Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission?limit=200&mode=atom2023-06-01T05:38:37-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11613.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11613Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11613.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11612.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11612Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11612.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11611.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend MSRB Rules G-12 and G-15 To Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day After the Trade Date and To Amend Rule G-12 To Update an Outdated Cross Reference2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11611Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11611.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11610.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11610Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11610.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11609.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 9232 and Rule 308-Equities2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11609Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11609.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11608.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11608Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11608.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11607.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11607Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11607.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11616.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Investment Policy2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11616Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11616.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11615.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Investment Policy2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11615Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11615.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-11614.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Investment Policy2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-11614Noticehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-11614.pdfhttps://regulations.justia.com/regulations/fedreg/2023/06/01/2023-09965.htmlRule - Share Repurchase Disclosure Modernization2023-06-01T00:00:00-07:002023-06-01T00:00:00-07:002023-09965Rulehttps://www.govinfo.gov/content/pkg/FR-2023-06-01/pdf/2023-09965.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/31/2023-11549.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 17Ab2-1 and Form CA-12023-05-31T00:00:00-07:002023-05-31T00:00:00-07:002023-11549Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-31/pdf/2023-11549.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/31/2023-11444.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for a New Pair-Off Message That May Be Processed Through the EPN Service2023-05-31T00:00:00-07:002023-05-31T00:00:00-07:002023-11444Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-31/pdf/2023-11444.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/31/2023-11452.htmlNotice - Proposed Collection; Comment Request; Extension: Form SF-12023-05-31T00:00:00-07:002023-05-31T00:00:00-07:002023-11452Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-31/pdf/2023-11452.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/31/2023-11450.htmlNotice - Proposed Collection; Comment Request; Extension: Form SF-32023-05-31T00:00:00-07:002023-05-31T00:00:00-07:002023-11450Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-31/pdf/2023-11450.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/30/2023-10889.htmlProposed Rule - Covered Clearing Agency Resilience and Recovery and Wind-Down Plans2023-05-30T00:00:00-07:002023-05-30T00:00:00-07:002023-10889Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-05-30/pdf/2023-10889.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/30/2023-11356.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-30T00:00:00-07:002023-05-30T00:00:00-07:002023-11356Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-30/pdf/2023-11356.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/26/2023-11240.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Field-Programmable Gate Array Technology as an Optional Delivery Mechanism for PSX TotalView2023-05-26T00:00:00-07:002023-05-26T00:00:00-07:002023-11240Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-26/pdf/2023-11240.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/26/2023-11239.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Field-Programmable Gate Array Technology as an Optional Delivery Mechanism for BX TotalView2023-05-26T00:00:00-07:002023-05-26T00:00:00-07:002023-11239Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-26/pdf/2023-11239.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/26/2023-11313.htmlNotice - Proposed Collection; Comment Request; Extension: Rules 15Ba1-1 Through 15Ba1-82023-05-26T00:00:00-07:002023-05-26T00:00:00-07:002023-11313Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-26/pdf/2023-11313.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/25/2023-11200.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 30e-12023-05-25T00:00:00-07:002023-05-25T00:00:00-07:002023-11200Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-25/pdf/2023-11200.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/25/2023-11111.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments of the Investment Management Procedures2023-05-25T00:00:00-07:002023-05-25T00:00:00-07:002023-11111Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-25/pdf/2023-11111.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/24/2023-11185.htmlNotice - Sunshine Act Meetings2023-05-24T00:00:00-07:002023-05-24T00:00:00-07:002023-11185Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-24/pdf/2023-11185.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/24/2023-11031.htmlNotice - Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36 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 Trail2023-05-24T00:00:00-07:002023-05-24T00:00:00-07:002023-11031Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-24/pdf/2023-11031.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/24/2023-10988.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change by The Options Clearing Corporation Concerning Clearing Member Cybersecurity Obligations2023-05-24T00:00:00-07:002023-05-24T00:00:00-07:002023-10988Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-24/pdf/2023-10988.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10906.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 32023-05-23T00:00:00-07:002023-05-23T00:00:00-07:002023-10906Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-23/pdf/2023-10906.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10905.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2023-05-23T00:00:00-07:002023-05-23T00:00:00-07:002023-10905Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-23/pdf/2023-10905.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10904.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Equities Fee Schedule2023-05-23T00:00:00-07:002023-05-23T00:00:00-07:002023-10904Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-23/pdf/2023-10904.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/23/2023-10442.htmlRule - Technical Amendments to Form BD and Form BDW2023-05-23T00:00:00-07:002023-05-23T00:00:00-07:002023-10442Rulehttps://www.govinfo.gov/content/pkg/FR-2023-05-23/pdf/2023-10442.