Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/07?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T15:25:19-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16288.htmlNotice - Sunshine Act Meetings2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16288Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16288.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16113.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules To Provide Users With a Risk Setting They May Elect To Apply to Their Orders That Will Allow Them To Reject Market Orders During Continuous Trading and/or Auctions2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16113Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16113.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16112.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules To Provide Users With a Risk Setting They May Elect To Apply to their Orders That Will Allow Them To Reject Market Orders During Continuous Trading and/or Auctions2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16112Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16112.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16111.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules To Provide Users With a Risk Setting They May Elect To Apply to Their Orders That Will Allow Them To Reject Market Orders During Continuous Trading and/or Auctions2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16111Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16111.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16110.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Create a New, Non-Trading Limited Membership Class and Impose Related Requirements for Principal Underwriting Activity2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16110Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16110.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16109.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-3 To Create an Exemption for Municipal Advisor Representatives From Requalification by Examination and Remove Waiver Provisions and To Amend MSRB Rule G-8 To Establish Related Books and Records Requirements2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16109Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16109.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16108.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules To Provide Users With a Risk Setting They May Elect To Apply to Their Orders That Will Allow Them To Reject Market Orders During Continuous Trading and/or Auctions2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16108Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16108.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16107.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 To Provide Eligible Individuals Another Opportunity To Elect To Participate in the Maintaining Qualifications Program2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16107Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16107.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16125.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the COtwo Advisors Physical European Carbon Allowance Trust Under NYSE Arca Rule 8.201-E2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16125Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16125.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16124.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 4752, 4753, and 47542023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16124Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16124.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16122.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16122Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16122.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16118.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Relating to Amendments to the Outsourcing Policy2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16118Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16118.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16101.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17a-19 and Form X-17A-192023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16101Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16101.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16100.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 30e-12023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16100Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16100.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/31/2023-16099.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17Ad-3(b)2023-07-31T00:00:00-07:002023-07-31T00:00:00-07:002023-16099Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-31/pdf/2023-16099.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/28/2023-15989.htmlNotice - RM Opportunity Trust and Rocky Mountain Private Wealth Management L.L.C.2023-07-28T00:00:00-07:002023-07-28T00:00:00-07:002023-15989Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-28/pdf/2023-15989.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/28/2023-15988.htmlNotice - T. Rowe Price OHA Select Private Credit Fund, et al.2023-07-28T00:00:00-07:002023-07-28T00:00:00-07:002023-15988Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-28/pdf/2023-15988.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/28/2023-15981.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend and Restate the Cross-Margining Agreement between FICC and CM2023-07-28T00:00:00-07:002023-07-28T00:00:00-07:002023-15981Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-28/pdf/2023-15981.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/28/2023-15980.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 Schedule2023-07-28T00:00:00-07:002023-07-28T00:00:00-07:002023-15980Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-28/pdf/2023-15980.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/27/2023-14566.htmlProposed Rule - Regulatory Flexibility Agenda2023-07-27T00:00:00-07:002023-07-27T00:00:00-07:002023-14566Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-07-27/pdf/2023-14566.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/27/2023-15861.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 Change How Certain Complex Orders Are Assessed Within the Fee Structure2023-07-27T00:00:00-07:002023-07-27T00:00:00-07:002023-15861Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-27/pdf/2023-15861.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/26/2023-15828.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 6082023-07-26T00:00:00-07:002023-07-26T00:00:00-07:002023-15828Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-26/pdf/2023-15828.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/26/2023-15827.htmlNotice - Proposed Collection; Comment Request; Extension: Form PF and Rule and Rule 204(b)-12023-07-26T00:00:00-07:002023-07-26T00:00:00-07:002023-15827Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-26/pdf/2023-15827.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/26/2023-15762.