<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/09/29?registers=between Thu, 28 Nov 2024 06:40:06 -0800 Thu, 28 Nov 2024 06:40:06 -0800 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/09/29?registers=between Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21351.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21351.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21351 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21351.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21350.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21350.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21350 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21350.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21349.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21349.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21349 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21349.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21348.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21348.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21348 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21348.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21347.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21347.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21347 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21347.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21346.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21346.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21346 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21346.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21345.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21345.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21345 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21345.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21344.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21344.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21344 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21344.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21343.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21343.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21343 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21343.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21342.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21342.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21342 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21342.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21341.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21341.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21341 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21341.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Stress Testing Framework https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21340.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21340.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21340 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21340.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Change To Amend the NYSE National Schedule of Fees and Rebates https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21339.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21339.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21339 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21339.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21338.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21338.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21338 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21338.pdf Notice - Submission for OMB Review; Comment Request; Extension: Form PF and Rule 204(b)-1 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21430.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21430.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21430 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21430.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 15c1-5 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21429.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21429.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21429 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21429.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 15c1-6 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21428.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21428.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21428 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21428.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 608 https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21427.html https://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21427.html Fri, 29 Sep 2023 00:00:00 -0700 2023-21427 Notice https://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21427.pdf