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=atom2024-05-23T05:07:44-07:00Justia 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.pdf