TO2023-06-29T00:00:00-07:002023-06-29T00:00:00-07:002023-13784Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-29/pdf/2023-13784.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/29/2023-13795.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7660 (Communications and Equipment)2023-06-29T00:00:00-07:002023-06-29T00:00:00-07:002023-13795Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-29/pdf/2023-13795.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/27/2023-13457.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for the Priority Customer Rebate Program and the Professional Rebate Program2023-06-27T00:00:00-07:002023-06-27T00:00:00-07:002023-13457Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-27/pdf/2023-13457.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/27/2023-13455.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Additional Separate Maker Rebates in Non-Penny Classes From the MIAX Pearl Options Fee Schedule2023-06-27T00:00:00-07:002023-06-27T00:00:00-07:002023-13455Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-27/pdf/2023-13455.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/27/2023-13560.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change by the Options Clearing Corporation Concerning Amendment of Its Recovery and Orderly Wind-Down Plan2023-06-27T00:00:00-07:002023-06-27T00:00:00-07:002023-13560Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-27/pdf/2023-13560.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/27/2023-13559.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Automated Price Improvement Auction Rules2023-06-27T00:00:00-07:002023-06-27T00:00:00-07:002023-13559Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-27/pdf/2023-13559.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/27/2023-13565.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule2023-06-27T00:00:00-07:002023-06-27T00:00:00-07:002023-13565Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-27/pdf/2023-13565.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/27/2023-13564.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Rules2023-06-27T00:00:00-07:002023-06-27T00:00:00-07:002023-13564Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-27/pdf/2023-13564.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/27/2023-13563.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule2023-06-27T00:00:00-07:002023-06-27T00:00:00-07:002023-13563Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-27/pdf/2023-13563.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/27/2023-13562.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Liquidity Risk Modelling Framework2023-06-27T00:00:00-07:002023-06-27T00:00:00-07:002023-13562Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-27/pdf/2023-13562.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/27/2023-13561.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Alternative Display Facility New Entrant2023-06-27T00:00:00-07:002023-06-27T00:00:00-07:002023-13561Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-27/pdf/2023-13561.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/27/2023-13588.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 15c3-32023-06-27T00:00:00-07:002023-06-27T00:00:00-07:002023-13588Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-27/pdf/2023-13588.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13453.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 Product2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13453Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13453.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13452.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments the Collateral and Haircut Procedures2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13452Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13452.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13451.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Concerning the Options Clearing Corporation's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13451Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13451.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13450.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13450Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13450.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13449.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation To Amend and Enhance the Options Clearing Corporation's Model Risk Management Policy2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13449Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13449.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13447.htmlProposed Rule - Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13447Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13447.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13442.htmlNotice - Vista Credit Strategic Lending Corp. et al.2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13442Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13442.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13607.htmlNotice - Sunshine Act Meetings2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13607Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13607.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13499.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Partial Cabinet Solution Bundles Offered as Part of Its Co-Location Services2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13499Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13499.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13498.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13498Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13498.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13458.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 4120 (Transactions of Certain Public Customers) and BOX Rule 100 (Definitions) and Adopt IM-4120-12023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13458Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13458.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13456.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13456Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13456.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/26/2023-13454.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 Product2023-06-26T00:00:00-07:002023-06-26T00:00:00-07:002023-13454Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-26/pdf/2023-13454.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/23/2023-13346.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements2023-06-23T00:00:00-07:002023-06-23T00:00:00-07:002023-13346Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-23/pdf/2023-13346.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/23/2023-13345.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules Regarding Continuing Education Requirements2023-06-23T00:00:00-07:002023-06-23T00:00:00-07:002023-13345Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-23/pdf/2023-13345.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/23/2023-13344.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules Regarding Continuing Education Requirements2023-06-23T00:00:00-07:002023-06-23T00:00:00-07:002023-13344Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-23/pdf/2023-13344.