Securities and Exchange Commission September 29, 2023 – Federal Register Recent Federal Regulation Documents

Results 1 - 18 of 18
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Eligible Members Another Opportunity To Elect To Participate in the Maintaining Qualifications Program
Document Number: 2023-21351
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21351.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Eligible Members Another Opportunity To Elect To Participate in the Maintaining Qualifications Program
Document Number: 2023-21350
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21350.html
Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Amendment To Modify the Options Price Reporting Authority's Fee Schedule Regarding Caps on the Amounts of Certain Port Fees
Document Number: 2023-21349
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21349.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Eligible Members Another Opportunity To Elect To Participate in the Maintaining Qualifications Program
Document Number: 2023-21348
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21348.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Automated Price Improvement Auction Rules
Document Number: 2023-21347
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21347.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Related to Stock-Option Orders
Document Number: 2023-21346
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21346.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change by National Securities Clearing Corporation To Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules
Document Number: 2023-21345
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21345.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on 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 Corporation
Document Number: 2023-21344
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21344.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7 To Specify Pricing Related to Unrelated Market or Marketable Interest
Document Number: 2023-21343
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21343.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding Early Termination of Complex Order Auctions
Document Number: 2023-21342
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21342.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Initial Period After Commencement of Trading of a Series of ETF Shares on the Exchange as It Relates to the Holders of Record and/or Beneficial Holders, as Provided in Exchange Rule 14.11(l)
Document Number: 2023-21341
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21341.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Stress Testing Framework
Document Number: 2023-21340
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21340.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Change To Amend the NYSE National Schedule of Fees and Rebates
Document Number: 2023-21339
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21339.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving 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 Deposit
Document Number: 2023-21338
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21338.html
Submission for OMB Review; Comment Request; Extension: Form PF and Rule 204(b)-1
Document Number: 2023-21430
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21430.html
Submission for OMB Review; Comment Request; Extension: Rule 15c1-5
Document Number: 2023-21429
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21429.html
Submission for OMB Review; Comment Request; Extension: Rule 15c1-6
Document Number: 2023-21428
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21428.html
Submission for OMB Review; Comment Request; Extension: Rule 608
Document Number: 2023-21427
Type: Notice
Date: 2023-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21427.html
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