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/22/2023-10972.htmlNotice - Sunshine Act Meetings2023-05-22T00:00:00-07:002023-05-22T00:00:00-07:002023-10972Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-22/pdf/2023-10972.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/22/2023-10813.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-22T00:00:00-07:002023-05-22T00:00:00-07:002023-10813Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-22/pdf/2023-10813.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/22/2023-10812.htmlNotice - Public Company Accounting Oversight Board; Order Granting Approval of Proposed Amendments To Conform PCAOB Rule 6100 to the Consolidated Appropriations Act, 20232023-05-22T00:00:00-07:002023-05-22T00:00:00-07:002023-10812Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-22/pdf/2023-10812.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/19/2023-10782.htmlNotice - PGIM Investments LLC and PGIM Private Credit Fund2023-05-19T00:00:00-07:002023-05-19T00:00:00-07:002023-10782Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-19/pdf/2023-10782.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/19/2023-10781.htmlNotice - Extension: Rule 613 of Regulation NMS2023-05-19T00:00:00-07:002023-05-19T00:00:00-07:002023-10781Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-19/pdf/2023-10781.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/19/2023-10686.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of Proposed Rule Change To Permit the Listing and Trading of Options on the Nasdaq-100 ESG Index2023-05-19T00:00:00-07:002023-05-19T00:00:00-07:002023-10686Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-19/pdf/2023-10686.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/18/2023-10685.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2023-05-18T00:00:00-07:002023-05-18T00:00:00-07:002023-10685Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-18/pdf/2023-10685.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10474.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.250 To Remove Obsolete Text2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10474Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10474.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10473.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10473Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10473.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10472.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to British Pounds Sterling as Client-Related Margin2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10472Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10472.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10471.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Cboe Data Services, LLC Fee Schedule2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10471Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10471.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10470.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10470Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10470.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10469.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation To Amend and Enhance the Options Clearing Corporation's Model Risk Management Policy2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10469Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10469.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10468.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10468Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10468.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10467.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Relating to the Clearance of Additional Credit Default Swap Contracts2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10467Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10467.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10466.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10466Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10466.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10465.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10465Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10465.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/17/2023-10464.htmlNotice - Hartford Schroders Private Opportunities Fund, et al.2023-05-17T00:00:00-07:002023-05-17T00:00:00-07:002023-10464Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-17/pdf/2023-10464.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/16/2023-10366.htmlNotice - JPM Private Markets Fund, et al.2023-05-16T00:00:00-07:002023-05-16T00:00:00-07:002023-10366Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-16/pdf/2023-10366.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/16/2023-10359.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 22023-05-16T00:00:00-07:002023-05-16T00:00:00-07:002023-10359Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-16/pdf/2023-10359.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/16/2023-10358.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule at BX Options 7, Section 2 To Increase the Taker Fee for Customer Orders in SPY2023-05-16T00:00:00-07:002023-05-16T00:00:00-07:002023-10358Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-16/pdf/2023-10358.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10249.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 1182023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10249Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10249.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10248.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3(a)(1)2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10248Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10248.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10247.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 1182023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10247Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10247.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10246.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10246Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10246.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10244.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10244Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10244.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10243.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10243Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10243.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10318.htmlNotice - Sunshine Act Meetings2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10318Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10318.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/15/2023-10386.htmlNotice - Sunshine Act Meetings2023-05-15T00:00:00-07:002023-05-15T00:00:00-07:002023-10386Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-15/pdf/2023-10386.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10126.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10126Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10126.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10124.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.8 Regarding Certain Cancel-Replace Messages2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10124Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10124.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10123.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.32 Regarding Certain Cancel-Replace Messages2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10123Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10123.