<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/10?registers=between&min-day=1&max-day=31 Fri, 17 May 2024 04:24:07 -0700 Fri, 17 May 2024 04:24:07 -0700 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/2023/10?registers=between&min-day=1&max-day=31 Notice - Submission for OMB Review; Comment Request; Extension: Rule 19b-7 and Form 19b-7 https://regulations.justia.com/regulations/fedreg/2023/10/31/2023-23978.html https://regulations.justia.com/regulations/fedreg/2023/10/31/2023-23978.html Tue, 31 Oct 2023 00:00:00 -0700 2023-23978 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-31/pdf/2023-23978.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-10 https://regulations.justia.com/regulations/fedreg/2023/10/31/2023-23974.html https://regulations.justia.com/regulations/fedreg/2023/10/31/2023-23974.html Tue, 31 Oct 2023 00:00:00 -0700 2023-23974 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-31/pdf/2023-23974.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to its Operational Risk and Resilience Policy https://regulations.justia.com/regulations/fedreg/2023/10/31/2023-23941.html https://regulations.justia.com/regulations/fedreg/2023/10/31/2023-23941.html Tue, 31 Oct 2023 00:00:00 -0700 2023-23941 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-31/pdf/2023-23941.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Delete Legacy Disciplinary Rules 475, 476, 476A, and 477 and Make Conforming Changes to Rule 41, Rules 8001, 8130(d), 8320(d), 9001, 9216(b)(1), 9810(a), and 781 of the Office Rules, Rules 2A, 12E, 3170(a)(3), 902NY and Adopt a New Rule 600 and Make Conforming Changes to Rules 3170(C)(3), and Adopt a New Rule 601 https://regulations.justia.com/regulations/fedreg/2023/10/31/2023-23940.html https://regulations.justia.com/regulations/fedreg/2023/10/31/2023-23940.html Tue, 31 Oct 2023 00:00:00 -0700 2023-23940 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-31/pdf/2023-23940.pdf Notice - Privacy Act of 1974; System of Records https://regulations.justia.com/regulations/fedreg/2023/10/31/2023-23981.html https://regulations.justia.com/regulations/fedreg/2023/10/31/2023-23981.html Tue, 31 Oct 2023 00:00:00 -0700 2023-23981 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-31/pdf/2023-23981.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-23817.html https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-23817.html Mon, 30 Oct 2023 00:00:00 -0700 2023-23817 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-30/pdf/2023-23817.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, T o Permit Legging Through the Simple Market https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-23816.html https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-23816.html Mon, 30 Oct 2023 00:00:00 -0700 2023-23816 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-30/pdf/2023-23816.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Membership Policy and Clearing Membership Procedures https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-23814.html https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-23814.html Mon, 30 Oct 2023 00:00:00 -0700 2023-23814 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-30/pdf/2023-23814.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-23813.html https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-23813.html Mon, 30 Oct 2023 00:00:00 -0700 2023-23813 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-30/pdf/2023-23813.pdf Notice - Eaton Vance Floating-Rate Opportunities Fund and Eaton Vance Management https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-23876.html https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-23876.html Mon, 30 Oct 2023 00:00:00 -0700 2023-23876 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-30/pdf/2023-23876.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-24019.html https://regulations.justia.com/regulations/fedreg/2023/10/30/2023-24019.html Mon, 30 Oct 2023 00:00:00 -0700 2023-24019 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-30/pdf/2023-24019.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23705.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23705.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23705 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23705.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23704.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23704.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23704 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23704.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Grayscale Ethereum Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23703.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23703.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23703 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23703.pdf Notice - Submission for OMB Review; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-16 https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23714.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23714.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23714 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23714.pdf Notice - Submission for OMB Review; Comment Request; Extension: Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23712.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23712.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23712 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23712.pdf Notice - Submission for OMB Review; Comment Request; Extension: Form 15F https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23711.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23711.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23711 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23711.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17g-2 https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23710.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23710.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23710 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23710.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23708.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23708.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23708 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23708.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23707.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23707.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23707 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23707.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23706.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23706.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23706 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23706.pdf Notice - 26North BDC, Inc., et al. https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23764.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23764.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23764 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23764.pdf Rule - Investment Company Names; Correction https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23778.html https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23778.html Fri, 27 Oct 2023 00:00:00 -0700 2023-23778 Rule https://www.govinfo.gov/content/pkg/FR-2023-10-27/pdf/2023-23778.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits https://regulations.justia.com/regulations/fedreg/2023/10/25/2023-23497.html https://regulations.justia.com/regulations/fedreg/2023/10/25/2023-23497.html Wed, 25 Oct 2023 00:00:00 -0700 2023-23497 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-25/pdf/2023-23497.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17g-2 https://regulations.justia.com/regulations/fedreg/2023/10/25/2023-23557.html https://regulations.justia.com/regulations/fedreg/2023/10/25/2023-23557.html Wed, 25 Oct 2023 00:00:00 -0700 2023-23557 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-25/pdf/2023-23557.pdf Notice - Brookfield Infrastructure Income Fund, Inc. and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23389.html https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23389.html Tue, 24 Oct 2023 00:00:00 -0700 2023-23389 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-24/pdf/2023-23389.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Proprietary Market Data Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23400.html https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23400.html Tue, 24 Oct 2023 00:00:00 -0700 2023-23400 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-24/pdf/2023-23400.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Purge Ports for Equities Trading https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23404.html https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23404.html Tue, 24 Oct 2023 00:00:00 -0700 2023-23404 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-24/pdf/2023-23404.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Purge Ports for Equities Trading https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23402.html https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23402.html Tue, 24 Oct 2023 00:00:00 -0700 2023-23402 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-24/pdf/2023-23402.pdf Notice - Proposed Collection; Comment Request; Extension Rule: 15c2-7 https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23416.html https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23416.html Tue, 24 Oct 2023 00:00:00 -0700 2023-23416 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-24/pdf/2023-23416.