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/23/2023-13342.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Partial Cabinet Solution Bundles Offered as Part of Its Co-Location Services2023-06-23T00:00:00-07:002023-06-23T00:00:00-07:002023-13342Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-23/pdf/2023-13342.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/23/2023-13341.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Partial Cabinet Solution Bundles Offered as Part of Its Co-Location Services2023-06-23T00:00:00-07:002023-06-23T00:00:00-07:002023-13341Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-23/pdf/2023-13341.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/23/2023-13340.htmlNotice - Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail2023-06-23T00:00:00-07:002023-06-23T00:00:00-07:002023-13340Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-23/pdf/2023-13340.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/23/2023-13339.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend the Partial Cabinet Solution Bundles Offered as Part of Its Co-Location Services2023-06-23T00:00:00-07:002023-06-23T00:00:00-07:002023-13339Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-23/pdf/2023-13339.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/23/2023-13338.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Partial Cabinet Solution Bundles Offered as Part of Its Co-Location Services2023-06-23T00:00:00-07:002023-06-23T00:00:00-07:002023-13338Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-23/pdf/2023-13338.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/23/2023-13348.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments Part HH of Its Delivery Procedures2023-06-23T00:00:00-07:002023-06-23T00:00:00-07:002023-13348Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-23/pdf/2023-13348.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/23/2023-13347.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements2023-06-23T00:00:00-07:002023-06-23T00:00:00-07:002023-13347Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-23/pdf/2023-13347.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/22/2023-13212.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Relating to the Processing of Auction Responses2023-06-22T00:00:00-07:002023-06-22T00:00:00-07:002023-13212Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-22/pdf/2023-13212.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/22/2023-13211.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Futures and Options Default Management Procedures2023-06-22T00:00:00-07:002023-06-22T00:00:00-07:002023-13211Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-22/pdf/2023-13211.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/22/2023-13221.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New Exchange Rule 980NYP and Amend Exchange Rule 935NY2023-06-22T00:00:00-07:002023-06-22T00:00:00-07:002023-13221Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-22/pdf/2023-13221.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/22/2023-13220.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Sections 3 and 62023-06-22T00:00:00-07:002023-06-22T00:00:00-07:002023-13220Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-22/pdf/2023-13220.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/22/2023-13219.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan2023-06-22T00:00:00-07:002023-06-22T00:00:00-07:002023-13219Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-22/pdf/2023-13219.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/22/2023-13218.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, To Implement a Low Priced Stock Strike Price Interval Program2023-06-22T00:00:00-07:002023-06-22T00:00:00-07:002023-13218Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-22/pdf/2023-13218.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/22/2023-13213.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 Shares2023-06-22T00:00:00-07:002023-06-22T00:00:00-07:002023-13213Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-22/pdf/2023-13213.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/21/2023-13108.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Complex Order Rules2023-06-21T00:00:00-07:002023-06-21T00:00:00-07:002023-13108Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-21/pdf/2023-13108.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/21/2023-13107.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3082023-06-21T00:00:00-07:002023-06-21T00:00:00-07:002023-13107Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-21/pdf/2023-13107.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/21/2023-13106.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Method by Which the Exchange Provides Certain Rebates2023-06-21T00:00:00-07:002023-06-21T00:00:00-07:002023-13106Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-21/pdf/2023-13106.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/21/2023-13105.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility To Offer Ad-Hoc Historical Requests for the Intraday Open-Close Data Report and Adopt Fees for This Data2023-06-21T00:00:00-07:002023-06-21T00:00:00-07:002023-13105Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-21/pdf/2023-13105.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/21/2023-13109.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 307, Position Limits2023-06-21T00:00:00-07:002023-06-21T00:00:00-07:002023-13109Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-21/pdf/2023-13109.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-13171.htmlNotice - Sunshine Act Meetings2023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-13171Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-13171.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-12591.htmlRule - Removal of References to Credit Ratings From Regulation M2023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-12591Rulehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-12591.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-13005.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend the Short Term Option Series Program in Supplementary Material .03 of Options 4, Section 52023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-13005Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-13005.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-13004.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-13004Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-13004.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-13003.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Change To Amend Rule 915 (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs2023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-13003Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-13003.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-13002.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 Schedule To Modify the Step-Up Added Liquidity Rebate2023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-13002Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-13002.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-13001.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.37E To Specify the Exchange's Source of Data Feeds From MEMX LLC2023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-13001Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-13001.