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10116.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 22d-12023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10116Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10116.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10134.htmlNotice - Calamos Aksia Alternative Credit and Income Fund, et al.2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10134Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10134.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10133.htmlNotice - Hennessy Funds Trust and Hennessy Advisors, Inc.2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10133Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10133.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10132.htmlNotice - SEI Alternative Income Fund, et al.2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10132Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10132.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10129.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10129Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10129.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10128.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.8 Regarding Certain Cancel-Replace Messages2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10128Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10128.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10127.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2622, Limit Up-Limit Down Plan and Trading Halts2023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10127Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10127.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10115.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17f-52023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10115Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10115.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10114.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 8c-12023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10114Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10114.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/12/2023-10113.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 22e-42023-05-12T00:00:00-07:002023-05-12T00:00:00-07:002023-10113Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-12/pdf/2023-10113.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-10031.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 7, Section 32023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-10031Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-10031.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-10030.htmlNotice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to NFA Compliance Rule 2-9(c) and the Interpretive Notice Entitled “NFA Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program”2023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-10030Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-10030.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-10029.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Granting Approval of Proposed Rule Change by the Options Clearing Corporation Concerning the Amendment of Its Clearing Membership Standards2023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-10029Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-10029.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-10028.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program2023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-10028Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-10028.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-10002.htmlNotice - Proposed Collection; Comment Request; Extension: Form N-PX2023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-10002Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-10002.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-10000.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 30e-12023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-10000Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-10000.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-09997.htmlNotice - Proposed Collection; Comment Request; Extension: Amendments to the National Market System Plan Governing the Consolidated Audit Trail2023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-09997Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-09997.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-09996.htmlNotice - Proposed Collection; Comment Request; Extension: Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies2023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-09996Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-09996.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-10037.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-10037Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-10037.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-10036.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-10036Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-10036.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/11/2023-10034.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program Until November 6, 20232023-05-11T00:00:00-07:002023-05-11T00:00:00-07:002023-10034Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-11/pdf/2023-10034.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/10/2023-09911.htmlNotice - Lafayette Square USA, Inc. et al.2023-05-10T00:00:00-07:002023-05-10T00:00:00-07:002023-09911Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-10/pdf/2023-09911.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/10/2023-09908.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Rule 7.44-E Relating to the Retail Liquidity Program2023-05-10T00:00:00-07:002023-05-10T00:00:00-07:002023-09908Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-10/pdf/2023-09908.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/10/2023-09907.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-10T00:00:00-07:002023-05-10T00:00:00-07:002023-09907Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-10/pdf/2023-09907.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/10/2023-09906.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-10T00:00:00-07:002023-05-10T00:00:00-07:002023-09906Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-10/pdf/2023-09906.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/10/2023-09905.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-10T00:00:00-07:002023-05-10T00:00:00-07:002023-09905Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-10/pdf/2023-09905.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/10/2023-09904.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the BZX Equities Fee Schedule To Add and Modify Certain Step-Up Tiers, Add a Non-Displayed Step-Up Tier and Modify Certain Fee Codes2023-05-10T00:00:00-07:002023-05-10T00:00:00-07:002023-09904Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-10/pdf/2023-09904.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/10/2023-09903.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Rules2023-05-10T00:00:00-07:002023-05-10T00:00:00-07:002023-09903Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-10/pdf/2023-09903.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/10/2023-09902.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-10T00:00:00-07:002023-05-10T00:00:00-07:002023-09902Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-10/pdf/2023-09902.