Securities and Exchange Commission 2023 – Federal Register Recent Federal Regulation Documents

Results 301 - 350 of 1,677
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees
Document Number: 2023-23708
Type: Notice
Date: 2023-10-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23708.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees
Document Number: 2023-23707
Type: Notice
Date: 2023-10-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23707.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees
Document Number: 2023-23706
Type: Notice
Date: 2023-10-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23706.html
26North BDC, Inc., et al.
Document Number: 2023-23764
Type: Notice
Date: 2023-10-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23764.html
Investment Company Names; Correction
Document Number: 2023-23778
Type: Rule
Date: 2023-10-27
Agency: Securities and Exchange Commission, Agencies and Commissions
This document makes a technical correction to the preamble accompanying amendments to the rule under the Investment Company Act of 1940 that addresses certain broad categories of investment company names that are likely to mislead investors about an investment company's investments and risks, as adopted in Release No. IC-35000 (September 20, 2023), which was published in the Federal Register on October 11, 2023.
https://regulations.justia.com/regulations/fedreg/2023/10/27/2023-23778.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits
Document Number: 2023-23497
Type: Notice
Date: 2023-10-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/25/2023-23497.html
Submission for OMB Review; Comment Request; Extension: Rule 17g-2
Document Number: 2023-23557
Type: Notice
Date: 2023-10-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/25/2023-23557.html
Brookfield Infrastructure Income Fund, Inc. and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P.
Document Number: 2023-23389
Type: Notice
Date: 2023-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23389.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Proprietary Market Data Fee Schedule
Document Number: 2023-23400
Type: Notice
Date: 2023-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23400.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Purge Ports for Equities Trading
Document Number: 2023-23404
Type: Notice
Date: 2023-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23404.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Purge Ports for Equities Trading
Document Number: 2023-23402
Type: Notice
Date: 2023-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23402.html
Proposed Collection; Comment Request; Extension Rule: 15c2-7
Document Number: 2023-23416
Type: Notice
Date: 2023-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/24/2023-23416.html
Sunshine Act Meetings
Document Number: 2023-23470
Type: Notice
Date: 2023-10-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/23/2023-23470.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the John Hancock Fundamental All Cap Core ETF Under Rule 8.601-E, Active Proxy Portfolio Shares
Document Number: 2023-23265
Type: Notice
Date: 2023-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/20/2023-23265.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Document Number: 2023-23141
Type: Notice
Date: 2023-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/20/2023-23141.html
Submission for OMB Review; Comment Request; Extension: Rule 17g-1 and Form NRSRO
Document Number: 2023-23136
Type: Notice
Date: 2023-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/20/2023-23136.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Modify Certain Connectivity and Port Fees
Document Number: 2023-23044
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23044.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-23043
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23043.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-23042
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23042.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-23041
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23041.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Certain Connectivity and Port Fees
Document Number: 2023-23040
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23040.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-23039
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23039.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Certain Connectivity and Port Fees
Document Number: 2023-23038
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23038.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-23037
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23037.html
MIAX Sapphire, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Document Number: 2023-23036
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23036.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-23035
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23035.html
Submission for OMB Review; Comment Request; Extension: Rule 15c1-7
Document Number: 2023-23096
Type: Notice
Date: 2023-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/19/2023-23096.html
Proposed Collection; Comment Request; Extension: Rule 2a-5
Document Number: 2023-22970
Type: Notice
Date: 2023-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22970.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Transaction Fees at Equity 7, Section 118(e)
Document Number: 2023-22926
Type: Notice
Date: 2023-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22926.html
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Risk Settings Rules Applicable to Options Trading
Document Number: 2023-22925
Type: Notice
Date: 2023-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22925.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to the Options Regulatory Fee
Document Number: 2023-22924
Type: Notice
Date: 2023-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22924.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to the Options Regulatory Fee
Document Number: 2023-22923
Type: Notice
Date: 2023-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22923.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to the Options Regulatory Fee
Document Number: 2023-22922
Type: Notice
Date: 2023-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22922.html
Proposed Collection; Comment Request; Extension: Rule 15c2-1
Document Number: 2023-22921
Type: Notice
Date: 2023-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22921.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule for Purge Ports
Document Number: 2023-22929
Type: Notice
Date: 2023-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22929.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule for Purge Ports
Document Number: 2023-22928
Type: Notice
Date: 2023-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22928.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fee Schedule for Purge Ports
Document Number: 2023-22927
Type: Notice
Date: 2023-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/18/2023-22927.html
Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on the Auditor's Use of Confirmation, and Other Amendments to Related PCAOB Standards
Document Number: 2023-22491
Type: Notice
Date: 2023-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22491.html
Proposed Collection; Comment Request; Extension: Rule 19a-1
Document Number: 2023-22818
Type: Notice
Date: 2023-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22818.html
Proposed Collection; Comment Request; Extension: Form 2-E
Document Number: 2023-22817
Type: Notice
Date: 2023-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22817.html
Proposed Collection; Comment Request; Extension: Rule 489 and Form F-N
Document Number: 2023-22816
Type: Notice
Date: 2023-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22816.html
Proposed Collection; Comment Request; Extension: Rule 17g-1
Document Number: 2023-22815
Type: Notice
Date: 2023-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22815.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the Cboe Silexx Platform
Document Number: 2023-22812
Type: Notice
Date: 2023-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22812.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2
Document Number: 2023-22811
Type: Notice
Date: 2023-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/17/2023-22811.html
Sunshine Act Meetings
Document Number: 2023-22904
Type: Notice
Date: 2023-10-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22904.html
Sunshine Act Meetings
Document Number: 2023-22835
Type: Notice
Date: 2023-10-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22835.html
Submission for OMB Review; Comment Request; Extension: Rule 17a-5
Document Number: 2023-22735
Type: Notice
Date: 2023-10-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22735.html
Submission for OMB Review; Comment Request; Extension: Rule 10b-17
Document Number: 2023-22734
Type: Notice
Date: 2023-10-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22734.html
Submission for OMB Review; Comment Request; Extension: Rule 17a-5
Document Number: 2023-22733
Type: Notice
Date: 2023-10-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22733.html
Submission for OMB Review; Comment Request; Extension: Rule 17a-11
Document Number: 2023-22732
Type: Notice
Date: 2023-10-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/10/16/2023-22732.html
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