Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-20T07:51:53-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/11/30/2023-26263.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Fee Schedule To Establish an Options Regulatory Fee2023-11-30T00:00:00-08:002023-11-30T00:00:00-08:002023-26263Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-30/pdf/2023-26263.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/29/2023-26236.htmlNotice - Deregistration Under Section 8(f) of the Investment Company Act of 19402023-11-29T00:00:00-08:002023-11-29T00:00:00-08:002023-26236Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-29/pdf/2023-26236.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26115.htmlNotice - Oxford Park Income Fund, Inc. and Oxford Park Management, LLC2023-11-28T00:00:00-08:002023-11-28T00:00:00-08:002023-26115Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26115.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26113.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BOX Rule 5050 (Series of Options Contracts Open for Trading)2023-11-28T00:00:00-08:002023-11-28T00:00:00-08:002023-26113Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26113.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26112.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options 7, Section 2 Regarding Fees and Rebates2023-11-28T00:00:00-08:002023-11-28T00:00:00-08:002023-26112Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26112.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26111.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish IM-7600-82023-11-28T00:00:00-08:002023-11-28T00:00:00-08:002023-26111Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26111.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26125.htmlNotice - Joint Industry Plan; Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail2023-11-28T00:00:00-08:002023-11-28T00:00:00-08:002023-26125Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26125.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26118.htmlNotice - IndexIQ Active ETF Trust and IndexIQ Advisors LLC2023-11-28T00:00:00-08:002023-11-28T00:00:00-08:002023-26118Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26118.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26117.htmlNotice - Meketa Infrastructure Fund and Meketa Capital, LLC2023-11-28T00:00:00-08:002023-11-28T00:00:00-08:002023-26117Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26117.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26116.htmlNotice - CAZ Strategic Opportunities Fund and CAZ Investments Registered Adviser LLC2023-11-28T00:00:00-08:002023-11-28T00:00:00-08:002023-26116Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26116.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26189.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-11-28T00:00:00-08:002023-11-28T00:00:00-08:002023-26189Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26189.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26007.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delineate the Application Fee From the Entry Fee, To Increase the Application Fee for Tier I and Tier II Securities Listed on the Exchange in Certain Circumstances, To Change the Assessment Date of the Entry Fee, and To Clarify That Both the Entry Fee and Application Fee Are Non-Refundable as Provided in Exchange Rule 14.132023-11-27T00:00:00-08:002023-11-27T00:00:00-08:002023-26007Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-27/pdf/2023-26007.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26006.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce a New Post Only Order Parameter Instruction2023-11-27T00:00:00-08:002023-11-27T00:00:00-08:002023-26006Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-27/pdf/2023-26006.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26005.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Adopt Monthly Options Series2023-11-27T00:00:00-08:002023-11-27T00:00:00-08:002023-26005Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-27/pdf/2023-26005.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26004.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110 To Amend IEX's Fee Schedule2023-11-27T00:00:00-08:002023-11-27T00:00:00-08:002023-26004Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-27/pdf/2023-26004.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26092.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Short Term Option Series Program in IM-5050-62023-11-27T00:00:00-08:002023-11-27T00:00:00-08:002023-26092Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-27/pdf/2023-26092.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25886.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)2023-11-24T00:00:00-08:002023-11-24T00:00:00-08:002023-25886Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-24/pdf/2023-25886.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25883.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations2023-11-24T00:00:00-08:002023-11-24T00:00:00-08:002023-25883Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-24/pdf/2023-25883.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25882.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Shares2023-11-24T00:00:00-08:002023-11-24T00:00:00-08:002023-25882Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-24/pdf/2023-25882.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25881.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public) To Permit Projections of Performance of Investment Strategies or Single Securities in Institutional Communications2023-11-24T00:00:00-08:002023-11-24T00:00:00-08:002023-25881Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-24/pdf/2023-25881.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25880.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision)2023-11-24T00:00:00-08:002023-11-24T00:00:00-08:002023-25880Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-24/pdf/2023-25880.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25549.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Transaction Fees2023-11-20T00:00:00-08:002023-11-20T00:00:00-08:002023-25549Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25549.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25548.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSEArca, Inc.; NYSE Chicago, Inc.; NYSE National, Inc.; Order Approving Proposed Rule Changes To Establish Certain Alternative Procedures for the Allocation of Power in Co-Location2023-11-20T00:00:00-08:002023-11-20T00:00:00-08:002023-25548Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25548.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25547.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdasq-100 Index® Options With a Third-Friday-of-the-Month Expiration2023-11-20T00:00:00-08:002023-11-20T00:00:00-08:002023-25547Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25547.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25546.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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)2023-11-20T00:00:00-08:002023-11-20T00:00:00-08:002023-25546Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25546.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25545.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation2023-11-20T00:00:00-08:002023-11-20T00:00:00-08:002023-25545Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25545.