Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Document Number: 2024-10435
Type: Notice
Date: 2024-05-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/14/2024-10435.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 5.33, Complex Orders
Document Number: 2024-10432
Type: Notice
Date: 2024-05-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/14/2024-10432.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Enhancements to Its DMM Program
Document Number: 2024-10431
Type: Notice
Date: 2024-05-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/14/2024-10431.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Document Number: 2024-10430
Type: Notice
Date: 2024-05-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/14/2024-10430.html
Self-Regulatory Organizations; Depository Trust Company; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Document Number: 2024-10429
Type: Notice
Date: 2024-05-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/14/2024-10429.html
Monachil Credit Income Fund, et al.
Document Number: 2024-10422
Type: Notice
Date: 2024-05-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/14/2024-10422.html
Sunshine Act Meetings
Document Number: 2024-10546
Type: Notice
Date: 2024-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/13/2024-10546.html
Goldman Sachs Private Credit Corp. and Goldman Sachs Asset Management, L.P.
Document Number: 2024-10286
Type: Notice
Date: 2024-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/13/2024-10286.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the Grayscale Ethereum Futures Trust (ETH) ETF Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)
Document Number: 2024-10282
Type: Notice
Date: 2024-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/13/2024-10282.html
Submission for OMB Review; Comment Request; Extension: Rules 17Ad-6 and 17Ad-7
Document Number: 2024-10206
Type: Notice
Date: 2024-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/10/2024-10206.html
Submission for OMB Review; Comment Request; Extension: Rule 18a-8
Document Number: 2024-10205
Type: Notice
Date: 2024-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/10/2024-10205.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1240.01 To Reopen the Period by Which Certain Participants in the Maintaining Qualifications Program May Complete Their Prescribed Continuing Education Content
Document Number: 2024-10196
Type: Notice
Date: 2024-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/10/2024-10196.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Invesco Galaxy Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Document Number: 2024-10191
Type: Notice
Date: 2024-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/10/2024-10191.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Connectivity Offering Through Dedicated Cores
Document Number: 2024-10190
Type: Notice
Date: 2024-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/10/2024-10190.html
Sunshine Act Meetings
Document Number: 2024-10355
Type: Notice
Date: 2024-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/10/2024-10355.html
Proposed Collection; Comment Request; Extension: Form N-6
Document Number: 2024-10252
Type: Notice
Date: 2024-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/10/2024-10252.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Trade Now Order Attribute, at Equity 4, Rule 3301B and Rule 3301A
Document Number: 2024-10082
Type: Notice
Date: 2024-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/09/2024-10082.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule at Equity 7, Section 3 To Implement a Market Data Revenue Rebate Program
Document Number: 2024-10081
Type: Notice
Date: 2024-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/09/2024-10081.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Trade Now Order Attribute at Equity 4, Rule 4702 and Make Conforming Changes to Rule 4703
Document Number: 2024-10080
Type: Notice
Date: 2024-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/09/2024-10080.html
Proposed Collection; Comment Request; Extension: Rule 38a-1
Document Number: 2024-09964
Type: Notice
Date: 2024-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/08/2024-09964.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) To Permit the Use of the Post Only Order Instruction at Prices Below $1.00
Document Number: 2024-10004
Type: Notice
Date: 2024-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/08/2024-10004.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) To Permit the Use of the Post Only Order Instruction at Prices Below $1.00
Document Number: 2024-10003
Type: Notice
Date: 2024-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/08/2024-10003.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the 7RCC Spot Bitcoin and Carbon Credit Futures ETF Under NYSE Arca Rule 8.500-E (Trust Units)
Document Number: 2024-10002
Type: Notice
Date: 2024-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/08/2024-10002.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Accommodate a Shorter Standard Settlement Cycle and Make Other Changes
Document Number: 2024-10001
Type: Notice
Date: 2024-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/08/2024-10001.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Rule 10.16
Document Number: 2024-10000
Type: Notice
Date: 2024-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/08/2024-10000.html
Crescent Capital BDC, Inc., et al.
Document Number: 2024-09995
Type: Notice
Date: 2024-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/08/2024-09995.html
F&W Investments LP and Fenwick & West LLP
Document Number: 2024-09994
Type: Notice
Date: 2024-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/08/2024-09994.html
Polen Credit Opportunities Fund, et al.
