<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2023/11?registers=between&min-day=1&max-day=30 Mon, 20 May 2024 05:42:27 -0700 Mon, 20 May 2024 05:42:27 -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/2023/11?registers=between&min-day=1&max-day=30 Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2023/11/30/2023-26263.html https://regulations.justia.com/regulations/fedreg/2023/11/30/2023-26263.html Thu, 30 Nov 2023 00:00:00 -0800 2023-26263 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-30/pdf/2023-26263.pdf Notice - Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2023/11/29/2023-26236.html https://regulations.justia.com/regulations/fedreg/2023/11/29/2023-26236.html Wed, 29 Nov 2023 00:00:00 -0800 2023-26236 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-29/pdf/2023-26236.pdf Notice - Oxford Park Income Fund, Inc. and Oxford Park Management, LLC https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26115.html https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26115.html Tue, 28 Nov 2023 00:00:00 -0800 2023-26115 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26115.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26113.html https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26113.html Tue, 28 Nov 2023 00:00:00 -0800 2023-26113 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26113.pdf Notice - 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 Rebates https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26112.html https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26112.html Tue, 28 Nov 2023 00:00:00 -0800 2023-26112 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26112.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish IM-7600-8 https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26111.html https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26111.html Tue, 28 Nov 2023 00:00:00 -0800 2023-26111 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26111.pdf Notice - Joint Industry Plan; Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26125.html https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26125.html Tue, 28 Nov 2023 00:00:00 -0800 2023-26125 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26125.pdf Notice - IndexIQ Active ETF Trust and IndexIQ Advisors LLC https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26118.html https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26118.html Tue, 28 Nov 2023 00:00:00 -0800 2023-26118 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26118.pdf Notice - Meketa Infrastructure Fund and Meketa Capital, LLC https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26117.html https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26117.html Tue, 28 Nov 2023 00:00:00 -0800 2023-26117 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26117.pdf Notice - CAZ Strategic Opportunities Fund and CAZ Investments Registered Adviser LLC https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26116.html https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26116.html Tue, 28 Nov 2023 00:00:00 -0800 2023-26116 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26116.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26189.html https://regulations.justia.com/regulations/fedreg/2023/11/28/2023-26189.html Tue, 28 Nov 2023 00:00:00 -0800 2023-26189 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-28/pdf/2023-26189.pdf Notice - 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 14.13 https://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26007.html https://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26007.html Mon, 27 Nov 2023 00:00:00 -0800 2023-26007 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-27/pdf/2023-26007.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce a New Post Only Order Parameter Instruction https://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26006.html https://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26006.html Mon, 27 Nov 2023 00:00:00 -0800 2023-26006 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-27/pdf/2023-26006.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Adopt Monthly Options Series https://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26005.html https://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26005.html Mon, 27 Nov 2023 00:00:00 -0800 2023-26005 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-27/pdf/2023-26005.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26004.html https://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26004.html Mon, 27 Nov 2023 00:00:00 -0800 2023-26004 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-27/pdf/2023-26004.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Short Term Option Series Program in IM-5050-6 https://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26092.html https://regulations.justia.com/regulations/fedreg/2023/11/27/2023-26092.html Mon, 27 Nov 2023 00:00:00 -0800 2023-26092 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-27/pdf/2023-26092.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25886.html https://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25886.html Fri, 24 Nov 2023 00:00:00 -0800 2023-25886 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-24/pdf/2023-25886.pdf Notice - 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 Obligations https://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25883.html https://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25883.html Fri, 24 Nov 2023 00:00:00 -0800 2023-25883 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-24/pdf/2023-25883.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25882.html https://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25882.html Fri, 24 Nov 2023 00:00:00 -0800 2023-25882 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-24/pdf/2023-25882.pdf Notice - 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 Communications https://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25881.html https://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25881.html Fri, 24 Nov 2023 00:00:00 -0800 2023-25881 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-24/pdf/2023-25881.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25880.html https://regulations.justia.com/regulations/fedreg/2023/11/24/2023-25880.html Fri, 24 Nov 2023 00:00:00 -0800 2023-25880 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-24/pdf/2023-25880.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 Concerning Transaction Fees https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25549.html https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25549.html Mon, 20 Nov 2023 00:00:00 -0800 2023-25549 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25549.pdf Notice - 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-Location https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25548.html https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25548.html Mon, 20 Nov 2023 00:00:00 -0800 2023-25548 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25548.pdf Notice - 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 Expiration https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25547.html https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25547.html Mon, 20 Nov 2023 00:00:00 -0800 2023-25547 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25547.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25546.html https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25546.html Mon, 20 Nov 2023 00:00:00 -0800 2023-25546 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25546.pdf Notice - 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 Corporation https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25545.html https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25545.html Mon, 20 Nov 2023 00:00:00 -0800 2023-25545 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25545.pdf Notice - 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 Corporation https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25544.html https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25544.html Mon, 20 Nov 2023 00:00:00 -0800 2023-25544 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25544.