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-13000.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify the Exchange's Source of Data Feeds From MEMX LLC2023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-13000Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-13000.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-12999.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Specify the Exchange's Source of Data Feeds From MEMX LLC2023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-12999Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-12999.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-12998.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify the Exchange's Source of Data Feeds From MEMX LLC2023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-12998Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-12998.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/20/2023-13006.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-06-20T00:00:00-07:002023-06-20T00:00:00-07:002023-13006Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-20/pdf/2023-13006.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/16/2023-12851.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 15c2-112023-06-16T00:00:00-07:002023-06-16T00:00:00-07:002023-12851Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-16/pdf/2023-12851.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/16/2023-12850.htmlNotice - Submission for OMB Review; Comment Request: Extension: “Investor Form”2023-06-16T00:00:00-07:002023-06-16T00:00:00-07:002023-12850Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-16/pdf/2023-12850.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/16/2023-12989.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 3a-82023-06-16T00:00:00-07:002023-06-16T00:00:00-07:002023-12989Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-16/pdf/2023-12989.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/16/2023-12872.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify the Exchange's Source of Data Feeds From MEMX LLC2023-06-16T00:00:00-07:002023-06-16T00:00:00-07:002023-12872Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-16/pdf/2023-12872.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/16/2023-12871.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Triparty Collateral Mechanism2023-06-16T00:00:00-07:002023-06-16T00:00:00-07:002023-12871Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-16/pdf/2023-12871.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12759.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New Section 811 of the NYSE American Company Guide To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12759Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12759.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12757.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Listing Standards Related to Recovery of Erroneously Awarded Executive Compensation2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12757Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12757.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12756.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protection Processes for Simple Orders and Make Other Clarifying Changes2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12756Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12756.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12755.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12755Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12755.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12754.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 Charges2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12754Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12754.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12753.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make the Nonstandard Expirations Pilot Program Permanent2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12753Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12753.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12752.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Permanent the Operation of its 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 Series2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12752Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12752.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12764.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12764Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12764.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12763.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12763Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12763.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12762.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, 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 Changes2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12762Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12762.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12761.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New NYSE Chicago Rule 29 To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12761Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12761.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12760.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New NYSE Arca Rule 5.3-E(p) To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12760Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12760.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12996.htmlNotice - Sunshine Act Meetings2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12996Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12996.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/15/2023-12890.htmlNotice - Sunshine Act Meetings2023-06-15T00:00:00-07:002023-06-15T00:00:00-07:002023-12890Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-15/pdf/2023-12890.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/14/2023-12822.htmlNotice - Sunshine Act Meetings2023-06-14T00:00:00-07:002023-06-14T00:00:00-07:002023-12822Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-14/pdf/2023-12822.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/14/2023-12758.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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 Compensation2023-06-14T00:00:00-07:002023-06-14T00:00:00-07:002023-12758Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-14/pdf/2023-12758.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/14/2023-12665.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Revise Certain of the Exchange's Initial Listing Standards2023-06-14T00:00:00-07:002023-06-14T00:00:00-07:002023-12665Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-14/pdf/2023-12665.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/14/2023-12664.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility To Amend Certain Rebates for Qualified Contingent Cross Transactions2023-06-14T00:00:00-07:002023-06-14T00:00:00-07:002023-12664Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-14/pdf/2023-12664.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/14/2023-12663.