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=atom2024-11-21T02:11:47-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27119.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 301 of Regulation ATS2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27119Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27119.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27118.htmlNotice - Submission for OMB Review; Comment Request; Reinstatement With Change: Rule 12f-12024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27118Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27118.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27117.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17f-62024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27117Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27117.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27024.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend NYSE American Rule 7.13E To Remove References to the Chair of the Board2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27024Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27024.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27023.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE Aggregated Lite Data Feed2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27023Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27023.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27022.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Chicago Rule 7.13 To Remove References to the Chair of the Board2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27022Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27022.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27021.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Section 1003 of the NYSE American LLC Company Guide To Provide the Exchange With Discretion To Commence Suspension and Delisting Proceedings With Respect to a Listed Company That Has Changed Its Primary Business Focus2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27021Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27021.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27020.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 7.13-E To Remove References to the Chair of the Board2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27020Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27020.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27019.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Equity 4 To Establish Halt Cross Price Protections and Make Other Related Changes2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27019Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27019.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27017.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Establish Fees for the NYSE American Aggregated Lite Data Feed2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27017Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27017.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27016.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Proprietary Market Data Fee Schedule To Establish an Access Fee for the NYSE Pillar Depth Data Feed2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27016Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27016.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27015.htmlNotice - Precidian ETF Trust II, et al.2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27015Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27015.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27014.htmlNotice - Diamond Hill Securitized Credit Fund and Diamond Hill Capital Management, Inc.2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27014Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27014.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27013.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Options on Ethereum Exchange-Traded Funds2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27013Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27013.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/20/2024-27012.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change by The Options Clearing Corporation Concerning Modifications to Its By-Laws and Rules Primarily To Discontinue Certain Outmoded or Unused Products and Services2024-11-20T00:00:00-08:002024-11-20T00:00:00-08:002024-27012Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-20/pdf/2024-27012.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/19/2024-26959.htmlNotice - Options Price Reporting Authority; Order Disapproving a Proposed Amendment To Modify the OPRA Plan Relating to Dissemination of Exchange Proprietary Market Data Information2024-11-19T00:00:00-08:002024-11-19T00:00:00-08:002024-26959Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-19/pdf/2024-26959.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/19/2024-26871.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 13, Position Limits, and Options 9, Section 15, Exercise Limits, Regarding Options on the iShares Bitcoin Trust ETF2024-11-19T00:00:00-08:002024-11-19T00:00:00-08:002024-26871Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-19/pdf/2024-26871.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/19/2024-26870.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 Schedule2024-11-19T00:00:00-08:002024-11-19T00:00:00-08:002024-26870Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-19/pdf/2024-26870.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/19/2024-26869.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Operational Risk Management Framework2024-11-19T00:00:00-08:002024-11-19T00:00:00-08:002024-26869Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-19/pdf/2024-26869.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/19/2024-26868.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Offering of Market Data Reports2024-11-19T00:00:00-08:002024-11-19T00:00:00-08:002024-26868Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-19/pdf/2024-26868.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/19/2024-26867.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Offering of Market Data Reports2024-11-19T00:00:00-08:002024-11-19T00:00:00-08:002024-26867Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-19/pdf/2024-26867.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/19/2024-26866.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 13, Position Limits, and Options 8, Section 34, FLEX Trading, Regarding Options on the iShares Bitcoin Trust ETF2024-11-19T00:00:00-08:002024-11-19T00:00:00-08:002024-26866Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-19/pdf/2024-26866.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/19/2024-26524.htmlRule - Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews2024-11-19T00:00:00-08:002024-11-19T00:00:00-08:002024-26524Rulehttps://www.govinfo.gov/content/pkg/FR-2024-11-19/pdf/2024-26524.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/19/2024-26873.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 Schedule2024-11-19T00:00:00-08:002024-11-19T00:00:00-08:002024-26873Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-19/pdf/2024-26873.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/19/2024-26872.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 13, Position Limits, and Options 9, Section 15, Exercise Limits, Regarding Options on the iShares Bitcoin Trust ETF2024-11-19T00:00:00-08:002024-11-19T00:00:00-08:002024-26872Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-19/pdf/2024-26872.