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

Results 101 - 150 of 2,074
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach to the Options Regulatory Fee (ORF) in 2025
Document Number: 2024-29624
Type: Notice
Date: 2024-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/17/2024-29624.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach to the Options Regulatory Fee (ORF) in 2025
Document Number: 2024-29623
Type: Notice
Date: 2024-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/17/2024-29623.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Fees Based on the Rate of Inflation
Document Number: 2024-29633
Type: Notice
Date: 2024-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/17/2024-29633.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Fees Based on the Rate of Inflation
Document Number: 2024-29632
Type: Notice
Date: 2024-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/17/2024-29632.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Investment Policy
Document Number: 2024-29631
Type: Notice
Date: 2024-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/17/2024-29631.html
MX2 LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Document Number: 2024-29630
Type: Notice
Date: 2024-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/17/2024-29630.html
Proposed Collection; Comment Request; Reinstatement Without Change: Reports of Evidence of Material Violations
Document Number: 2024-29477
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29477.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures
Document Number: 2024-29474
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29474.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules Regarding the Types of Complex Orders Available for Flexible Exchange Options (“FLEX”) Trading at the Exchange
Document Number: 2024-29473
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29473.html
Self-Regulatory Organizations; MIAX Sapphire, LLC; Order Declaring Effective a Minor Rule Violation Plan
Document Number: 2024-29472
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29472.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee (ORF)
Document Number: 2024-29471
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29471.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee (ORF)
Document Number: 2024-29470
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29470.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the Bitwise Bitcoin and Ethereum ETF under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Document Number: 2024-29469
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29469.html
Commission's Organization and Program Management Regulations
Document Number: 2024-29420
Type: Rule
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission ("SEC" or "Commission") is adopting technical amendments to update information relating to its regional offices listed in the Commission's Organization and Program Management regulations.
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29420.html
Proposed Collection; Comment Request; Extension: Rule 22e-3
Document Number: 2024-29579
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29579.html
Proposed Collection; Comment Request; Extension: Rule 17f-4
Document Number: 2024-29578
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29578.html
Sunshine Act Meetings
Document Number: 2024-29677
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29677.html
Sunshine Act Meetings
Document Number: 2024-29635
Type: Notice
Date: 2024-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/16/2024-29635.html
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt Certain Connectivity Fees
Document Number: 2024-29336
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29336.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.1
Document Number: 2024-29335
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29335.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Section 102.01 of the NYSE Listed Company Manual To Provide That the Stockholder Requirements Set Forth Therein Will Be Calculated on a Worldwide Basis When Listing a Company From Outside North America That Is Listing in Connection With Its Initial Public Offering and Is Not Listed on Any Other Regulated Stock Exchange
Document Number: 2024-29334
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29334.html
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for the Exchange's Proprietary Market Data Feeds: (i) MIAX Sapphire Top of Market Data Feed; (ii) MIAX Sapphire Complex Top of Market Data Feed; and (iii) MIAX Sapphire Liquidity Feed
Document Number: 2024-29333
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29333.html
Proposed Collection; Comment Request; Extension: Rule 17g-4
Document Number: 2024-29303
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29303.html
Proposed Collection; Comment Request; Extension: Rules 6a-1 and 6a-2, Form 1
Document Number: 2024-29301
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29301.html
HarbourVest Private Investments Fund and Fund HarbourVest Registered Advisers L.P.
Document Number: 2024-29315
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29315.html
Global X Venture Fund and Global X Management Company, LLC
Document Number: 2024-29314
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29314.html
Submission for OMB Review; Comment Request; Extension: Rules 15Fb1-1 Through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W
Document Number: 2024-29306
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29306.html
Submission for OMB Review; Comment Request; Extension: Rule 20a-1
Document Number: 2024-29305
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29305.html
Submission for OMB Review; Comment Request; Extension: Form ADV-E
Document Number: 2024-29304
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29304.html
Capital Group KKR Multi-Sector+, Capital Group KKR Core Plus+ and Capital Research and Management Company
Document Number: 2024-29316
Type: Notice
Date: 2024-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/13/2024-29316.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 346
Document Number: 2024-29150
Type: Notice
Date: 2024-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/12/2024-29150.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual To Establish a Flat Annual Listing Fee Payable by a Limited Partnership That Is At Least 40% Owned by Another Company Listed on the Exchange
Document Number: 2024-29149
Type: Notice
Date: 2024-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/12/2024-29149.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Auction Response and Execution Price Cap for AIM and SAM Auctions
Document Number: 2024-29148
Type: Notice
Date: 2024-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/12/2024-29148.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Auction Response and Execution Price Cap for AIM and SAM Auctions
Document Number: 2024-29147
Type: Notice
Date: 2024-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/12/2024-29147.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.4(a)
Document Number: 2024-29146
Type: Notice
Date: 2024-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/12/2024-29146.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 3
Document Number: 2024-29145
Type: Notice
Date: 2024-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/12/2024-29145.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.4
Document Number: 2024-29144
Type: Notice
Date: 2024-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/12/2024-29144.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 342
Document Number: 2024-29143
Type: Notice
Date: 2024-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/12/2024-29143.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Fees Based on the Rate of Inflation
Document Number: 2024-29151
Type: Notice
Date: 2024-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/12/2024-29151.html
Submission for OMB Review; Comment Request; Extension: Rule 15Ga-2 and Form ABS-15G
Document Number: 2024-29120
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29120.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Regarding Dedicated Cores
Document Number: 2024-29043
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29043.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Regarding Dedicated Cores
Document Number: 2024-29042
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29042.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Regarding Dedicated Cores
Document Number: 2024-29041
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29041.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the Exchange's Fees for Top of PHLX Options (TOPO), PHLX Orders, and TOPO Plus Orders
Document Number: 2024-29040
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29040.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Equity 4, Rule 4759 Concerning Data Feeds Utilized
Document Number: 2024-29039
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29039.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Governance Playbook and Seventh Amended and Restated Operating Agreement
Document Number: 2024-29038
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29038.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICC Operational Risk Management Framework
Document Number: 2024-29037
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29037.html
Self-Regulatory Organizations; Nasdaq PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3304 Concerning Data Feeds Utilized
Document Number: 2024-29035
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29035.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Regarding Dedicated Cores
Document Number: 2024-29045
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29045.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4759 Concerning Data Feeds Utilized
Document Number: 2024-29044
Type: Notice
Date: 2024-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/12/11/2024-29044.html
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