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Separate Fees and Rebates on Non-Auction Transactions for Options Overlying the Standard and Poor's Depositary Receipts Trust2023-06-14T00:00:00-07:002023-06-14T00:00:00-07:002023-12663Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-14/pdf/2023-12663.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/14/2023-12662.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Permanent the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Settlement Values for FLEX Index Options2023-06-14T00:00:00-07:002023-06-14T00:00:00-07:002023-12662Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-14/pdf/2023-12662.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/14/2023-12661.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge2023-06-14T00:00:00-07:002023-06-14T00:00:00-07:002023-12661Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-14/pdf/2023-12661.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/14/2023-12660.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 1182023-06-14T00:00:00-07:002023-06-14T00:00:00-07:002023-12660Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-14/pdf/2023-12660.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/13/2023-12579.htmlNotice - Credit Suisse Asset Management, LLC., et al.; Notice of Application and Temporary Order2023-06-13T00:00:00-07:002023-06-13T00:00:00-07:002023-12579Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-13/pdf/2023-12579.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/13/2023-12578.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 42023-06-13T00:00:00-07:002023-06-13T00:00:00-07:002023-12578Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-13/pdf/2023-12578.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/13/2023-12577.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule2023-06-13T00:00:00-07:002023-06-13T00:00:00-07:002023-12577Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-13/pdf/2023-12577.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/13/2023-12576.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate a Transaction Credit at Equity 7, Section 1182023-06-13T00:00:00-07:002023-06-13T00:00:00-07:002023-12576Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-13/pdf/2023-12576.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/13/2023-12575.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-06-13T00:00:00-07:002023-06-13T00:00:00-07:002023-12575Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-13/pdf/2023-12575.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/13/2023-12574.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2023-06-13T00:00:00-07:002023-06-13T00:00:00-07:002023-12574Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-13/pdf/2023-12574.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/13/2023-12573.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Options 8 Rules2023-06-13T00:00:00-07:002023-06-13T00:00:00-07:002023-12573Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-13/pdf/2023-12573.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/13/2023-12570.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 15b6-1 and Form BDW2023-06-13T00:00:00-07:002023-06-13T00:00:00-07:002023-12570Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-13/pdf/2023-12570.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/12/2023-11845.htmlRule - Technical Amendments to Commission Rules and Forms2023-06-12T00:00:00-07:002023-06-12T00:00:00-07:002023-11845Rulehttps://www.govinfo.gov/content/pkg/FR-2023-06-12/pdf/2023-11845.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/12/2023-09775.htmlRule - Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting2023-06-12T00:00:00-07:002023-06-12T00:00:00-07:002023-09775Rulehttps://www.govinfo.gov/content/pkg/FR-2023-06-12/pdf/2023-09775.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/12/2023-12638.htmlNotice - Sunshine Act Meetings2023-06-12T00:00:00-07:002023-06-12T00:00:00-07:002023-12638Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-12/pdf/2023-12638.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/12/2023-12415.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Automated Price Improvement Auction Rules2023-06-12T00:00:00-07:002023-06-12T00:00:00-07:002023-12415Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-12/pdf/2023-12415.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/12/2023-12414.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the COtwo Advisors Physical European Carbon Allowance Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)2023-06-12T00:00:00-07:002023-06-12T00:00:00-07:002023-12414Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-12/pdf/2023-12414.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/09/2023-12300.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Relating to the Clearance of Additional Credit Default Swap Contracts2023-06-09T00:00:00-07:002023-06-09T00:00:00-07:002023-12300Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-09/pdf/2023-12300.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/09/2023-12299.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to Clearance of Additional Credit Default Swap Contracts2023-06-09T00:00:00-07:002023-06-09T00:00:00-07:002023-12299Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-09/pdf/2023-12299.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/09/2023-12297.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 203-2 & Form ADV-W2023-06-09T00:00:00-07:002023-06-09T00:00:00-07:002023-12297Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-09/pdf/2023-12297.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/08/2023-12339.htmlNotice - Sunshine Act Meetings2023-06-08T00:00:00-07:002023-06-08T00:00:00-07:002023-12339Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-08/pdf/2023-12339.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/08/2023-12216.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Natixis Loomis Sayles Focused Growth ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares)2023-06-08T00:00:00-07:002023-06-08T00:00:00-07:002023-12216Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-08/pdf/2023-12216.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/07/2023-12193.htmlNotice - Arca U.S. Treasury Fund and Arca Capital Management, LLC2023-06-07T00:00:00-07:002023-06-07T00:00:00-07:002023-12193Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-07/pdf/2023-12193.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/07/2023-12095.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 147A(f)(1)(iii) Written Representation as to Purchaser Residency2023-06-07T00:00:00-07:002023-06-07T00:00:00-07:002023-12095Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-07/pdf/2023-12095.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/07/2023-12110.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.24(e) To Modify When the Exchange Will Disseminate the Retail Liquidity Identifier2023-06-07T00:00:00-07:002023-06-07T00:00:00-07:002023-12110Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-07/pdf/2023-12110.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/07/2023-12106.htmlNotice - Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 19402023-06-07T00:00:00-07:002023-06-07T00:00:00-07:002023-12106Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-07/pdf/2023-12106.