Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2025-03-15T08:20:41-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21351.htmlNotice - 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 Program2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21351Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21351.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21350.htmlNotice - 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 Program2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21350Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21350.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21349.htmlNotice - 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 Fees2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21349Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21349.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21348.htmlNotice - 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 Program2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21348Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21348.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21347.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Automated Price Improvement Auction Rules2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21347Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21347.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21346.htmlNotice - 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 Orders2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21346Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21346.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21345.htmlNotice - 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 Rules2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21345Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21345.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21344.htmlNotice - 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 Corporation2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21344Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21344.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21343.htmlNotice - 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 Interest2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21343Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21343.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21342.htmlNotice - 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 Auctions2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21342Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21342.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21341.htmlNotice - 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)2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21341Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21341.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21340.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Stress Testing Framework2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21340Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21340.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21339.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Change To Amend the NYSE National Schedule of Fees and Rebates2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21339Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21339.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21338.htmlNotice - 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 Deposit2023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21338Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21338.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21430.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form PF and Rule 204(b)-12023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21430Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21430.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21429.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 15c1-52023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21429Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21429.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21428.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 15c1-62023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21428Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21428.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/29/2023-21427.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 6082023-09-29T00:00:00-07:002023-09-29T00:00:00-07:002023-21427Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-29/pdf/2023-21427.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/28/2023-21139.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 900.3NYP2023-09-28T00:00:00-07:002023-09-28T00:00:00-07:002023-21139Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-28/pdf/2023-21139.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/28/2023-21137.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend the DTC Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services)2023-09-28T00:00:00-07:002023-09-28T00:00:00-07:002023-21137Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-28/pdf/2023-21137.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/28/2023-21136.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4120 and Rule 47532023-09-28T00:00:00-07:002023-09-28T00:00:00-07:002023-21136Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-28/pdf/2023-21136.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/28/2023-21135.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc.2023-09-28T00:00:00-07:002023-09-28T00:00:00-07:002023-21135Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-28/pdf/2023-21135.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/28/2023-21134.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 980NYP2023-09-28T00:00:00-07:002023-09-28T00:00:00-07:002023-21134Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-28/pdf/2023-21134.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/28/2023-21167.htmlNotice - Submission for OMB Review; Comment Request: Rule 15c6-22023-09-28T00:00:00-07:002023-09-28T00:00:00-07:002023-21167Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-28/pdf/2023-21167.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/28/2023-21286.htmlNotice - T. Rowe Price OHA Select Private Credit Fund and OHA Private Credit Advisors LLC2023-09-28T00:00:00-07:002023-09-28T00:00:00-07:002023-21286Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-28/pdf/2023-21286.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/27/2023-20961.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 5.87 and 8.212023-09-27T00:00:00-07:002023-09-27T00:00:00-07:002023-20961Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-27/pdf/2023-20961.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/27/2023-20960.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 Adopt the NBBO Setter Plus Program and Eliminate Certain Other Rebates2023-09-27T00:00:00-07:002023-09-27T00:00:00-07:002023-20960Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-27/pdf/2023-20960.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/27/2023-20959.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the ARK 21Shares Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-09-27T00:00:00-07:002023-09-27T00:00:00-07:002023-20959Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-27/pdf/2023-20959.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/27/2023-20962.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM Options 7, Section 22023-09-27T00:00:00-07:002023-09-27T00:00:00-07:002023-20962Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-27/pdf/2023-20962.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20974.htmlNotice - Sunshine Act Meetings2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20974Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20974.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20907.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 30b1-10, Form N-RN2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20907Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20907.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20906.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 498A2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20906Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20906.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20808.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent Certain P.M.-Settled Pilots2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20808Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20808.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20807.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20807Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20807.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20806.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20806Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20806.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20805.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 Amend the Language and Process Related to the Options Regulatory Fee2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20805Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20805.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20804.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 13 Related to PIM2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20804Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20804.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20803.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 13 Related to PIM2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20803Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20803.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20802.