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25542.html https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25542.html Mon, 20 Nov 2023 00:00:00 -0800 2023-25542 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25542.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25541.html https://regulations.justia.com/regulations/fedreg/2023/11/20/2023-25541.html Mon, 20 Nov 2023 00:00:00 -0800 2023-25541 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-20/pdf/2023-25541.pdf Notice - Saratoga Investment Advisors, LLC, et al. https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25498.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25498.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25498 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25498.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25606.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25606.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25606 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25606.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 15g-2 https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25479.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25479.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25479 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25479.pdf Notice - 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 Automation https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25386.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25386.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25386 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25386.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25385.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25385.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25385 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25385.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt Monthly Options Series https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25384.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25384.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25384 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25384.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/2023/11/17/2023-25383.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25383.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25383 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25383.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118 https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25382.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25382.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25382 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25382.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25381.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25381.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25381 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25381.pdf Notice - 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 Portal https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25380.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25380.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25380 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25380.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25379.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25379.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25379 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25379.pdf Notice - Proposed Collection; Comment Request; Extension: Form N-6F https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25478.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25478.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25478 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25478.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 11a-2 https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25477.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25477.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25477 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25477.pdf Notice - Proposed Collection; Comment Request; Extension: Form N-54A https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25476.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25476.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25476 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25476.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25378.html https://regulations.justia.com/regulations/fedreg/2023/11/17/2023-25378.html Fri, 17 Nov 2023 00:00:00 -0800 2023-25378 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-17/pdf/2023-25378.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25207.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25207.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25207 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25207.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25206.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25206.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25206 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25206.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25205.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25205.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25205 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25205.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/2023/11/15/2023-25204.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25204.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25204 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25204.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25203.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25203.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25203 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25203.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing and Trading of XND Options https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25108.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25108.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25108 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25108.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25107.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25107.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25107 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25107.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25106.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25106.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25106 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25106.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.31E https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25105.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25105.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25105 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25105.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25104.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25104.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25104 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25104.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 Adopt Connectivity and Application Session Fees for MEMX Options https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25102.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25102.