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

Results 1,701 - 1,750 of 1,818
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) To Reduce the 15-Minute TRACE Reporting Timeframe to One Minute
Document Number: 2024-01395
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01395.html
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 Modify Certain Electronic Non-Auction Transaction Fees
Document Number: 2024-01393
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01393.html
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 Decrease Certain Electronic Non-Auction Transaction Fees
Document Number: 2024-01392
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01392.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.3-O To Permit the Listing and Trading of Options on Commodity-Based Trust Shares
Document Number: 2024-01391
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01391.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities
Document Number: 2024-01390
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01390.html
Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Options on iShares Bitcoin Trust
Document Number: 2024-01389
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01389.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit Cboe To List and Trade Options on ETPs That Hold Bitcoin
Document Number: 2024-01388
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01388.html
Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities
Document Number: 2024-01387
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01387.html
Joint Industry Plan; Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data
Document Number: 2024-01369
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01369.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility
Document Number: 2024-01386
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01386.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation's Rules, By-Laws, and Certain Clearing Member Documents
Document Number: 2024-01385
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01385.html
Submission for OMB Review; Comment Request; Extension: Rule 18f-3
Document Number: 2024-01437
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01437.html
Submission for OMB Review; Comment Request; Extension: Rule 498
Document Number: 2024-01436
Type: Notice
Date: 2024-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/25/2024-01436.html
Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the CDSClear Fee Grid for 2024
Document Number: 2024-01308
Type: Notice
Date: 2024-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/24/2024-01308.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Fidelity Ethereum Fund Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Document Number: 2024-01307
Type: Notice
Date: 2024-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/24/2024-01307.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17
Document Number: 2024-01306
Type: Notice
Date: 2024-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/24/2024-01306.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34
Document Number: 2024-01305
Type: Notice
Date: 2024-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/24/2024-01305.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34
Document Number: 2024-01304
Type: Notice
Date: 2024-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/01/24/2024-01304.html
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
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