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/07/2023-12096.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 147(f)(1)(iii) Written Representation as to Purchaser Residency2023-06-07T00:00:00-07:002023-06-07T00:00:00-07:002023-12096Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-07/pdf/2023-12096.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/06/2023-11921.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice 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 Certain P.M.-Settled Pilots2023-06-06T00:00:00-07:002023-06-06T00:00:00-07:002023-11921Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-06/pdf/2023-11921.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/06/2023-11920.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX 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 Make Permanent Certain P.M.-Settled Pilots2023-06-06T00:00:00-07:002023-06-06T00:00:00-07:002023-11920Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-06/pdf/2023-11920.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/06/2023-11925.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-06-06T00:00:00-07:002023-06-06T00:00:00-07:002023-11925Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-06/pdf/2023-11925.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/06/2023-11924.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)2023-06-06T00:00:00-07:002023-06-06T00:00:00-07:002023-11924Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-06/pdf/2023-11924.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/06/2023-11923.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Field-Programmable Gate Array Technology as an Optional Delivery Mechanism for PSX TotalView2023-06-06T00:00:00-07:002023-06-06T00:00:00-07:002023-11923Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-06/pdf/2023-11923.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/06/2023-11922.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Field-Programmable Gate Array Technology as an Optional Delivery Mechanism for BX TotalView2023-06-06T00:00:00-07:002023-06-06T00:00:00-07:002023-11922Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-06/pdf/2023-11922.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/06/2023-11992.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 203A-2(d)2023-06-06T00:00:00-07:002023-06-06T00:00:00-07:002023-11992Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-06/pdf/2023-11992.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/05/2023-11808.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 3a-82023-06-05T00:00:00-07:002023-06-05T00:00:00-07:002023-11808Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-05/pdf/2023-11808.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/05/2023-11823.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7 To Establish Pricing for Index Options on the Nasdaq-100 ESG Index2023-06-05T00:00:00-07:002023-06-05T00:00:00-07:002023-11823Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-05/pdf/2023-11823.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/05/2023-11822.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Options 3 Rules and Options 5, Section 42023-06-05T00:00:00-07:002023-06-05T00:00:00-07:002023-11822Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-05/pdf/2023-11822.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/05/2023-11821.htmlNotice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 19402023-06-05T00:00:00-07:002023-06-05T00:00:00-07:002023-11821Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-05/pdf/2023-11821.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/05/2023-11960.htmlNotice - Sunshine Act Meetings2023-06-05T00:00:00-07:002023-06-05T00:00:00-07:002023-11960Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-05/pdf/2023-11960.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/05/2023-12089.htmlNotice - Sunshine Act Meetings2023-06-05T00:00:00-07:002023-06-05T00:00:00-07:002023-12089Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-05/pdf/2023-12089.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/02/2023-11716.htmlNotice - Deregistration Under Section 8(f) of the Investment Company Act of 19402023-06-02T00:00:00-07:002023-06-02T00:00:00-07:002023-11716Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-02/pdf/2023-11716.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/02/2023-11715.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Certain Trading Functionality2023-06-02T00:00:00-07:002023-06-02T00:00:00-07:002023-11715Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-02/pdf/2023-11715.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/02/2023-11714.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Partial Amendment No. 1 to Proposed Rule Change by The Options Clearing Corporation Concerning Clearing Member Cybersecurity Obligations2023-06-02T00:00:00-07:002023-06-02T00:00:00-07:002023-11714Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-02/pdf/2023-11714.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11613.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11613Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11613.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11612.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11612Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11612.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11611.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval 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 Reference2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11611Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11611.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11610.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11610Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11610.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11609.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 9232 and Rule 308-Equities2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11609Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11609.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11608.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11608Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11608.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11607.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11607Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11607.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11616.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Investment Policy2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11616Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11616.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11615.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Investment Policy2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11615Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11615.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11614.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Investment Policy2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11614Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11614.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-09965.htmlRule - Share Repurchase Disclosure Modernization2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-09965Rulehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-09965.pdf