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 13 Related to PIM2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20802Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20802.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20814.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Connectivity Fee Schedule Regarding Power Allocation2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20814Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20814.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20813.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the VanEck Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20813Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20813.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20812.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Make the Nonstandard Expirations Pilot Program Permanent2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20812Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20812.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20811.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Make Permanent the Operation of Its Pilot Program That Allows the Exchange To List P.M.-Settled Third Friday-of-the-Month Mini-SPX Index (“XSP”) Options and Mini-Russell 2000 Index (“MRUT”) Options Series2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20811Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20811.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20810.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Approval of 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”) Series2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20810Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20810.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20809.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent Certain P.M.-Settled Pilots2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20809Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20809.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20690.htmlRule - The Commission's Privacy Act Regulations2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20690Rulehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20690.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/26/2023-20765.htmlNotice - Brookfield Infrastructure Income Fund Inc., et al.2023-09-26T00:00:00-07:002023-09-26T00:00:00-07:002023-20765Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-26/pdf/2023-20765.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/22/2023-20268.htmlProposed Rule - EDGAR Filer Access and Account Management2023-09-22T00:00:00-07:002023-09-22T00:00:00-07:002023-20268Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-09-22/pdf/2023-20268.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/22/2023-20520.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2023-09-22T00:00:00-07:002023-09-22T00:00:00-07:002023-20520Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-22/pdf/2023-20520.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/22/2023-20519.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to the Options Regulatory Fee2023-09-22T00:00:00-07:002023-09-22T00:00:00-07:002023-20519Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-22/pdf/2023-20519.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/22/2023-20528.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17f-2(e)2023-09-22T00:00:00-07:002023-09-22T00:00:00-07:002023-20528Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-22/pdf/2023-20528.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/21/2023-20425.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the Short Term Option Series Program To Permit the Listing of Two Wednesday Expirations for Options on Certain Exchange Traded Products2023-09-21T00:00:00-07:002023-09-21T00:00:00-07:002023-20425Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-21/pdf/2023-20425.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/21/2023-20424.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Amendments the Futures and Options Risk Procedures2023-09-21T00:00:00-07:002023-09-21T00:00:00-07:002023-20424Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-21/pdf/2023-20424.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/21/2023-20428.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, To Implement a Low Priced Stock Strike Price Interval Program2023-09-21T00:00:00-07:002023-09-21T00:00:00-07:002023-20428Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-21/pdf/2023-20428.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/21/2023-20426.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-09-21T00:00:00-07:002023-09-21T00:00:00-07:002023-20426Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-21/pdf/2023-20426.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20304.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 Amend Certain Qualification Thresholds of Section IV.A.1 (Tiered Volume Rebate for Non-Auction Transactions)2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20304Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20304.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20314.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 Fees2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20314Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20314.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20313.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 Fees2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20313Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20313.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20312.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 Fees2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20312Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20312.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20311.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 Fees2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20311Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20311.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20310.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 Fees2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20310Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20310.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20309.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 Fees2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20309Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20309.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20308.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 Fees2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20308Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20308.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20307.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add MEMX LLC as a Plan Sponsor2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20307Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20307.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20306.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Relating to Amendments to the Outsourcing Policy2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20306Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20306.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20305.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Notification and Disclosure of Reverse Stock Splits2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20305Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20305.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/20/2023-20315.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-09-20T00:00:00-07:002023-09-20T00:00:00-07:002023-20315Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-20/pdf/2023-20315.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/19/2023-20171.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Rules To Govern FLEX Equity Options and a New Order Type to Trade FLEX Equity Options on the BOX Trading Floor2023-09-19T00:00:00-07:002023-09-19T00:00:00-07:002023-20171Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-19/pdf/2023-20171.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/19/2023-20170.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 4702 and 47032023-09-19T00:00:00-07:002023-09-19T00:00:00-07:002023-20170Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-19/pdf/2023-20170.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/19/2023-20169.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 3301A and 3301B2023-09-19T00:00:00-07:002023-09-19T00:00:00-07:002023-20169Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-19/pdf/2023-20169.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/19/2023-20168.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-09-19T00:00:00-07:002023-09-19T00:00:00-07:002023-20168Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-19/pdf/2023-20168.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/19/2023-20167.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(e)2023-09-19T00:00:00-07:002023-09-19T00:00:00-07:002023-20167Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-19/pdf/2023-20167.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20243.htmlNotice - Sunshine Act Meetings2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20243Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20243.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20224.htmlNotice - Sunshine Act Meetings2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20224Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20224.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20181.htmlNotice - Sunshine Act Meetings2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20181Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20181.