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/10/2023-09901.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule2023-05-10T00:00:00-07:002023-05-10T00:00:00-07:002023-09901Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-10/pdf/2023-09901.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/09/2023-09756.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 42023-05-09T00:00:00-07:002023-05-09T00:00:00-07:002023-09756Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-09/pdf/2023-09756.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/08/2023-09852.htmlNotice - Sunshine Act Meetings2023-05-08T00:00:00-07:002023-05-08T00:00:00-07:002023-09852Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-08/pdf/2023-09852.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/08/2023-09686.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-27 To Further Extend the Current Regulatory Relief for Remote Office Inspections Through June 30, 2024 and Amend MSRB Rule G-16 To Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities2023-05-08T00:00:00-07:002023-05-08T00:00:00-07:002023-09686Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-08/pdf/2023-09686.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/08/2023-09685.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees2023-05-08T00:00:00-07:002023-05-08T00:00:00-07:002023-09685Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-08/pdf/2023-09685.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/08/2023-09684.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits2023-05-08T00:00:00-07:002023-05-08T00:00:00-07:002023-09684Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-08/pdf/2023-09684.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/08/2023-09683.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Modify Certain Connectivity and Port Fees2023-05-08T00:00:00-07:002023-05-08T00:00:00-07:002023-09683Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-08/pdf/2023-09683.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/08/2023-09681.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees2023-05-08T00:00:00-07:002023-05-08T00:00:00-07:002023-09681Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-08/pdf/2023-09681.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/08/2023-09680.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish a Monthly Dividend Strategy Fee Cap for Dividend Strategy Qualified Open Outcry Orders2023-05-08T00:00:00-07:002023-05-08T00:00:00-07:002023-09680Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-08/pdf/2023-09680.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/08/2023-09679.htmlNotice - 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 Modify Certain Connectivity and Port Fees2023-05-08T00:00:00-07:002023-05-08T00:00:00-07:002023-09679Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-08/pdf/2023-09679.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/08/2023-09678.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 Regarding Qualified Contingent Cross Growth Tier Rebate2023-05-08T00:00:00-07:002023-05-08T00:00:00-07:002023-09678Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-08/pdf/2023-09678.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/08/2023-09674.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form ADV-H2023-05-08T00:00:00-07:002023-05-08T00:00:00-07:002023-09674Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-08/pdf/2023-09674.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/05/2023-08544.htmlProposed Rule - Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”2023-05-05T00:00:00-07:002023-05-05T00:00:00-07:002023-08544Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-05-05/pdf/2023-08544.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/04/2023-09447.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Cboe Options Rule 3.342023-05-04T00:00:00-07:002023-05-04T00:00:00-07:002023-09447Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-04/pdf/2023-09447.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/04/2023-09446.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 1015, 9261, 9341, 9524, 9830 and Funding Portal Rule 900 (Code of Procedure) To Permit Hearings Under Those Rules To Be Conducted by Video Conference2023-05-04T00:00:00-07:002023-05-04T00:00:00-07:002023-09446Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-04/pdf/2023-09446.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/04/2023-09445.htmlNotice - Order Granting Application by Long-Term Stock Exchange, Inc. for an Exemption, Pursuant to Section 36(a) of the Exchange Act, From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference2023-05-04T00:00:00-07:002023-05-04T00:00:00-07:002023-09445Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-04/pdf/2023-09445.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/04/2023-09444.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)2023-05-04T00:00:00-07:002023-05-04T00:00:00-07:002023-09444Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-04/pdf/2023-09444.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/04/2023-09454.htmlProposed Rule - Reopening of Comment Period for Modernization of Beneficial Ownership Reporting2023-05-04T00:00:00-07:002023-05-04T00:00:00-07:002023-09454Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-05-04/pdf/2023-09454.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/04/2023-09448.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the EDGX Equities Fee Schedule To Eliminate and Modify Certain Growth Tiers and Non-Displayed Step-Up Volume Tiers, Modify a Retail Growth Tier, Introduce New Fee Code DX and Modify Fee Code DQ2023-05-04T00:00:00-07:002023-05-04T00:00:00-07:002023-09448Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-04/pdf/2023-09448.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/03/2023-09335.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-03T00:00:00-07:002023-05-03T00:00:00-07:002023-09335Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-03/pdf/2023-09335.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/03/2023-09334.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-03T00:00:00-07:002023-05-03T00:00:00-07:002023-09334Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-03/pdf/2023-09334.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/03/2023-09333.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on Proposed New Rule 980NYP and Conforming Amendments to Rule 935NY2023-05-03T00:00:00-07:002023-05-03T00:00:00-07:002023-09333Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-03/pdf/2023-09333.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/03/2023-09402.htmlNotice - Deregistration Under Section 8(f) of the Investment Company Act of 19402023-05-03T00:00:00-07:002023-05-03T00:00:00-07:002023-09402Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-03/pdf/2023-09402.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/02/2023-09201.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 6112023-05-02T00:00:00-07:002023-05-02T00:00:00-07:002023-09201Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-02/pdf/2023-09201.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/02/2023-09211.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-05-02T00:00:00-07:002023-05-02T00:00:00-07:002023-09211Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-02/pdf/2023-09211.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/02/2023-09210.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Certain Pilot Programs2023-05-02T00:00:00-07:002023-05-02T00:00:00-07:002023-09210Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-02/pdf/2023-09210.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/02/2023-09209.