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/10/23/2023-23470.html https://regulations.justia.com/regulations/fedreg/2023/10/23/2023-23470.html Mon, 23 Oct 2023 00:00:00 -0700 2023-23470 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-23/pdf/2023-23470.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the John Hancock Fundamental All Cap Core ETF Under Rule 8.601-E, Active Proxy Portfolio Shares https://regulations.justia.com/regulations/fedreg/2023/10/20/2023-23265.html https://regulations.justia.com/regulations/fedreg/2023/10/20/2023-23265.html Fri, 20 Oct 2023 00:00:00 -0700 2023-23265 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-20/pdf/2023-23265.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/10/20/2023-23141.html https://regulations.justia.com/regulations/fedreg/2023/10/20/2023-23141.html Fri, 20 Oct 2023 00:00:00 -0700 2023-23141 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-20/pdf/2023-23141.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17g-1 and Form NRSRO https://regulations.justia.com/regulations/fedreg/2023/10/20/2023-23136.html https://regulations.justia.com/regulations/fedreg/2023/10/20/2023-23136.html Fri, 20 Oct 2023 00:00:00 -0700 2023-23136 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-20/pdf/2023-23136.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23044.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23044.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23044 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23044.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1 https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23043.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23043.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23043 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23043.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1 https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23042.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23042.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23042 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23042.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1 https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23041.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23041.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23041 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23041.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23040.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23040.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23040 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23040.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1 https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23039.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23039.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23039 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23039.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23038.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23038.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23038 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23038.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1 https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23037.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23037.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23037 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23037.pdf Notice - MIAX Sapphire, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23036.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23036.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23036 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23036.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1 https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23035.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23035.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23035 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23035.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 15c1-7 https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23096.html https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23096.html Thu, 19 Oct 2023 00:00:00 -0700 2023-23096 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-19/pdf/2023-23096.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 2a-5 https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22970.html https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22970.html Wed, 18 Oct 2023 00:00:00 -0700 2023-22970 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-18/pdf/2023-22970.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Transaction Fees at Equity 7, Section 118(e) https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22926.html https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22926.html Wed, 18 Oct 2023 00:00:00 -0700 2023-22926 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-18/pdf/2023-22926.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Risk Settings Rules Applicable to Options Trading https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22925.html https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22925.html Wed, 18 Oct 2023 00:00:00 -0700 2023-22925 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-18/pdf/2023-22925.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22924.html https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22924.html Wed, 18 Oct 2023 00:00:00 -0700 2023-22924 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-18/pdf/2023-22924.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22923.html https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22923.html Wed, 18 Oct 2023 00:00:00 -0700 2023-22923 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-18/pdf/2023-22923.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22922.html https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22922.html Wed, 18 Oct 2023 00:00:00 -0700 2023-22922 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-18/pdf/2023-22922.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 15c2-1 https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22921.html https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22921.html Wed, 18 Oct 2023 00:00:00 -0700 2023-22921 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-18/pdf/2023-22921.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule for Purge Ports https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22929.html https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22929.html Wed, 18 Oct 2023 00:00:00 -0700 2023-22929 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-18/pdf/2023-22929.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule for Purge Ports https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22928.html https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22928.html Wed, 18 Oct 2023 00:00:00 -0700 2023-22928 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-18/pdf/2023-22928.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fee Schedule for Purge Ports https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22927.html https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22927.html Wed, 18 Oct 2023 00:00:00 -0700 2023-22927 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-18/pdf/2023-22927.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on the Auditor's Use of Confirmation, and Other Amendments to Related PCAOB Standards https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22491.html https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22491.html Tue, 17 Oct 2023 00:00:00 -0700 2023-22491 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-17/pdf/2023-22491.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 19a-1 https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22818.html https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22818.html Tue, 17 Oct 2023 00:00:00 -0700 2023-22818 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-17/pdf/2023-22818.pdf Notice - Proposed Collection; Comment Request; Extension: Form 2-E https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22817.html https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22817.html Tue, 17 Oct 2023 00:00:00 -0700 2023-22817 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-17/pdf/2023-22817.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 489 and Form F-N https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22816.html https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22816.html Tue, 17 Oct 2023 00:00:00 -0700 2023-22816 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-17/pdf/2023-22816.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 17g-1 https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22815.html https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22815.html Tue, 17 Oct 2023 00:00:00 -0700 2023-22815 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-17/pdf/2023-22815.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the Cboe Silexx Platform https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22812.html https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22812.html Tue, 17 Oct 2023 00:00:00 -0700 2023-22812 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-17/pdf/2023-22812.