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20080.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 (Criteria for Underlying Securities) to Accelerate the Listing of Options on Certain IPOs2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20080Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20080.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20079.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20079Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20079.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20078.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.3-O (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20078Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20078.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20077.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval 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 Requirements2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20077Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20077.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20087.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change To Modify the Package of Complimentary Services Provided to Certain Eligible Switches September 12, 2023 and Make Other Changes to IM-5900-7 and IM-5900-7A2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20087Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20087.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20086.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 Create a New, Non-Trading Limited Membership Class and Impose Related Requirements for Principal Underwriting Activity2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20086Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20086.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20085.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20085Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20085.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20084.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20084Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20084.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20083.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20083Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20083.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20082.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20082Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20082.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/18/2023-20081.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2023-09-18T00:00:00-07:002023-09-18T00:00:00-07:002023-20081Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-18/pdf/2023-20081.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/15/2023-19949.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2023-09-15T00:00:00-07:002023-09-15T00:00:00-07:002023-19949Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-15/pdf/2023-19949.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/15/2023-19948.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-0362023-09-15T00:00:00-07:002023-09-15T00:00:00-07:002023-19948Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-15/pdf/2023-19948.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-19853.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 15g-22023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-19853Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-19853.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-19847.htmlNotice - Notice of Filing and Request for Comment on ICE Clear Europe Limited's Request To Withdraw From Registration as a Clearing Agency2023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-19847Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-19847.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-19846.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.52023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-19846Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-19846.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-19845.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.5, Interpretation and Policy .05 and a Related Definition in Rule 16.12023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-19845Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-19845.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-19844.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to Recovery Plan2023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-19844Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-19844.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-19843.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Recovery and Wind-Down Plan2023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-19843Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-19843.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-19842.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-19842Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-19842.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-19841.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Recovery and Wind-Down Plan2023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-19841Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-19841.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-19840.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Recovery and Wind-Down Plan2023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-19840Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-19840.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-19839.htmlNotice - Self-Regulatory Organizations; the Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Amend and Restate the Cross-Margining Agreement Between FICC and CME2023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-19839Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-19839.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/14/2023-18660.htmlRule - Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews2023-09-14T00:00:00-07:002023-09-14T00:00:00-07:002023-18660Rulehttps://www.govinfo.gov/content/pkg/FR-2023-09-14/pdf/2023-18660.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19791.htmlNotice - Submission for OMB Review; Comment Request; Extension: Exchange Act Form 10-K2023-09-13T00:00:00-07:002023-09-13T00:00:00-07:002023-19791Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-13/pdf/2023-19791.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19790.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 15g-92023-09-13T00:00:00-07:002023-09-13T00:00:00-07:002023-19790Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-13/pdf/2023-19790.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19789.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17Ac3-1(a) and Form TA-W2023-09-13T00:00:00-07:002023-09-13T00:00:00-07:002023-19789Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-13/pdf/2023-19789.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19792.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form 20-F2023-09-13T00:00:00-07:002023-09-13T00:00:00-07:002023-19792Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-13/pdf/2023-19792.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19731.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 13 Concerning PIXL2023-09-13T00:00:00-07:002023-09-13T00:00:00-07:002023-19731Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-13/pdf/2023-19731.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19730.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 13 Concerning PRISM2023-09-13T00:00:00-07:002023-09-13T00:00:00-07:002023-19730Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-13/pdf/2023-19730.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19729.htmlNotice - 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 LLP2023-09-13T00:00:00-07:002023-09-13T00:00:00-07:002023-19729Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-13/pdf/2023-19729.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/13/2023-19728.htmlNotice - 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 Period2023-09-13T00:00:00-07:002023-09-13T00:00:00-07:002023-19728Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-13/pdf/2023-19728.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/12/2023-19593.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt a Quote Protection Timer2023-09-12T00:00:00-07:002023-09-12T00:00:00-07:002023-19593Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-12/pdf/2023-19593.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/12/2023-19592.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add MEMX, LLC, as a Participant2023-09-12T00:00:00-07:002023-09-12T00:00:00-07:002023-19592Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-12/pdf/2023-19592.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/12/2023-19591.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the COtwo Advisors Physical European Carbon Allowance Trust Under NYSE Arca Rule 8.201-E2023-09-12T00:00:00-07:002023-09-12T00:00:00-07:002023-19591Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-12/pdf/2023-19591.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/12/2023-19525.htmlNotice - Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail; Notice2023-09-12T00:00:00-07:002023-09-12T00:00:00-07:002023-19525Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-12/pdf/2023-19525.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/11/2023-19615.htmlNotice - Sunshine Act Meetings2023-09-11T00:00:00-07:002023-09-11T00:00:00-07:002023-19615Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-11/pdf/2023-19615.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/11/2023-19471.