Document Number: 2024-09993
Type: Notice
Date: 2024-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/08/2024-09993.html
Proposed Collection; Comment Request; Extension: Rule 17g-5
Document Number: 2024-09850
Type: Notice
Date: 2024-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/07/2024-09850.html
Proposed Collection; Comment Request; Extension: Rules 17g-8 and 17g-9
Document Number: 2024-09849
Type: Notice
Date: 2024-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/07/2024-09849.html
Proposed Collection; Comment Request; Extension: Rule 17g-7
Document Number: 2024-09848
Type: Notice
Date: 2024-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/07/2024-09848.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATETM))
Document Number: 2024-09847
Type: Notice
Date: 2024-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/07/2024-09847.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Document Number: 2024-09846
Type: Notice
Date: 2024-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/07/2024-09846.html
Submission for OMB Review; Comment Request; Extension: Rule 11a1-1(T)
Document Number: 2024-09759
Type: Notice
Date: 2024-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/06/2024-09759.html
Sunshine Act Meetings
Document Number: 2024-09960
Type: Notice
Date: 2024-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/06/2024-09960.html
Self-Regulatory Organizations; MIAX Emerald LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Purge Ports
Document Number: 2024-09473
Type: Notice
Date: 2024-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/02/2024-09473.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Rule 11.9(c)(6) and Rule 11.13(a)(4)(D) To Permit the Use of BZX Post Only Orders at Prices Below $1.00
Document Number: 2024-09472
Type: Notice
Date: 2024-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/02/2024-09472.html
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 for Purge Ports
Document Number: 2024-09471
Type: Notice
Date: 2024-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/02/2024-09471.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Purge Ports
Document Number: 2024-09470
Type: Notice
Date: 2024-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/02/2024-09470.html
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 Product
Document Number: 2024-09477
Type: Notice
Date: 2024-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/02/2024-09477.html
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 Product
Document Number: 2024-09475
Type: Notice
Date: 2024-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/02/2024-09475.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Rule 11.9(c)(6) and Rule 11.13(a)(4)(D) To Permit the Use of BYX Post Only Orders at Prices Below $1.00
Document Number: 2024-09474
Type: Notice
Date: 2024-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/02/2024-09474.html
Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2024-09444
Type: Notice
Date: 2024-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to Amplify ETF Trust, and on January 29, 2024, made a final distribution to its shareholders based on net asset value. Expenses of $9,282,629.85 incurred in connection with the reorganization were paid by the applicant's investment adviser and the acquiring fund's investment adviser. Filing Date: The application was filed on March 5, 2024. Applicant's Address: 350 Springfield Avenue, Suite #200, Summit, New Jersey 07901.
https://regulations.justia.com/regulations/fedreg/2024/05/01/2024-09444.html
Self-Regulatory Organizations; Miami International Securities Exchange; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 313, Other Restrictions on Options Transactions and Exercises; and Rule 700, Exercise of Option Contracts
Document Number: 2024-09334
Type: Notice
Date: 2024-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/01/2024-09334.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change for Amendments to Rule 7.35 and Rule 7.35B
Document Number: 2024-09333
Type: Notice
Date: 2024-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/01/2024-09333.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility (“BOX”)
Document Number: 2024-09332
Type: Notice
Date: 2024-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/01/2024-09332.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Expand BZX Rule 14.11(l) To Permit the Generic Listing and Trading of Multi-class ETF Shares
Document Number: 2024-09330
Type: Notice
Date: 2024-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/01/2024-09330.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Adopt Rule 971.2NYP Regarding the Operation of the Customer Best Execution Auction for Complex Orders on the NYSE American Pillar Trading Platform
Document Number: 2024-09329
Type: Notice
Date: 2024-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/01/2024-09329.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To Amend the Initial Period After Commencement of Trading of a Series of Exchange-Traded Fund Shares on the Exchange as It Relates to the Holders of Record and/or Beneficial Holders, as Provided in Exchange Rule 14.11(l)
Document Number: 2024-09328
Type: Notice
Date: 2024-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/01/2024-09328.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Partial Amendment No. 1, To Modify the GSD Rules To Facilitate Access to Clearance and Settlement of All Eligible Secondary Market Transactions in U.S. Treasury Securities
Document Number: 2024-09327
Type: Notice
Date: 2024-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2024/05/01/2024-09327.html
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