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2 https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22811.html https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22811.html Tue, 17 Oct 2023 00:00:00 -0700 2023-22811 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-17/pdf/2023-22811.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22904.html https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22904.html Mon, 16 Oct 2023 00:00:00 -0700 2023-22904 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-16/pdf/2023-22904.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22835.html https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22835.html Mon, 16 Oct 2023 00:00:00 -0700 2023-22835 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-16/pdf/2023-22835.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-5 https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22735.html https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22735.html Mon, 16 Oct 2023 00:00:00 -0700 2023-22735 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-16/pdf/2023-22735.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 10b-17 https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22734.html https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22734.html Mon, 16 Oct 2023 00:00:00 -0700 2023-22734 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-16/pdf/2023-22734.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-5 https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22733.html https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22733.html Mon, 16 Oct 2023 00:00:00 -0700 2023-22733 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-16/pdf/2023-22733.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-11 https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22732.html https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22732.html Mon, 16 Oct 2023 00:00:00 -0700 2023-22732 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-16/pdf/2023-22732.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure To Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22612.html https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22612.html Fri, 13 Oct 2023 00:00:00 -0700 2023-22612 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-13/pdf/2023-22612.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Complex Order Rules https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22611.html https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22611.html Fri, 13 Oct 2023 00:00:00 -0700 2023-22611 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-13/pdf/2023-22611.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22610.html https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22610.html Fri, 13 Oct 2023 00:00:00 -0700 2023-22610 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-13/pdf/2023-22610.pdf Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22605.html https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22605.html Fri, 13 Oct 2023 00:00:00 -0700 2023-22605 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2023-10-13/pdf/2023-22605.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22507.html https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22507.html Fri, 13 Oct 2023 00:00:00 -0700 2023-22507 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-13/pdf/2023-22507.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity Fees and Ports Fees https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22506.html https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22506.html Fri, 13 Oct 2023 00:00:00 -0700 2023-22506 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-13/pdf/2023-22506.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity Fees and Ports Fees https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22505.html https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22505.html Fri, 13 Oct 2023 00:00:00 -0700 2023-22505 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-13/pdf/2023-22505.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity Fees and Ports Fees https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22504.html https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-22504.html Fri, 13 Oct 2023 00:00:00 -0700 2023-22504 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-13/pdf/2023-22504.pdf Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-21986.html https://regulations.justia.com/regulations/fedreg/2023/10/13/2023-21986.html Fri, 13 Oct 2023 00:00:00 -0700 2023-21986 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2023-10-13/pdf/2023-21986.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the DTC Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services) https://regulations.justia.com/regulations/fedreg/2023/10/12/2023-21945.html https://regulations.justia.com/regulations/fedreg/2023/10/12/2023-21945.html Thu, 12 Oct 2023 00:00:00 -0700 2023-21945 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-12/pdf/2023-21945.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/10/12/2023-22619.html https://regulations.justia.com/regulations/fedreg/2023/10/12/2023-22619.html Thu, 12 Oct 2023 00:00:00 -0700 2023-22619 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-12/pdf/2023-22619.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 0-1 https://regulations.justia.com/regulations/fedreg/2023/10/12/2023-22580.html https://regulations.justia.com/regulations/fedreg/2023/10/12/2023-22580.html Thu, 12 Oct 2023 00:00:00 -0700 2023-22580 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-12/pdf/2023-22580.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 6e-2 and Form N-6EI-1 https://regulations.justia.com/regulations/fedreg/2023/10/12/2023-22579.html https://regulations.justia.com/regulations/fedreg/2023/10/12/2023-22579.html Thu, 12 Oct 2023 00:00:00 -0700 2023-22579 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-12/pdf/2023-22579.pdf Notice - Proposed Collection; Comment Request; Extension: Form N-17f-1 https://regulations.justia.com/regulations/fedreg/2023/10/12/2023-22578.html https://regulations.justia.com/regulations/fedreg/2023/10/12/2023-22578.html Thu, 12 Oct 2023 00:00:00 -0700 2023-22578 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-12/pdf/2023-22578.pdf Rule - Investment Company Names https://regulations.justia.com/regulations/fedreg/2023/10/11/2023-20793.html https://regulations.justia.com/regulations/fedreg/2023/10/11/2023-20793.html Wed, 11 Oct 2023 00:00:00 -0700 2023-20793 Rule https://www.govinfo.gov/content/pkg/FR-2023-10-11/pdf/2023-20793.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Regarding Rebate Tiers https://regulations.justia.com/regulations/fedreg/2023/10/11/2023-22437.html https://regulations.justia.com/regulations/fedreg/2023/10/11/2023-22437.html Wed, 11 Oct 2023 00:00:00 -0700 2023-22437 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-11/pdf/2023-22437.pdf Notice - Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2023/10/10/2023-22349.html https://regulations.justia.com/regulations/fedreg/2023/10/10/2023-22349.html Tue, 10 Oct 2023 00:00:00 -0700 2023-22349 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-10/pdf/2023-22349.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Modify the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2023/10/10/2023-22348.html https://regulations.justia.com/regulations/fedreg/2023/10/10/2023-22348.html Tue, 10 Oct 2023 00:00:00 -0700 2023-22348 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-10/pdf/2023-22348.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Modify the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2023/10/10/2023-22347.html https://regulations.justia.com/regulations/fedreg/2023/10/10/2023-22347.html Tue, 10 Oct 2023 00:00:00 -0700 2023-22347 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-10/pdf/2023-22347.pdf Notice - Public Availability of the Securities and Exchange Commission's Fiscal Year (FY) 2020 Service Contract Inventory https://regulations.justia.com/regulations/fedreg/2023/10/05/2023-22192.html https://regulations.justia.com/regulations/fedreg/2023/10/05/2023-22192.html Thu, 05 Oct 2023 00:00:00 -0700 2023-22192 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-05/pdf/2023-22192.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-5 https://regulations.justia.com/regulations/fedreg/2023/10/05/2023-22190.html https://regulations.justia.com/regulations/fedreg/2023/10/05/2023-22190.html Thu, 05 Oct 2023 00:00:00 -0700 2023-22190 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-05/pdf/2023-22190.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17Ad-3(b) https://regulations.justia.com/regulations/fedreg/2023/10/05/2023-22187.html https://regulations.justia.com/regulations/fedreg/2023/10/05/2023-22187.html Thu, 05 Oct 2023 00:00:00 -0700 2023-22187 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-05/pdf/2023-22187.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-19 and Form X-17A-19 https://regulations.justia.com/regulations/fedreg/2023/10/05/2023-22186.html https://regulations.justia.com/regulations/fedreg/2023/10/05/2023-22186.html Thu, 05 Oct 2023 00:00:00 -0700 2023-22186 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-05/pdf/2023-22186.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22012.