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25544.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation2023-11-20T00:00:00-08:002023-11-20T00:00:00-08:002023-25544Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25544.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25542.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend MRX Options 7, Section 5 To Amend Route-Out Fees2023-11-20T00:00:00-08:002023-11-20T00:00:00-08:002023-25542Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25542.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25541.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX Options 7, Section 4 To Amend Route-Out Fees2023-11-20T00:00:00-08:002023-11-20T00:00:00-08:002023-25541Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25541.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25498.htmlNotice - Saratoga Investment Advisors, LLC, et al.2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25498Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25498.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25606.htmlNotice - Sunshine Act Meetings2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25606Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25606.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25479.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 15g-22023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25479Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25479.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25386.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the FLEX and Cabinet Automation2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25386Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25386.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25385.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Approving a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25385Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25385.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25384.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt Monthly Options Series2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25384Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25384.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25383.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25383Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25383.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25382.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 1182023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25382Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25382.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25381.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25381Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25381.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25380.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Additional Means To Access the Exchange's Equity Trading Platform Member Firm Portal2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25380Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25380.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25379.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 Sections IV.A (Non-Auction Transactions) and IV.A.1 (Tiered Volume Rebate for Non-Auction Transactions)2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25379Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25379.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25478.htmlNotice - Proposed Collection; Comment Request; Extension: Form N-6F2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25478Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25478.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25477.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 11a-22023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25477Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25477.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25476.htmlNotice - Proposed Collection; Comment Request; Extension: Form N-54A2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25476Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25476.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25378.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Amend the Short Term Option Series Program To Permit the Listing of Two Wednesday Expirations for Options on Certain Exchange Traded Products2023-11-17T00:00:00-08:002023-11-17T00:00:00-08:002023-25378Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25378.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25207.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.312023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25207Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25207.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25206.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E2023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25206Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25206.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25205.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.372023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25205Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25205.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25204.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25204Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25204.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25203.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.312023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25203Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25203.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25108.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing and Trading of XND Options2023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25108Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25108.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25107.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.312023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25107Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25107.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25106.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Relating to the GSD and MBSD Schedules of Haircuts for Eligible Clearing Fund Securities2023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25106Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25106.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25105.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.31E2023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25105Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25105.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25104.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities2023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25104Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25104.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25102.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity and Application Session Fees for MEMX Options2023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25102Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25102.