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25102 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25102.pdf Notice - Order Granting ICE Clear Europe Limited's Request To Withdraw From Registration as a Clearing Agency https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25218.html https://regulations.justia.com/regulations/fedreg/2023/11/15/2023-25218.html Wed, 15 Nov 2023 00:00:00 -0800 2023-25218 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-15/pdf/2023-25218.pdf Notice - 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 4753 https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25013.html https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25013.html Tue, 14 Nov 2023 00:00:00 -0800 2023-25013 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25013.pdf Notice - 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 Department https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25012.html https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25012.html Tue, 14 Nov 2023 00:00:00 -0800 2023-25012 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25012.pdf Notice - 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 Department https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25011.html https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25011.html Tue, 14 Nov 2023 00:00:00 -0800 2023-25011 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25011.pdf Notice - 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 Department https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25010.html https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25010.html Tue, 14 Nov 2023 00:00:00 -0800 2023-25010 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25010.pdf Notice - 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 Department https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25009.html https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25009.html Tue, 14 Nov 2023 00:00:00 -0800 2023-25009 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25009.pdf Notice - 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 Companies https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25008.html https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25008.html Tue, 14 Nov 2023 00:00:00 -0800 2023-25008 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25008.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 https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25007.html https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25007.html Tue, 14 Nov 2023 00:00:00 -0800 2023-25007 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25007.pdf Notice - 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 Department https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25014.html https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-25014.html Tue, 14 Nov 2023 00:00:00 -0800 2023-25014 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-25014.pdf Notice - Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-24991.html https://regulations.justia.com/regulations/fedreg/2023/11/14/2023-24991.html Tue, 14 Nov 2023 00:00:00 -0800 2023-24991 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-14/pdf/2023-24991.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Enhancements to Its Designated Market Maker Program https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24868.html https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24868.html Mon, 13 Nov 2023 00:00:00 -0800 2023-24868 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24868.pdf Notice - 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 Interest https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24867.html https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24867.html Mon, 13 Nov 2023 00:00:00 -0800 2023-24867 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24867.pdf Notice - 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 Interest https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24866.html https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24866.html Mon, 13 Nov 2023 00:00:00 -0800 2023-24866 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24866.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24865.html https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24865.html Mon, 13 Nov 2023 00:00:00 -0800 2023-24865 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24865.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 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/2023/11/13/2023-24864.html https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24864.html Mon, 13 Nov 2023 00:00:00 -0800 2023-24864 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24864.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule0-2 https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24953.html https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24953.html Mon, 13 Nov 2023 00:00:00 -0800 2023-24953 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24953.pdf Notice - Submission for OMB Review; Comment Request; Extension: Form N-54C https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24952.html https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24952.html Mon, 13 Nov 2023 00:00:00 -0800 2023-24952 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24952.pdf Notice - Submission for OMB Review; Comment Request; Extension: Form N-17f-2 https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24951.html https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24951.html Mon, 13 Nov 2023 00:00:00 -0800 2023-24951 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24951.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 31a-1 https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24955.html https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24955.html Mon, 13 Nov 2023 00:00:00 -0800 2023-24955 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24955.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-7 https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24954.html https://regulations.justia.com/regulations/fedreg/2023/11/13/2023-24954.html Mon, 13 Nov 2023 00:00:00 -0800 2023-24954 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-13/pdf/2023-24954.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24764.html https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24764.html Thu, 09 Nov 2023 00:00:00 -0800 2023-24764 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24764.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24763.html https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24763.html Thu, 09 Nov 2023 00:00:00 -0800 2023-24763 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24763.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24761.html https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24761.html Thu, 09 Nov 2023 00:00:00 -0800 2023-24761 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24761.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending Rule 935NY https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24760.html https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24760.html Thu, 09 Nov 2023 00:00:00 -0800 2023-24760 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24760.pdf Notice - 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 15b9-1 https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24759.html https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24759.html Thu, 09 Nov 2023 00:00:00 -0800 2023-24759 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24759.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24758.html https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24758.html Thu, 09 Nov 2023 00:00:00 -0800 2023-24758 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24758.pdf Notice - Kayne Anderson Energy Infrastructure Fund, Inc., et al. https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24840.html https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24840.html Thu, 09 Nov 2023 00:00:00 -0800 2023-24840 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24840.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.37E https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24757.html https://regulations.justia.com/regulations/fedreg/2023/11/09/2023-24757.html Thu, 09 Nov 2023 00:00:00 -0800 2023-24757 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-09/pdf/2023-24757.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2023/11/08/2023-24624.html https://regulations.justia.com/regulations/fedreg/2023/11/08/2023-24624.html Wed, 08 Nov 2023 00:00:00 -0800 2023-24624 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-08/pdf/2023-24624.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2023/11/08/2023-24623.html https://regulations.justia.com/regulations/fedreg/2023/11/08/2023-24623.html Wed, 08 Nov 2023 00:00:00 -0800 2023-24623 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-08/pdf/2023-24623.pdf Notice - Nomura Alternative Income Fund, et al. https://regulations.justia.com/regulations/fedreg/2023/11/08/2023-24663.html https://regulations.justia.com/regulations/fedreg/2023/11/08/2023-24663.html Wed, 08 Nov 2023 00:00:00 -0800 2023-24663 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-08/pdf/2023-24663.