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Certain Pilot Programs2023-05-02T00:00:00-07:002023-05-02T00:00:00-07:002023-09209Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-02/pdf/2023-09209.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/02/2023-09208.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Credits at Equity 7, Section 32023-05-02T00:00:00-07:002023-05-02T00:00:00-07:002023-09208Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-02/pdf/2023-09208.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/02/2023-09207.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Futures and Options Default Management Policy2023-05-02T00:00:00-07:002023-05-02T00:00:00-07:002023-09207Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-02/pdf/2023-09207.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/02/2023-09205.htmlNotice - Total Fund Solution and Cromwell Investment Advisors, LLC2023-05-02T00:00:00-07:002023-05-02T00:00:00-07:002023-09205Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-02/pdf/2023-09205.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/01/2023-09266.htmlNotice - Sunshine Act Meetings2023-05-01T00:00:00-07:002023-05-01T00:00:00-07:002023-09266Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-01/pdf/2023-09266.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/01/2023-09080.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change To Amend Rule 915 (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs2023-05-01T00:00:00-07:002023-05-01T00:00:00-07:002023-09080Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-01/pdf/2023-09080.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/01/2023-09079.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Make the Nonstandard Expirations Pilot Program Permanent2023-05-01T00:00:00-07:002023-05-01T00:00:00-07:002023-09079Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-01/pdf/2023-09079.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/01/2023-09078.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Representations Relating to the Hennessy Stance ESG Large Cap ETF2023-05-01T00:00:00-07:002023-05-01T00:00:00-07:002023-09078Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-01/pdf/2023-09078.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/01/2023-09077.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Veridien Climate Action ETF Under Rule 8.900-E (Managed Portfolio Shares)2023-05-01T00:00:00-07:002023-05-01T00:00:00-07:002023-09077Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-01/pdf/2023-09077.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/01/2023-09086.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule2023-05-01T00:00:00-07:002023-05-01T00:00:00-07:002023-09086Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-01/pdf/2023-09086.pdfhttps://regulations.justia.com/regulations/fedreg/2023/05/01/2023-09085.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE ARCA Options Fee Schedule2023-05-01T00:00:00-07:002023-05-01T00:00:00-07:002023-09085Noticehttps://www.govinfo.gov/content/pkg/FR-2023-05-01/pdf/2023-09085.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08993.htmlNotice - Silver Point Specialty Lending Fund, et al.2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08993Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08993.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08987.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Make Permanent the Operation of its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08987Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08987.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08986.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; 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 Make Permanent the Operation of the Program That Allows the Exchange to List P.M.-Settled Third Friday-of-the-Month S&P 500 Stock Index (“S&P 500”) Options (“SPX”) Series2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08986Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08986.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08985.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Make Permanent the Operation of Its Program (“Pilot Program”) That Allows the Exchange To List P.M.-Settled Third Friday-of-the-Month Mini-SPX Index (“XSP”) Options and Mini-Russell 2000 Index (“MRUT”) Options Series2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08985Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08985.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08984.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08984Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08984.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08983.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Rules To Require Companies Listed on the Exchange To Develop, Implement, and Disclose a Written Compensation Recovery Policy To Comply With Rule 10D-1 Under the Exchange Act and Make Other Related Changes2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08983Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08983.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08982.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt New NYSE Chicago Rule 29 To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08982Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08982.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08981.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt New NYSE Arca Rule 5.3-E(p) To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08981Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08981.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08980.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt New Section 811 of NYSE American Company Guide To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08980Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08980.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08979.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule at Options 72023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08979Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08979.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08978.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Reporting Requirements for Exchange of Contract for Related Position Transactions and Block Trades2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08978Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08978.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08977.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt New Section 303A.14 of the NYSE Listed Company Manual To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08977Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08977.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-08976.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Establish Listing Standards Related to Recovery of Erroneously Awarded Executive Compensation2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-08976Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-08976.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/28/2023-09162.htmlNotice - Sunshine Act Meetings2023-04-28T00:00:00-07:002023-04-28T00:00:00-07:002023-09162Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-28/pdf/2023-09162.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/27/2023-08829.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Relating to the Clearance of Additional Credit Default Swap Contracts2023-04-27T00:00:00-07:002023-04-27T00:00:00-07:002023-08829Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-27/pdf/2023-08829.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/27/2023-08828.