Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 501 - 550 of 40,017
Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendments Nos. 2 and 3, 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 Activity
Document Number: 2025-06041
Type: Notice
Date: 2025-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/09/2025-06041.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Document Number: 2025-06034
Type: Notice
Date: 2025-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/09/2025-06034.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Fidelity Solana Fund, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Document Number: 2025-06033
Type: Notice
Date: 2025-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/09/2025-06033.html
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Texas, Inc.
Document Number: 2025-05965
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05965.html
Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change To Accommodate the Use of Multiple Clearing Houses
Document Number: 2025-05964
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05964.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.03 of the NYSE Listed Company Manual To Specify That During Its First Five Years of Listing a Class of Common Equity on the Exchange an Issuer Will Only Be Subject to Initial and Annual Listing Fees for Its Primary Class of Equity Securities
Document Number: 2025-05963
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05963.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning a Change in the Maximum Contingent Operational Loss Fee Listed in OCC's Schedule of Fees in Accordance With OCC's Capital Management Policy
Document Number: 2025-05962
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05962.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List P.M.-Settled Series of Options on the S&P 500 Equal Weight Index
Document Number: 2025-05961
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05961.html
FS Credit Opportunities Corp., et al.
Document Number: 2025-06015
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-06015.html
Proposed Collection; Comment Request; Extension: Form F-80-Canadian Securities
Document Number: 2025-05990
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05990.html
Proposed Collection; Comment Request; Extension: Form 18-Registration Form
Document Number: 2025-05989
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05989.html
Sunshine Act Meetings
Document Number: 2025-06056
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-06056.html
Submission for OMB Review; Comment Request; Extension: Rule 0-2, Form ADV-NR
Document Number: 2025-05988
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05988.html
Submission for OMB Review; Comment Request; Extension: Rule 204A-1
Document Number: 2025-05987
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05987.html
Submission for OMB Review; Comment Request; Extension: Rule 12b-1
Document Number: 2025-05986
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05986.html
Submission for OMB Review; Comment Request; Extension: Regulation FD-Other Disclosure Materials
Document Number: 2025-05985
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05985.html
Submission for OMB Review; Comment Request; Revision: Rule 482
Document Number: 2025-05984
Type: Notice
Date: 2025-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/08/2025-05984.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Recovery and Wind-Down Plan
Document Number: 2025-05896
Type: Notice
Date: 2025-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/07/2025-05896.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Recovery and Wind-Down Plan
Document Number: 2025-05895
Type: Notice
Date: 2025-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/07/2025-05895.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Bitwise Ethereum ETF To Permit Staking of the Ether Held by the Trust
Document Number: 2025-05894
Type: Notice
Date: 2025-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/07/2025-05894.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Recovery and Wind-Down Plan
Document Number: 2025-05893
Type: Notice
Date: 2025-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/07/2025-05893.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .03 to Rule 7.19
Document Number: 2025-05892
Type: Notice
Date: 2025-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/07/2025-05892.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2025-05784
Type: Notice
Date: 2025-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/04/2025-05784.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2025-05783
Type: Notice
Date: 2025-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/04/2025-05783.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2025-05782
Type: Notice
Date: 2025-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/04/2025-05782.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2025-05780
Type: Notice
Date: 2025-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/04/2025-05780.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Document Number: 2025-05779
Type: Notice
Date: 2025-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/04/2025-05779.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend Rules 4.3, 4.20, and 8.30, To Allow the Exchange To List and Trade Options on the VanEck Bitcoin Trust
Document Number: 2025-05699
Type: Notice
Date: 2025-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/03/2025-05699.html
Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2025-05710
Type: Notice
Date: 2025-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On October 17, 2024 and November 19, 2024, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of approximately $129,000 incurred in connection with the reorganization were paid by the applicant's administrator/sponsor, Alight Solutions, LLC. Applicant also has retained approximately $75,000 for the purpose of paying outstanding liabilities. Filing Dates: The application was filed on December 20, 2024 and amended on March 26, 2025. Applicant's Address: 320 South Canal Street, 50th FloorSuite 5000, Chicago, Illinois 60606.
https://regulations.justia.com/regulations/fedreg/2025/04/03/2025-05710.html
RJ Private Credit Income Fund, Raymond James Investment Management and Carillon Fund Distributors, Inc.
Document Number: 2025-05709
Type: Notice
Date: 2025-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/03/2025-05709.html
Blue Owl Alternative Credit Fund and Blue Owl Alternative Credit Advisors II LLC
Document Number: 2025-05707
Type: Notice
Date: 2025-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/03/2025-05707.html
Sunshine Act Meetings
Document Number: 2025-05856
Type: Notice
Date: 2025-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/03/2025-05856.html
Sunshine Act Meetings
Document Number: 2025-05855
Type: Notice
Date: 2025-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/03/2025-05855.html
Sunshine Act Meetings
Document Number: 2025-05851
Type: Notice
Date: 2025-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/03/2025-05851.html
Sunshine Act Meetings
Document Number: 2025-05850
Type: Notice
Date: 2025-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/03/2025-05850.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Osprey Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Document Number: 2025-05589
Type: Notice
Date: 2025-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/02/2025-05589.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Options 7, Section 4
Document Number: 2025-05588
Type: Notice
Date: 2025-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/02/2025-05588.html
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Adopt Certain Market Data Fees
Document Number: 2025-05587
Type: Notice
Date: 2025-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/02/2025-05587.html
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Exchange To List Options on Certain ETFs That Hold Precious Metals (Including Gold, Silver, Palladium, and Platinum)
Document Number: 2025-05586
Type: Notice
Date: 2025-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/02/2025-05586.html
Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Document Number: 2025-05660
Type: Notice
Date: 2025-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/02/2025-05660.html
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Adopt Certain Connectivity Fees
Document Number: 2025-05521
Type: Notice
Date: 2025-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/01/2025-05521.html
LAGO Evergreen Credit, et al.
Document Number: 2025-05518
Type: Notice
Date: 2025-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/01/2025-05518.html
Coatue Innovation Fund, et al.
Document Number: 2025-05517
Type: Notice
Date: 2025-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/04/01/2025-05517.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify Logical Port Fees
Document Number: 2025-05454
Type: Notice
Date: 2025-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/03/31/2025-05454.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Monthly Fee for 10 Gb Physical Ports
Document Number: 2025-05453
Type: Notice
Date: 2025-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/03/31/2025-05453.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 11.25(e) To Allow Users To Utilize the Exchange's Match Trade Prevention Functionality When Entering Periodic Auction Orders Onto the Exchange for Execution
Document Number: 2025-05452
Type: Notice
Date: 2025-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/03/31/2025-05452.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Monthly Fee for 10 Gb Physical Ports
Document Number: 2025-05451
Type: Notice
Date: 2025-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/03/31/2025-05451.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Monthly Fee for 10 Gb Physical Ports
Document Number: 2025-05450
Type: Notice
Date: 2025-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/03/31/2025-05450.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the Cboe Legacy Silexx Platform Versions
Document Number: 2025-05449
Type: Notice
Date: 2025-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/03/31/2025-05449.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Exempt Certain Business Development Companies From FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)
Document Number: 2025-05448
Type: Notice
Date: 2025-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2025/03/31/2025-05448.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.