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving a Proposed Rule Change Related to Notification and Disclosure of Reverse Stock Splits https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24522.html https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24522.html Tue, 07 Nov 2023 00:00:00 -0800 2023-24522 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24522.pdf Notice - 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 Persons https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24521.html https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24521.html Tue, 07 Nov 2023 00:00:00 -0800 2023-24521 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24521.pdf Notice - 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 Persons https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24520.html https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24520.html Tue, 07 Nov 2023 00:00:00 -0800 2023-24520 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24520.pdf Notice - 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 Persons https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24519.html https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24519.html Tue, 07 Nov 2023 00:00:00 -0800 2023-24519 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24519.pdf Notice - 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 Persons https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24518.html https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24518.html Tue, 07 Nov 2023 00:00:00 -0800 2023-24518 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24518.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24517.html https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-24517.html Tue, 07 Nov 2023 00:00:00 -0800 2023-24517 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-24517.pdf Rule - Modernization of Beneficial Ownership Reporting https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-22678.html https://regulations.justia.com/regulations/fedreg/2023/11/07/2023-22678.html Tue, 07 Nov 2023 00:00:00 -0800 2023-22678 Rule https://www.govinfo.gov/content/pkg/FR-2023-11-07/pdf/2023-22678.pdf Proposed Rule - Volume-Based Exchange Transaction Pricing for NMS Stocks https://regulations.justia.com/regulations/fedreg/2023/11/06/2023-23398.html https://regulations.justia.com/regulations/fedreg/2023/11/06/2023-23398.html Mon, 06 Nov 2023 00:00:00 -0800 2023-23398 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2023-11-06/pdf/2023-23398.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2023/11/06/2023-24636.html https://regulations.justia.com/regulations/fedreg/2023/11/06/2023-24636.html Mon, 06 Nov 2023 00:00:00 -0800 2023-24636 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-06/pdf/2023-24636.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 12f-1 https://regulations.justia.com/regulations/fedreg/2023/11/03/2023-24370.html https://regulations.justia.com/regulations/fedreg/2023/11/03/2023-24370.html Fri, 03 Nov 2023 00:00:00 -0700 2023-24370 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-03/pdf/2023-24370.pdf Rule - Reporting of Securities Loans https://regulations.justia.com/regulations/fedreg/2023/11/03/2023-23052.html https://regulations.justia.com/regulations/fedreg/2023/11/03/2023-23052.html Fri, 03 Nov 2023 00:00:00 -0700 2023-23052 Rule https://www.govinfo.gov/content/pkg/FR-2023-11-03/pdf/2023-23052.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 Extend the Sunset Period for the Step-Added Liquidity Rebate https://regulations.justia.com/regulations/fedreg/2023/11/03/2023-24271.html https://regulations.justia.com/regulations/fedreg/2023/11/03/2023-24271.html Fri, 03 Nov 2023 00:00:00 -0700 2023-24271 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-03/pdf/2023-24271.pdf Notice - Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24131.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24131.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24131 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24131.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24177.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24177.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24177 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24177.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24176.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24176.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24176 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24176.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24175.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24175.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24175 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24175.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24174.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24174.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24174 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24174.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24173.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24173.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24173 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24173.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24172.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24172.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24172 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24172.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24171.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24171.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24171 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24171.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24170.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24170.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24170 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24170.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 Wind Down Framework and Plan https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24180.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24180.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24180 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24180.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24179.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24179.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24179 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24179.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24178.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24178.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24178 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24178.pdf Notice - 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 Equities https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24270.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24270.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24270 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24270.pdf Notice - 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 1933 https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24245.html https://regulations.justia.com/regulations/fedreg/2023/11/02/2023-24245.html Thu, 02 Nov 2023 00:00:00 -0700 2023-24245 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-02/pdf/2023-24245.pdf Notice - 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 Collection https://regulations.justia.com/regulations/fedreg/2023/11/01/2023-23051.html https://regulations.justia.com/regulations/fedreg/2023/11/01/2023-23051.html Wed, 01 Nov 2023 00:00:00 -0700 2023-23051 Notice https://www.govinfo.gov/content/pkg/FR-2023-11-01/pdf/2023-23051.pdf Rule - Short Position and Short Activity Reporting by Institutional Investment Managers https://regulations.justia.com/regulations/fedreg/2023/11/01/2023-23050.html https://regulations.justia.com/regulations/fedreg/2023/11/01/2023-23050.html Wed, 01 Nov 2023 00:00:00 -0700 2023-23050 Rule https://www.govinfo.gov/content/pkg/FR-2023-11-01/pdf/2023-23050.pdf