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25218.htmlNotice - Order Granting ICE Clear Europe Limited's Request To Withdraw From Registration as a Clearing Agency2023-11-15T00:00:00-08:002023-11-15T00:00:00-08:002023-25218Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25218.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25013.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Nasdaq Rules 4120 and 47532023-11-14T00:00:00-08:002023-11-14T00:00:00-08:002023-25013Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25013.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25012.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9521 and 10.9522 To Correct Obsolete References to a FINRA Department2023-11-14T00:00:00-08:002023-11-14T00:00:00-08:002023-25012Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25012.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25011.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9521 and 10.9522 To Correct Obsolete References to a FINRA Department2023-11-14T00:00:00-08:002023-11-14T00:00:00-08:002023-25011Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25011.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25010.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 9521 and 9522 To Correct Obsolete References To a FINRA Department2023-11-14T00:00:00-08:002023-11-14T00:00:00-08:002023-25010Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25010.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25009.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 9521 and 9522 To Correct Obsolete References to a FINRA Department2023-11-14T00:00:00-08:002023-11-14T00:00:00-08:002023-25009Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25009.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25008.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the NYSE Listed Company Manual To Adopt Listing Standards for Natural Asset Companies2023-11-14T00:00:00-08:002023-11-14T00:00:00-08:002023-25008Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25008.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25007.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 Schedule2023-11-14T00:00:00-08:002023-11-14T00:00:00-08:002023-25007Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25007.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25014.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9521 and 10.9522 To Correct Obsolete References to a FINRA Department2023-11-14T00:00:00-08:002023-11-14T00:00:00-08:002023-25014Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25014.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/14/2023-24991.htmlNotice - Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 19402023-11-14T00:00:00-08:002023-11-14T00:00:00-08:002023-24991Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-24991.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24868.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Enhancements to Its Designated Market Maker Program2023-11-13T00:00:00-08:002023-11-13T00:00:00-08:002023-24868Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24868.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24867.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, 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 Interest2023-11-13T00:00:00-08:002023-11-13T00:00:00-08:002023-24867Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24867.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24866.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, 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 Interest2023-11-13T00:00:00-08:002023-11-13T00:00:00-08:002023-24866Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24866.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24865.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Price List2023-11-13T00:00:00-08:002023-11-13T00:00:00-08:002023-24865Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24865.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24864.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt an Alternative to the Minimum $4 Price Requirement for Companies Seeking To List Tier II Securities on the Exchange2023-11-13T00:00:00-08:002023-11-13T00:00:00-08:002023-24864Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24864.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24953.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule0-22023-11-13T00:00:00-08:002023-11-13T00:00:00-08:002023-24953Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24953.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24952.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form N-54C2023-11-13T00:00:00-08:002023-11-13T00:00:00-08:002023-24952Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24952.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24951.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form N-17f-22023-11-13T00:00:00-08:002023-11-13T00:00:00-08:002023-24951Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24951.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24955.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 31a-12023-11-13T00:00:00-08:002023-11-13T00:00:00-08:002023-24955Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24955.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24954.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17a-72023-11-13T00:00:00-08:002023-11-13T00:00:00-08:002023-24954Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24954.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24764.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.372023-11-09T00:00:00-08:002023-11-09T00:00:00-08:002023-24764Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24764.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24763.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E2023-11-09T00:00:00-08:002023-11-09T00:00:00-08:002023-24763Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24763.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24761.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.372023-11-09T00:00:00-08:002023-11-09T00:00:00-08:002023-24761Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24761.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24760.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending Rule 935NY2023-11-09T00:00:00-08:002023-11-09T00:00:00-08:002023-24760Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24760.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24759.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-12023-11-09T00:00:00-08:002023-11-09T00:00:00-08:002023-24759Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24759.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24758.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees2023-11-09T00:00:00-08:002023-11-09T00:00:00-08:002023-24758Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24758.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24840.htmlNotice - Kayne Anderson Energy Infrastructure Fund, Inc., et al.2023-11-09T00:00:00-08:002023-11-09T00:00:00-08:002023-24840Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24840.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24757.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.37E2023-11-09T00:00:00-08:002023-11-09T00:00:00-08:002023-24757Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24757.