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22012.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22012 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22012.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule and Adopt Membership Fees for MEMX Options https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22011.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22011.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22011 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22011.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22010.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22010.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22010 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22010.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22009.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22009.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22009 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22009.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Its New Fixed Midpoint Peg Order Type https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22008.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22008.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22008 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22008.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options With a Third-Friday-of-the-Month Expiration https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22007.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22007.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22007 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22007.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options With a Third-Friday-of-the-Month Expiration https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22006.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22006.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22006 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22006.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22033.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22033.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22033 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22033.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22032.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22032.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22032 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22032.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22031.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22031.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22031 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22031.pdf Notice - Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22049.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22049.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22049 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22049.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22015.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22015.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22015 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22015.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22014.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22014.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22014 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22014.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22013.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22013.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22013 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22013.pdf Notice - Accordant ODCE Index Fund and Accordant Investments LLC https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21893.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21893.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21893 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21893.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under Nasdaq Rule 5711(d), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21946.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21946.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21946 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21946.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy Framework https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21944.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21944.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21944 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21944.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21943.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21943.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21943 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21943.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Complex Order Rules https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21942.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21942.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21942 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21942.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 0 of the General and Floor Rules https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21941.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21941.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21941 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21941.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Fee Schedule Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21940.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21940.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21940 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21940.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules To Adopt Monthly Options Series https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21939.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21939.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21939 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21939.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the GSD and MBSD Schedules of Haircuts for Eligible Clearing Fund Securities https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21938.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21938.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21938 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21938.pdf Notice - Self-Regulatory Organizations; Cboe EDGX 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/2023/10/04/2023-21937.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21937.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21937 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21937.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21936.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21936.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21936 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21936.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22042.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22042.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22042 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22042.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE Listed Company Manual To Adopt Listing Standards for Natural Asset Companies https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22041.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22041.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22041 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22041.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt a Quote Protection Timer https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22040.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22040.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22040 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22040.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the American Century Focused Dynamic Growth ETF and the American Century Focused Large Cap Value ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares) https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22039.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22039.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22039 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22039.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Section 312.03(b) of the NYSE Listed Company Manual To Modify the Circumstances Under Which a Listed Company Must Obtain Shareholder Approval of a Sale of Securities Below the Minimum Price to a Substantial Security Holder of the Company https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22038.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22038.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22038 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22038.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Adopt a Temporary Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22037.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22037.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22037 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22037.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule To Adopt a Temporary Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22036.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22036.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22036 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22036.