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Term That Newly and Currently Listed Companies May Receive Capital Markets Solutions on a Complimentary Basis Under LTSE Rule 14.6022023-04-27T00:00:00-07:002023-04-27T00:00:00-07:002023-08828Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-27/pdf/2023-08828.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/27/2023-08827.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Proposed Rule Change To Revise the Description of the Stressed Period Used To Calculate the Value-at-Risk Charge and Make Other Changes2023-04-27T00:00:00-07:002023-04-27T00:00:00-07:002023-08827Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-27/pdf/2023-08827.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/27/2023-08879.htmlNotice - Submission for OMB Review; Comment Request; Extension: Form N-32023-04-27T00:00:00-07:002023-04-27T00:00:00-07:002023-08879Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-27/pdf/2023-08879.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/26/2023-08754.htmlNotice - Two Roads Shared Trust and Hypatia Capital Management LLC2023-04-26T00:00:00-07:002023-04-26T00:00:00-07:002023-08754Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-26/pdf/2023-08754.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/26/2023-08753.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Non-Displayed Discretionary Limit Orders To Be Submitted With a Minimum Quantity Instruction2023-04-26T00:00:00-07:002023-04-26T00:00:00-07:002023-08753Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-26/pdf/2023-08753.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/25/2023-08653.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product2023-04-25T00:00:00-07:002023-04-25T00:00:00-07:002023-08653Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-25/pdf/2023-08653.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/25/2023-08652.htmlNotice - Hamilton Lane Private Assets Fund, et al.2023-04-25T00:00:00-07:002023-04-25T00:00:00-07:002023-08652Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-25/pdf/2023-08652.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/25/2023-08649.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product2023-04-25T00:00:00-07:002023-04-25T00:00:00-07:002023-08649Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-25/pdf/2023-08649.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/25/2023-08648.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 4822023-04-25T00:00:00-07:002023-04-25T00:00:00-07:002023-08648Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-25/pdf/2023-08648.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/24/2023-08523.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-04-24T00:00:00-07:002023-04-24T00:00:00-07:002023-08523Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-24/pdf/2023-08523.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/24/2023-08706.htmlNotice - Sunshine Act Meetings2023-04-24T00:00:00-07:002023-04-24T00:00:00-07:002023-08706Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-24/pdf/2023-08706.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08426.htmlNotice - Proposed Collection; Comment Request; Extension: Regulation 14N and Schedule 14N2023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08426Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08426.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08425.htmlNotice - Proposed Collection; Comment Request; Extension: Form 144-Notice of Proposed Sale of Securities Pursuant to Rule 144 Under the Securities Act of 19332023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08425Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08425.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08424.htmlNotice - Proposed Collection; Comment Request; Extension: Form 5-Annual Statement of Beneficial Ownership2023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08424Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08424.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08423.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 1032023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08423Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08423.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08422.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 1012023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08422Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08422.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08421.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17a-22023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08421Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08421.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08420.htmlNotice - Submission for OMB Review; Comment Request: Extension: Rule 151-12023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08420Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08420.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08419.htmlNotice - Submission for OMB Review; Comment Request: Extension; “Ombudsman Matter Management System Submission Form”2023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08419Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08419.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08495.htmlNotice - Proposed Collection; Comment Request; Extension: Schedule TO2023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08495Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08495.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/21/2023-08410.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to Clearance of Additional Credit Default Swap Contracts2023-04-21T00:00:00-07:002023-04-21T00:00:00-07:002023-08410Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-21/pdf/2023-08410.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/20/2023-08308.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments of ICE Futures Europe (“IFEU”) Oil Futures Contracts2023-04-20T00:00:00-07:002023-04-20T00:00:00-07:002023-08308Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-20/pdf/2023-08308.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/20/2023-08307.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses2023-04-20T00:00:00-07:002023-04-20T00:00:00-07:002023-08307Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-20/pdf/2023-08307.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/20/2023-08306.htmlNotice - Investment Managers Series Trust II and Embassy Asset Management, LP2023-04-20T00:00:00-07:002023-04-20T00:00:00-07:002023-08306Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-20/pdf/2023-08306.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/20/2023-08216.htmlRule - Adoption of Updated EDGAR Filer Manual2023-04-20T00:00:00-07:002023-04-20T00:00:00-07:002023-08216Rulehttps://www.govinfo.gov/content/pkg/FR-2023-04-20/pdf/2023-08216.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08226.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain Standard Rates in the NYSE American Equities Price List and Fee Schedule2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08226Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08226.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08225.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08225Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08225.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08224.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08224Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08224.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08223.