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/08/2023-24624.htmlNotice - Order Granting Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail2023-11-08T00:00:00-08:002023-11-08T00:00:00-08:002023-24624Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-08/pdf/2023-24624.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/08/2023-24623.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Invesco Galaxy Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-11-08T00:00:00-08:002023-11-08T00:00:00-08:002023-24623Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-08/pdf/2023-24623.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/08/2023-24663.htmlNotice - Nomura Alternative Income Fund, et al.2023-11-08T00:00:00-08:002023-11-08T00:00:00-08:002023-24663Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-08/pdf/2023-24663.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24522.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving a Proposed Rule Change Related to Notification and Disclosure of Reverse Stock Splits2023-11-07T00:00:00-08:002023-11-07T00:00:00-08:002023-24522Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24522.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24521.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons2023-11-07T00:00:00-08:002023-11-07T00:00:00-08:002023-24521Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24521.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24520.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons2023-11-07T00:00:00-08:002023-11-07T00:00:00-08:002023-24520Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24520.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24519.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons2023-11-07T00:00:00-08:002023-11-07T00:00:00-08:002023-24519Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24519.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24518.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons2023-11-07T00:00:00-08:002023-11-07T00:00:00-08:002023-24518Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24518.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24517.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2023-11-07T00:00:00-08:002023-11-07T00:00:00-08:002023-24517Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24517.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/07/2023-22678.htmlRule - Modernization of Beneficial Ownership Reporting2023-11-07T00:00:00-08:002023-11-07T00:00:00-08:002023-22678Rulehttps://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-22678.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/06/2023-23398.htmlProposed Rule - Volume-Based Exchange Transaction Pricing for NMS Stocks2023-11-06T00:00:00-08:002023-11-06T00:00:00-08:002023-23398Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-11-06/pdf/2023-23398.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/06/2023-24636.htmlNotice - Sunshine Act Meetings2023-11-06T00:00:00-08:002023-11-06T00:00:00-08:002023-24636Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-06/pdf/2023-24636.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/03/2023-24370.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 12f-12023-11-03T00:00:00-07:002023-11-03T00:00:00-07:002023-24370Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-03/pdf/2023-24370.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/03/2023-23052.htmlRule - Reporting of Securities Loans2023-11-03T00:00:00-07:002023-11-03T00:00:00-07:002023-23052Rulehttps://www.govinfo.gov/content/pkg/FR-2023-11-03/pdf/2023-23052.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/03/2023-24271.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 Extend the Sunset Period for the Step-Added Liquidity Rebate2023-11-03T00:00:00-07:002023-11-03T00:00:00-07:002023-24271Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-03/pdf/2023-24271.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24131.htmlNotice - Deregistration Under Section 8(f) of the Investment Company Act of 19402023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24131Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24131.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24177.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24177Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24177.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24176.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24176Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24176.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24175.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24175Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24175.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24174.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24174Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24174.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24173.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24173Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24173.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24172.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24172Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24172.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24171.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24171Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24171.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24170.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24170Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24170.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24180.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24180Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24180.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24179.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24179Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24179.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24178.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24178Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24178.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24270.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 2614(a)(1)(ix) and 2618(b)(1) To Amend Certain Risk Controls When Trading Equity Securities on MIAX Pearl Equities2023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24270Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24270.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24245.htmlNotice - Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) Under the Securities Exchange Act of 1934, From Rule 15c2-11 for Fixed-Income Securities Sold in Compliance With the Safe Harbor of Rule 144A Under the Securities Act of 19332023-11-02T00:00:00-07:002023-11-02T00:00:00-07:002023-24245Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24245.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/01/2023-23051.htmlNotice - Notice of the Text of the Amendment to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection2023-11-01T00:00:00-07:002023-11-01T00:00:00-07:002023-23051Noticehttps://www.govinfo.gov/content/pkg/FR-2023-11-01/pdf/2023-23051.pdfhttps://regulations.justia.com/regulations/fedreg/2023/11/01/2023-23050.htmlRule - Short Position and Short Activity Reporting by Institutional Investment Managers2023-11-01T00:00:00-07:002023-11-01T00:00:00-07:002023-23050Rulehttps://www.govinfo.gov/content/pkg/FR-2023-11-01/pdf/2023-23050.pdf