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal Underwriting Activity https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22035.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22035.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22035 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22035.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22034.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-22034.html Wed, 04 Oct 2023 00:00:00 -0700 2023-22034 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-22034.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Shares https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21968.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21968.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21968 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21968.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Provide Relief Relating to Specified Option Transactions Under FINRA Rule 4210 (Margin Requirements) https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21956.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21956.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21956 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21956.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rules 11.190(b)(7) and 11.190(g) https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21955.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21955.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21955 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21955.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Shares https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21954.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21954.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21954 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21954.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 4.13 https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21953.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21953.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21953 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21953.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 0 https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21952.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21952.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21952 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21952.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Equities Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21951.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21951.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21951 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21951.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 0 https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21950.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21950.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21950 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21950.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Shares https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21949.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21949.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21949 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21949.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the iShares Bitcoin Trust Under Nasdaq Rule 5711(d), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21948.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21948.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21948 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21948.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove, 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) https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21947.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21947.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21947 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21947.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 0 https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21935.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21935.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21935 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21935.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Establish an Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21934.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21934.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21934 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21934.pdf Notice - 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 Modify Certain Connectivity and Port Fees https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21933.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21933.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21933 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21933.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Six Typographical Cross-Reference Errors in IEX Rule 11.190(b) https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21932.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21932.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21932 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21932.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Equity 7, Section 115 https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21931.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21931.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21931 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21931.pdf Notice - Alti Private Equity Access and Commitments Fund and ALTI, LLC https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21929.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21929.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21929 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21929.pdf Notice - Proposed Collection; Comment Request; Extension: Tender Offer-Regulation 14D and Regulation 14E, Schedule 14D-9 https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21928.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21928.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21928 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21928.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 425 https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21927.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21927.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21927 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21927.pdf Notice - Proposed Collection; Comment Request; Extension: Form CB, Tender Offer/Rights Offering Notification Form https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21926.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21926.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21926 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21926.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Fee Schedule Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21962.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21962.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21962 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21962.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21960.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21960.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21960 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21960.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Shares https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21959.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21959.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21959 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21959.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21958.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21958.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21958 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21958.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21957.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21957.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21957 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21957.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 433 Under the Securities Act of 1933-Conditions to Permissible Post-Filing Free Writing Prospectuses https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21925.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21925.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21925 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21925.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 173 https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21924.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21924.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21924 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21924.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 163 https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21923.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21923.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21923 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21923.pdf Notice - Baseline CRE Income Fund and Baseline Partners, LLC https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21898.html https://regulations.justia.com/regulations/fedreg/2023/10/04/2023-21898.html Wed, 04 Oct 2023 00:00:00 -0700 2023-21898 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-04/pdf/2023-21898.