Securities and Exchange Commission September 13, 2023 – Federal Register Recent Federal Regulation Documents

Submission for OMB Review; Comment Request; Extension: Exchange Act Form 10-K

Document Number: 2023-19791

Type: Notice

Date: 2023-09-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19791.html

Proposed Collection; Comment Request; Extension: Rule 15g-9

Document Number: 2023-19790

Type: Notice

Date: 2023-09-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19790.html

Proposed Collection; Comment Request; Extension: Rule 17Ac3-1(a) and Form TA-W

Document Number: 2023-19789

Type: Notice

Date: 2023-09-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19789.html

Submission for OMB Review; Comment Request; Extension: Form 20-F

Document Number: 2023-19792

Type: Notice

Date: 2023-09-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19792.html

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 13 Concerning PIXL

Document Number: 2023-19731

Type: Notice

Date: 2023-09-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19731.html

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 13 Concerning PRISM

Document Number: 2023-19730

Type: Notice

Date: 2023-09-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19730.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Codes of Arbitration Procedure To Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP

Document Number: 2023-19729

Type: Notice

Date: 2023-09-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19729.html

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Period

Document Number: 2023-19728

Type: Notice

Date: 2023-09-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19728.html