Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T11:49:19-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/08/31/2023-18777.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule To Delay Implementation of Pending Amendments to Equity 4, Rules 4120, 4702 and 4703 and To Make Further Amendments to Rules 4702 and 47032023-08-31T00:00:00-07:002023-08-31T00:00:00-07:002023-18777Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-31/pdf/2023-18777.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/31/2023-18776.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Advance Notice To Raise Prefunded Liquidity Resources Through the Periodic Issuance and Private Placement of Senior Notes2023-08-31T00:00:00-07:002023-08-31T00:00:00-07:002023-18776Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-31/pdf/2023-18776.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/31/2023-18771.htmlNotice - Deregistration Under Section 8(f) of the Investment Company Act of 19402023-08-31T00:00:00-07:002023-08-31T00:00:00-07:002023-18771Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-31/pdf/2023-18771.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18677.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Alternative Display Facility New Entrant2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18677Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18677.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18676.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18676Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18676.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18675.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules in Connection With the Number of Legs of a Complex Order That May Be Entered on a Single Order Ticket at the Time of Systemization2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18675Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18675.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18673.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18673Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18673.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18672.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Extension of Review Period of Advance Notice Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between the Options Clearing Corporation and the National Securities Clearing Corporation2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18672Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18672.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18670.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18670Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18670.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18723.htmlNotice - Order Making Fiscal Year 2024 Annual Adjustments to Registration Fee Rates2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18723Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18723.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/30/2023-18667.htmlProposed Rule - Safeguarding Advisory Client Assets; Reopening of Comment Period2023-08-30T00:00:00-07:002023-08-30T00:00:00-07:002023-18667Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-08-30/pdf/2023-18667.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/29/2023-18552.htmlNotice - Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 19342023-08-29T00:00:00-07:002023-08-29T00:00:00-07:002023-18552Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-29/pdf/2023-18552.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/29/2023-18551.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Membership Policy and Clearing Membership Procedures2023-08-29T00:00:00-07:002023-08-29T00:00:00-07:002023-18551Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-29/pdf/2023-18551.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/29/2023-18550.htmlNotice - Order Granting Application of NYSE National, Inc. for a Limited Exemption From Rule 602 of Regulation NMS for Its Retail Liquidity Program2023-08-29T00:00:00-07:002023-08-29T00:00:00-07:002023-18550Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-29/pdf/2023-18550.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/28/2023-18623.htmlNotice - Sunshine Act Meetings2023-08-28T00:00:00-07:002023-08-28T00:00:00-07:002023-18623Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-28/pdf/2023-18623.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/28/2023-18430.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 928NYP2023-08-28T00:00:00-07:002023-08-28T00:00:00-07:002023-18430Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-28/pdf/2023-18430.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/28/2023-18429.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures2023-08-28T00:00:00-07:002023-08-28T00:00:00-07:002023-18429Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-28/pdf/2023-18429.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18303.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.22 (“Data Products”) To Eliminate the ETF Implied Liquidity Feed2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18303Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18303.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18302.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Modify Certain Connectivity and Port Fees2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18302Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18302.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18301.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 15 (Risk Protections) To Adopt an Active Quote Protection2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18301Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18301.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18300.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18300Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18300.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18299.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18299Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18299.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18298.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Package of Complimentary Services Provided to Certain Eligible Switches and Make Other Changes to IM-5900-7 and IM-5900-7A2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18298Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18298.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18297.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18297Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18297.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18308.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Select Customer Options Reduction Program, Livevol Fees, and Routing Fee Codes2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18308Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18308.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18307.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Set Fees for the Purchase of Field-Programmable Gate Array Technology as an Optional Delivery Mechanism for PSX TotalView2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18307Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18307.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18306.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 15 (Simple Order Risk Protections) To Adopt an Active Quote Protection2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18306Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18306.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18305.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Eliminate Reference to the ETF Implied Liquidity Feed and Corresponding Fees2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18305Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18305.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/25/2023-18304.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 15 (Simple Order Risk Protections) To Adopt an Active Quote Protection2023-08-25T00:00:00-07:002023-08-25T00:00:00-07:002023-18304Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-25/pdf/2023-18304.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/24/2023-18191.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 Certain Connectivity and Port Fees2023-08-24T00:00:00-07:002023-08-24T00:00:00-07:002023-18191Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-24/pdf/2023-18191.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/24/2023-18189.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.44-E2023-08-24T00:00:00-07:002023-08-24T00:00:00-07:002023-18189Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-24/pdf/2023-18189.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/24/2023-18188.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail2023-08-24T00:00:00-07:002023-08-24T00:00:00-07:002023-18188Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-24/pdf/2023-18188.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/24/2023-18187.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Margin Liquidity Adjustment Charge2023-08-24T00:00:00-07:002023-08-24T00:00:00-07:002023-18187Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-24/pdf/2023-18187.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/23/2023-18190.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.442023-08-23T00:00:00-07:002023-08-23T00:00:00-07:002023-18190Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-23/pdf/2023-18190.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/23/2023-18106.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Portfolio Differential Charge as an Additional Component to the Government Securities Division Required Fund Deposit2023-08-23T00:00:00-07:002023-08-23T00:00:00-07:002023-18106Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-23/pdf/2023-18106.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/23/2023-18105.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2023-08-23T00:00:00-07:002023-08-23T00:00:00-07:002023-18105Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-23/pdf/2023-18105.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/23/2023-18104.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Set Fees for the Purchase of Field-Programmable Gate Array Technology as an Optional Delivery Mechanism for BX Totalview2023-08-23T00:00:00-07:002023-08-23T00:00:00-07:002023-18104Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-23/pdf/2023-18104.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/23/2023-18103.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Global X Bitcoin Trust, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-08-23T00:00:00-07:002023-08-23T00:00:00-07:002023-18103Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-23/pdf/2023-18103.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17983.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17983Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17983.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17982.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17982Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17982.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17981.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17981Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17981.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17980.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17980Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17980.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17979.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Amendment No. 1 and Partial Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Relating to the ICC Default Auction Procedures-Initial Default Auctions2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17979Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17979.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17978.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Options Regulatory Fee2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17978Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17978.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17977.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17977Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17977.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-17976.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's All-or-None Order2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-17976Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-17976.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-18012.htmlNotice - Proposed Collection; Comment Request; Extension: Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-18012Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-18012.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-18011.htmlNotice - Proposed Collection; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-162023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-18011Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-18011.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/22/2023-18010.htmlNotice - Proposed Collection; Comment Request; Extension: Form 15F2023-08-22T00:00:00-07:002023-08-22T00:00:00-07:002023-18010Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-22/pdf/2023-18010.pdfhttps://regulations.justia.com/regulations/fedreg/2023/08/21/2023-18014.htmlNotice - Sunshine Act Meetings2023-08-21T00:00:00-07:002023-08-21T00:00:00-07:002023-18014Noticehttps://www.govinfo.gov/content/pkg/FR-2023-08-21/pdf/2023-18014.pdf