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21806.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21806.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21806 Rule https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21806.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Hashdex Nasdaq Ethereum ETF Under Nasdaq Rule 5711(i) https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21788.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21788.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21788 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21788.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Franklin Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21787.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21787.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21787 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21787.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing Schedule at Options 7, Section 4 Regarding Marketing Fees https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21786.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21786.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21786 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21786.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) Under FINRA Rule 3110 (Supervision) To Include Calendar Year 2024 https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21785.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21785.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21785 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21785.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21784.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21784.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21784 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21784.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Margin Liquidity Adjustment Charge https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21783.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21783.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21783 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21783.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Settlement Values for FLEX Index Options https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21782.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21782.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21782 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21782.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to Its Operational Risk and Resilience Policy https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21780.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21780.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21780 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21780.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21796.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21796.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21796 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21796.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21795.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21795.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21795 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21795.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the Model Risk Policy https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21794.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21794.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21794 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21794.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a 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 Floor https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21793.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21793.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21793 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21793.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Grayscale Ethereum Futures Trust (ETH) ETF Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts) https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21792.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21792.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21792 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21792.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 List and Trade Shares of the VanEck Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21791.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21791.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21791 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21791.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 List and Trade Shares of the ARK 21Shares Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21790.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21790.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21790 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21790.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Regarding the Hashdex Bitcoin Futures ETF https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21789.html https://regulations.justia.com/regulations/fedreg/2023/10/03/2023-21789.html Tue, 03 Oct 2023 00:00:00 -0700 2023-21789 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-03/pdf/2023-21789.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 307, Position Limits https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21629.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21629.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21629 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21629.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Membership Policy and Clearing Membership Procedures https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21628.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21628.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21628 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21628.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Renumber the MIAX Pearl Equities Rulebook https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21627.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21627.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21627 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21627.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21626.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21626.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21626 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21626.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21625.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21625.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21625 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21625.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt an Alternative to the Minimum $4 Price Requirement for Companies Seeking To List Tier II Securities on the Exchange https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21624.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21624.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21624 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21624.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 List and Trade Shares of the Global X Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21623.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21623.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21623 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21623.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; 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. 3, To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21622.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21622.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21622 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21622.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21621.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21621.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21621 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21621.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2614(f) of the MIAX Pearl Equities Rulebook To Allow Self-Trade Protection Between Users That Access the Exchange Through a Direct Connection and Sponsored Access https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21620.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21620.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21620 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21620.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21619.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21619.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21619 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21619.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21618.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21618.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21618 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21618.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21848.html https://regulations.justia.com/regulations/fedreg/2023/10/02/2023-21848.html Mon, 02 Oct 2023 00:00:00 -0700 2023-21848 Notice https://www.govinfo.gov/content/pkg/FR-2023-10-02/pdf/2023-21848.pdf