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08223Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08223.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08222.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the US Equity Short Volume & Trades Report2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08222Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08222.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08221.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known As the US Equity Short Volume & Trades Report2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08221Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08221.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08220.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08220Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08220.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08147.htmlNotice - 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 Amendments Nos. 1 and 2, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08147Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08147.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08219.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the US Equity Short Volume & Trades Report2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08219Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08219.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08218.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the US Equity Short Volume & Trades Report2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08218Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08218.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/19/2023-08217.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 900.2NY and To Adopt New Rules 964NYP, 964.1NYP, and 964.2NYP2023-04-19T00:00:00-07:002023-04-19T00:00:00-07:002023-08217Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-19/pdf/2023-08217.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-06330.htmlProposed Rule - Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-06330Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-06330.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08146.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08146Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08146.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08145.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Codes of Arbitration Procedure To Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08145Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08145.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08144.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Credits at Equity 7, Section 1182023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08144Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08144.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08143.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08143Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08143.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08142.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08142Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08142.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/18/2023-08141.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2023-04-18T00:00:00-07:002023-04-18T00:00:00-07:002023-08141Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-18/pdf/2023-08141.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/17/2023-07963.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Clearing Agency Securities Valuation Framework2023-04-17T00:00:00-07:002023-04-17T00:00:00-07:002023-07963Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-17/pdf/2023-07963.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/17/2023-07962.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Clearing Agency Securities Valuation Framework2023-04-17T00:00:00-07:002023-04-17T00:00:00-07:002023-07962Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-17/pdf/2023-07962.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/17/2023-07961.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Clearing Agency Securities Valuation Framework2023-04-17T00:00:00-07:002023-04-17T00:00:00-07:002023-07961Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-17/pdf/2023-07961.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/17/2023-08187.htmlNotice - Sunshine Act Meetings2023-04-17T00:00:00-07:002023-04-17T00:00:00-07:002023-08187Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-17/pdf/2023-08187.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/14/2023-05775.htmlProposed Rule - Regulation Systems Compliance and Integrity2023-04-14T00:00:00-07:002023-04-14T00:00:00-07:002023-05775Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2023-04-14/pdf/2023-05775.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/14/2023-07875.htmlNotice - DoubleLine ETF Trust, et al.2023-04-14T00:00:00-07:002023-04-14T00:00:00-07:002023-07875Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-14/pdf/2023-07875.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07736.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07736Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07736.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07735.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Rule Governing the Listing and Trading of Shares of the Gabelli Equity Income ETF2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07735Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07735.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07734.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish a New Qualified Contingent Cross (“QCC”) Growth Rebate2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07734Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07734.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07733.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market 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 Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Periods2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07733Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07733.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07732.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning Order-to-Trade Ratio Fees for Market Makers2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07732Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07732.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07731.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Permanent Certain P.M.-Settled Pilots2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07731Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07731.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/13/2023-07730.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Permanent Certain P.M.-Settled Pilots2023-04-13T00:00:00-07:002023-04-13T00:00:00-07:002023-07730Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-13/pdf/2023-07730.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/12/2023-07612.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rules G-12 and G-15 To Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day After the Trade Date and To Amend Rule G-12 To Update an Outdated Cross Reference2023-04-12T00:00:00-07:002023-04-12T00:00:00-07:002023-07612Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-12/pdf/2023-07612.pdfhttps://regulations.justia.com/regulations/fedreg/2023/04/12/2023-07626.htmlNotice - MBC Total Private Markets Access Fund and Seneca Management, LLC2023-04-12T00:00:00-07:002023-04-12T00:00:00-07:002023-07626Noticehttps://www.govinfo.gov/content/pkg/FR-2023-04-12/pdf/2023-07626.pdf