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons as Provided Under Exchange Rule 3.33.012023-09-11T00:00:00-07:002023-09-11T00:00:00-07:002023-19471Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-11/pdf/2023-19471.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/11/2023-19470.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Requirements Relating to the Waiver of the Code of Conduct in Listing Rule 5610 and IM-56102023-09-11T00:00:00-07:002023-09-11T00:00:00-07:002023-19470Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-11/pdf/2023-19470.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/11/2023-19469.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Triparty Collateral Mechanism Fee Changes2023-09-11T00:00:00-07:002023-09-11T00:00:00-07:002023-19469Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-11/pdf/2023-19469.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/08/2023-19357.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.62P-O(g)(1)2023-09-08T00:00:00-07:002023-09-08T00:00:00-07:002023-19357Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-08/pdf/2023-19357.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/08/2023-19356.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.91P-O(g)(1)2023-09-08T00:00:00-07:002023-09-08T00:00:00-07:002023-19356Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-08/pdf/2023-19356.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/08/2023-19355.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4.3 (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs2023-09-08T00:00:00-07:002023-09-08T00:00:00-07:002023-19355Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-08/pdf/2023-19355.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/08/2023-19354.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Portfolio Margining2023-09-08T00:00:00-07:002023-09-08T00:00:00-07:002023-19354Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-08/pdf/2023-19354.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/08/2023-19358.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Equity 4, Rules 3301A and 3301B To Establish New “Contra Midpoint Only” and “Contra Midpoint Only With Post-Only” Order Types and To Make Other Corresponding Changes to the Rulebook2023-09-08T00:00:00-07:002023-09-08T00:00:00-07:002023-19358Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-08/pdf/2023-19358.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19420.htmlNotice - Sunshine Act Meetings2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19420Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19420.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-18658.htmlRule - Exemption for Certain Exchange Members2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-18658Rulehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-18658.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19311.htmlNotice - Amended Order Directing the Exchanges and the Financial Industry Regulatory Authority, Inc., To File a National Market System Plan Regarding Consolidated Equity Market Data2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19311Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19311.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19235.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 402 (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19235Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19235.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19234.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Extend the Date for Which Ad Hoc Requests for Historical Intra-Day Open-Close Report Data May Be Requested2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19234Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19234.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19233.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Fee Schedule To Extend the Date for Which Ad Hoc Requests for Historical Intra-Day Open-Close Report Data May Be Requested2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19233Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19233.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19232.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Extend the Date for Which Ad Hoc Requests for Historical Intra-Day Open-Close Report Data May Be Requested2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19232Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19232.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19252.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17a-72023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19252Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19252.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19249.htmlNotice - Proposed Collection; Comment Request; Extension: Form N-54C2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19249Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19249.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19248.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 31a-12023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19248Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19248.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19247.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 0-22023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19247Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19247.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19246.htmlNotice - Proposed Collection; Comment Request; Extension: Form N-17F-22023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19246Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19246.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19242.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 Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19242Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19242.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19241.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 List and Trade Shares of the iShares Bitcoin Trust Under Nasdaq Rule 5711(d), Commodity-Based Trust Shares2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19241Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19241.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19240.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Invesco Galaxy Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19240Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19240.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19239.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19239Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19239.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19238.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19238Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19238.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19237.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Wise Origin Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19237Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19237.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/07/2023-19236.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 List and Trade Shares of the Valkyrie Bitcoin Fund Under Nasdaq Rule 5711(d), Commodity-Based Trust Shares2023-09-07T00:00:00-07:002023-09-07T00:00:00-07:002023-19236Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-07/pdf/2023-19236.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/05/2023-19011.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 Its Operational Risk and Resilience Policy2023-09-05T00:00:00-07:002023-09-05T00:00:00-07:002023-19011Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-05/pdf/2023-19011.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/05/2023-19088.htmlNotice - Onex Falcon Direct Lending BDC Fund, et al.2023-09-05T00:00:00-07:002023-09-05T00:00:00-07:002023-19088Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-05/pdf/2023-19088.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/05/2023-19163.htmlNotice - Sunshine Act Meetings2023-09-05T00:00:00-07:002023-09-05T00:00:00-07:002023-19163Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-05/pdf/2023-19163.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/05/2023-19137.htmlNotice - Sunshine Act Meeting2023-09-05T00:00:00-07:002023-09-05T00:00:00-07:002023-19137Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-05/pdf/2023-19137.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/01/2023-18898.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; 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 Certain P.M.-Settled Pilots2023-09-01T00:00:00-07:002023-09-01T00:00:00-07:002023-18898Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-01/pdf/2023-18898.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/01/2023-18897.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; 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 Certain P.M.-Settled Pilots2023-09-01T00:00:00-07:002023-09-01T00:00:00-07:002023-18897Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-01/pdf/2023-18897.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/01/2023-18896.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of 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)2023-09-01T00:00:00-07:002023-09-01T00:00:00-07:002023-18896Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-01/pdf/2023-18896.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/01/2023-18895.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 8 Rules2023-09-01T00:00:00-07:002023-09-01T00:00:00-07:002023-18895Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-01/pdf/2023-18895.pdfhttps://regulations.justia.com/regulations/fedreg/2023/09/01/2023-18968.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 15c3-32023-09-01T00:00:00-07:002023-09-01T00:00:00-07:002023-18968Noticehttps://www.govinfo.gov/content/pkg/FR-2023-09-01/pdf/2023-18968.pdf