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 15c1-52023-07-26T00:00:00-07:002023-07-26T00:00:00-07:002023-15762Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-26/pdf/2023-15762.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/26/2023-15758.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to Recovery Plan2023-07-26T00:00:00-07:002023-07-26T00:00:00-07:002023-15758Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-26/pdf/2023-15758.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/26/2023-15771.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 Options (“SPX”) Series2023-07-26T00:00:00-07:002023-07-26T00:00:00-07:002023-15771Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-26/pdf/2023-15771.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/26/2023-15763.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 15c1-62023-07-26T00:00:00-07:002023-07-26T00:00:00-07:002023-15763Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-26/pdf/2023-15763.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/25/2023-15658.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Distributions Guide, Redemptions Guide, Reorganizations Guide, and Operational Arrangements, Relating to the Compensation Claims Process2023-07-25T00:00:00-07:002023-07-25T00:00:00-07:002023-15658Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-25/pdf/2023-15658.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/25/2023-15656.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 TotalView2023-07-25T00:00:00-07:002023-07-25T00:00:00-07:002023-15656Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-25/pdf/2023-15656.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/25/2023-15655.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 TotalView2023-07-25T00:00:00-07:002023-07-25T00:00:00-07:002023-15655Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-25/pdf/2023-15655.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/25/2023-15654.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options2023-07-25T00:00:00-07:002023-07-25T00:00:00-07:002023-15654Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-25/pdf/2023-15654.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/25/2023-15648.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 613 of Regulation NMS2023-07-25T00:00:00-07:002023-07-25T00:00:00-07:002023-15648Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-25/pdf/2023-15648.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/24/2023-15561.htmlNotice - KKR Real Estate Select Trust Inc., et al.2023-07-24T00:00:00-07:002023-07-24T00:00:00-07:002023-15561Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-24/pdf/2023-15561.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/24/2023-15575.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change for New Rule 971.1NYP2023-07-24T00:00:00-07:002023-07-24T00:00:00-07:002023-15575Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-24/pdf/2023-15575.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/24/2023-15573.htmlNotice - Proposed Collection; Comment Request: Rule 15c6-22023-07-24T00:00:00-07:002023-07-24T00:00:00-07:002023-15573Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-24/pdf/2023-15573.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/24/2023-15569.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 15 (Risk Protections) To Adopt an Active Quote Protection2023-07-24T00:00:00-07:002023-07-24T00:00:00-07:002023-15569Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-24/pdf/2023-15569.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/24/2023-15578.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Provide Eligible Individuals Another Opportunity To Elect To Participate in the Maintaining Qualifications Program2023-07-24T00:00:00-07:002023-07-24T00:00:00-07:002023-15578Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-24/pdf/2023-15578.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/24/2023-15696.htmlNotice - Sunshine Act Meetings2023-07-24T00:00:00-07:002023-07-24T00:00:00-07:002023-15696Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-24/pdf/2023-15696.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/24/2023-15664.htmlNotice - Sunshine Act Meeting2023-07-24T00:00:00-07:002023-07-24T00:00:00-07:002023-15664Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-24/pdf/2023-15664.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/21/2023-15476.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees2023-07-21T00:00:00-07:002023-07-21T00:00:00-07:002023-15476Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-21/pdf/2023-15476.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/21/2023-15475.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees2023-07-21T00:00:00-07:002023-07-21T00:00:00-07:002023-15475Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-21/pdf/2023-15475.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/21/2023-15474.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under Nasdaq Rule 5711(d), Commodity-Based Trust Shares2023-07-21T00:00:00-07:002023-07-21T00:00:00-07:002023-15474Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-21/pdf/2023-15474.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/21/2023-15473.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees2023-07-21T00:00:00-07:002023-07-21T00:00:00-07:002023-15473Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-21/pdf/2023-15473.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/21/2023-15472.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees2023-07-21T00:00:00-07:002023-07-21T00:00:00-07:002023-15472Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-21/pdf/2023-15472.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/21/2023-15471.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees2023-07-21T00:00:00-07:002023-07-21T00:00:00-07:002023-15471Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-21/pdf/2023-15471.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/21/2023-15480.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees2023-07-21T00:00:00-07:002023-07-21T00:00:00-07:002023-15480Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-21/pdf/2023-15480.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/21/2023-15477.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees2023-07-21T00:00:00-07:002023-07-21T00:00:00-07:002023-15477Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-21/pdf/2023-15477.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/20/2023-15357.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework2023-07-20T00:00:00-07:002023-07-20T00:00:00-07:002023-15357Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-20/pdf/2023-15357.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/20/2023-15356.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2023-07-20T00:00:00-07:002023-07-20T00:00:00-07:002023-15356Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-20/pdf/2023-15356.pdfhttps://regulations.justia.com/regulations/fedreg/2023/07/20/2023-15355.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2023-07-20T00:00:00-07:002023-07-20T00:00:00-07:002023-15355Noticehttps://www.govinfo.gov/content/pkg/FR-2023-07-20/pdf/2023-15355.pdf