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26929.htmlNotice - Sunshine Act Meetings2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26929Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26929.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26761.htmlNotice - Redwood Real Estate Income Fund and Redwood Investment Management, LLC2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26761Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26761.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26760.htmlNotice - Destra Multi-Alternative Fund and Destra Capital Advisors LLC2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26760Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26760.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26746.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Service for Virtual Control Circuits in the Connectivity Fee Schedule2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26746Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26746.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26745.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Service for Virtual Control Circuits in the Connectivity Fee Schedule2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26745Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26745.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26744.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Service for Virtual Control Circuits in the Connectivity Fee Schedule2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26744Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26744.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26755.htmlNotice - Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Sapphire LLC To Extend the Sunset Provision Relating to the Options Regulatory Fee (ORF)2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26755Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26755.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26754.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule to Extend the Sunset Provision Related to the Options Regulatory Fee (ORF)2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26754Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26754.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26753.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Permit the Generic Listing and Trading of Multi-Class ETF Shares2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26753Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26753.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26752.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 Schedule2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26752Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26752.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26751.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt Certain Market Data Fees2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26751Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26751.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26750.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Offering of Market Data Reports2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26750Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26750.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26749.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Service for Virtual Control Circuits in the Connectivity Fee Schedule2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26749Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26749.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26748.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Offering of Market Data Reports2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26748Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26748.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26747.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Service for Virtual Control Circuits in the Connectivity Fee Schedule2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26747Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26747.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-26387.htmlRule - Conforming Amendments to Commission Rules and Forms2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-26387Rulehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-26387.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/18/2024-25570.htmlRule - Covered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plans2024-11-18T00:00:00-08:002024-11-18T00:00:00-08:002024-25570Rulehttps://www.govinfo.gov/content/pkg/FR-2024-11-18/pdf/2024-25570.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/14/2024-26416.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Equities Transaction Pricing2024-11-14T00:00:00-08:002024-11-14T00:00:00-08:002024-26416Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-14/pdf/2024-26416.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/14/2024-26415.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 To Allow For the Interval Between Strike Prices of Series of Options on Shares of the SPDR Gold Shares to be $1 or Greater and To Expand the Short Term Option Series Program To Permit the Listing of Two Monday Expirations for Options on Shares of the SPDR Gold Shares, iShares Silver Trust, and iShares 20+ Year Treasury Bond ETF2024-11-14T00:00:00-08:002024-11-14T00:00:00-08:002024-26415Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-14/pdf/2024-26415.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/14/2024-26414.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Add a New Member Program2024-11-14T00:00:00-08:002024-11-14T00:00:00-08:002024-26414Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-14/pdf/2024-26414.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/14/2024-26413.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, by the Options Clearing Corporation To Establish a Margin Add-On Charge That Would Be Applied to All Clearing Member Accounts To Help Mitigate the Risks Arising From Intraday and Overnight Trading Activity2024-11-14T00:00:00-08:002024-11-14T00:00:00-08:002024-26413Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-14/pdf/2024-26413.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/14/2024-26412.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach to the Options Regulatory Fee (ORF) in 20252024-11-14T00:00:00-08:002024-11-14T00:00:00-08:002024-26412Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-14/pdf/2024-26412.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/14/2024-26411.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach to the Options Regulatory Fee (ORF) in 20252024-11-14T00:00:00-08:002024-11-14T00:00:00-08:002024-26411Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-14/pdf/2024-26411.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/14/2024-26410.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach to the Options Regulatory Fee (ORF) in 20252024-11-14T00:00:00-08:002024-11-14T00:00:00-08:002024-26410Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-14/pdf/2024-26410.pdfhttps://regulations.justia.com/regulations/fedreg/2024/11/14/2024-26409.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower the Current Options Regulatory Fee (ORF) and Adopt a New Approach to ORF in 20252024-11-14T00:00:00-08:002024-11-14T00:00:00-08:002024-26409Noticehttps://www.govinfo.gov/content/pkg/FR-2024-11-14/pdf/2024-26409.pdf