Securities and Exchange Commission January 2024 – Federal Register Recent Federal Regulation Documents

Results 51 - 100 of 150
Adoption of Updated EDGAR Filer Manual
Document Number: 2024-01314
Type: Rule
Date: 2024-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to Volume II of the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual (``EDGAR Filer Manual'' or ``Filer Manual'') and related rules and forms. EDGAR Release 23.4 will be deployed in the EDGAR system on December 18, 2023.
https://regulations.justia.com/regulations/fedreg/2024/01/24/2024-01314.html
Proposed Collection; Comment Request; Extension: Rule 18f-4
Document Number: 2024-01282
Type: Notice
Date: 2024-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/24/2024-01282.html
Proposed Collection; Comment Request; Extension: Form N-CEN
Document Number: 2024-01350
Type: Notice
Date: 2024-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/24/2024-01350.html
Proposed Collection; Comment Request; Extension: Rule 34b-1
Document Number: 2024-01349
Type: Notice
Date: 2024-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/24/2024-01349.html
CAZ Strategic Opportunities Fund, et al.
Document Number: 2024-01362
Type: Notice
Date: 2024-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/24/2024-01362.html
Sunshine Act Meetings
Document Number: 2024-01346
Type: Notice
Date: 2024-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/23/2024-01346.html
Proposed Collection; Comment Request; Extension: Rule 13h-1 and Form 13H
Document Number: 2024-01271
Type: Notice
Date: 2024-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/23/2024-01271.html
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Remote Inspection Relief to IEX Members To Include Calendar Year 2024 Inspection Obligations Through the Earlier of the Effective Date of the Recently Approved FINRA Pilot Program on Remote Inspections, or June 30, 2024
Document Number: 2024-01202
Type: Notice
Date: 2024-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/23/2024-01202.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Listed Company Manual To Adopt Listing Standards for Natural Asset Companies
Document Number: 2024-01189
Type: Notice
Date: 2024-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/23/2024-01189.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 980NYP
Document Number: 2024-01188
Type: Notice
Date: 2024-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/23/2024-01188.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Representation Relating to the Grayscale Bitcoin Trust
Document Number: 2024-01187
Type: Notice
Date: 2024-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/23/2024-01187.html
Options Price Reporting Authority; Notice of Filing of Proposed Amendment To Modify Section 5.2(c)(iii) of the OPRA Plan Relating to Dissemination of Exchange Proprietary Data Information
Document Number: 2024-01071
Type: Notice
Date: 2024-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/22/2024-01071.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 3240 (Borrowing From or Lending to Customers)
Document Number: 2024-01068
Type: Notice
Date: 2024-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/22/2024-01068.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Document Number: 2024-01066
Type: Notice
Date: 2024-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/22/2024-01066.html
Submission for OMB Review; Comment Request; Extension: Rule 11a-2
Document Number: 2024-01102
Type: Notice
Date: 2024-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/22/2024-01102.html
Submission for OMB Review; Comment Request; Extension: Form N-6F
Document Number: 2024-01101
Type: Notice
Date: 2024-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/22/2024-01101.html
Submission for OMB Review; Comment Request; Extension: Rule 12d1-4
Document Number: 2024-01100
Type: Notice
Date: 2024-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/22/2024-01100.html
Submission for OMB Review; Comment Request; Extension: Form N-54A
Document Number: 2024-01099
Type: Notice
Date: 2024-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/22/2024-01099.html
Submission for OMB Review; Comment Request; Extension: Rule 17f-1
Document Number: 2024-01125
Type: Notice
Date: 2024-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/22/2024-01125.html
Sunshine Act Meetings
Document Number: 2024-01225
Type: Notice
Date: 2024-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/22/2024-01225.html
Sunshine Act Meetings
Document Number: 2024-01207
Type: Notice
Date: 2024-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/22/2024-01207.html
GC Advisors LLC and Golub Capital Private Credit Fund
Document Number: 2024-01022
Type: Notice
Date: 2024-01-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/19/2024-01022.html
Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Document Number: 2024-00941
Type: Notice
Date: 2024-01-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/19/2024-00941.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure To Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations
Document Number: 2024-00856
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00856.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its NYSE Arca Options Fees and Charges
Document Number: 2024-00855
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00855.html
Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity and Application Session Fees for MEMX Options
Document Number: 2024-00854
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00854.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its NYSE Arca Equities Fees and Charges
Document Number: 2024-00853
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00853.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118
Document Number: 2024-00852
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00852.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Membership Fee at Equity 7, Section 10
Document Number: 2024-00851
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00851.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Add Historical Depth Data Fee
Document Number: 2024-00850
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00850.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges
Document Number: 2024-00849
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00849.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related to Certain Data Fees
Document Number: 2024-00848
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00848.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Add Historical Depth Data Fee
Document Number: 2024-00847
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00847.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Document Number: 2024-00846
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00846.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Historical Depth Data Fees
Document Number: 2024-00845
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00845.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Historical Depth Data Fees
Document Number: 2024-00844
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00844.html
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 Expand the NBBO Setter Plus Program and Remove the Step-Up Added Liquidity Rebate
Document Number: 2024-00843
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00843.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Historical Depth Data Fees
Document Number: 2024-00923
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00923.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule
Document Number: 2024-00922
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00922.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Historical Depth Data Fees
Document Number: 2024-00921
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00921.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Change To Amend Its Schedule of Fees and Rebates
Document Number: 2024-00920
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00920.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates
Document Number: 2024-00919
Type: Notice
Date: 2024-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/18/2024-00919.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Modify Rule 11.24 To Introduce an Enhanced RPI Order and Expand Its Retail Price Improvement Program To Include Securities Priced Below $1.00
Document Number: 2024-00712
Type: Notice
Date: 2024-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/17/2024-00712.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Remove the Cross Asset Tier
Document Number: 2024-00711
Type: Notice
Date: 2024-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/17/2024-00711.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Fees for the Short Interest Report
Document Number: 2024-00710
Type: Notice
Date: 2024-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/17/2024-00710.html
Self-Regulatory Organizations; NYSE Arca, Inc.; The Nasdaq Stock Market LLC; Cboe BZX Exchange, Inc.; Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Thereto, To List and Trade Bitcoin-Based Commodity-Based Trust Shares and Trust Units
Document Number: 2024-00743
Type: Notice
Date: 2024-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/17/2024-00743.html
Venerable Insurance and Annuity Company, et al.
Document Number: 2024-00791
Type: Notice
Date: 2024-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/17/2024-00791.html
Proposed Collection; Comment Request; Extension: Rule 18a-5
Document Number: 2024-00702
Type: Notice
Date: 2024-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/17/2024-00702.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Document Number: 2024-00640
Type: Notice
Date: 2024-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/16/2024-00640.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Document Number: 2024-00639
Type: Notice
Date: 2024-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/16/2024-00639.html
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