Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt a Minimum Margin Amount at GSD

Document Number: 2024-06166

Type: Notice

Date: 2024-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06166.html

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Options 4, Section 3 To List and Trade Options on Units That Represent Interests in a Trust That Holds Bitcoin

Document Number: 2024-06165

Type: Notice

Date: 2024-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06165.html

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4

Document Number: 2024-06175

Type: Notice

Date: 2024-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/25/2024-06175.html

Sunshine Act Meetings

Document Number: 2024-06296

Type: Notice

Date: 2024-03-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06296.html

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework and the Clearing Agency Stress Testing Framework

Document Number: 2024-06071

Type: Notice

Date: 2024-03-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06071.html

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31

Document Number: 2024-06070

Type: Notice

Date: 2024-03-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06070.html

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 6.210 (Ex-Dividend or Ex-Right Dates)

Document Number: 2024-06069

Type: Notice

Date: 2024-03-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06069.html

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework and the Clearing Agency Stress Testing Framework

Document Number: 2024-06068

Type: Notice

Date: 2024-03-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06068.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E

Document Number: 2024-06073

Type: Notice

Date: 2024-03-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06073.html

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Document Number: 2024-06072

Type: Notice

Date: 2024-03-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06072.html

Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940

Document Number: 2024-06052

Type: Notice

Date: 2024-03-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/22/2024-06052.html

Submission for OMB Review; Comment Request; Extension: Rule 18a-5

Document Number: 2024-05993

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05993.html

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31

Document Number: 2024-05943

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05943.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 BOX Options Market Facility To Amend Certain Rebates for Qualified Contingent Cross Transactions

Document Number: 2024-05952

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05952.html

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Accommodate a Shorter Standard Settlement Cycle and Make Other Changes

Document Number: 2024-05951

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05951.html

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services

Document Number: 2024-05950

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05950.html

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services

Document Number: 2024-05949

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05949.html

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fees for Connectivity and Co-Location Services

Document Number: 2024-05948

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05948.html

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fees for Connectivity and Co-Location Services

Document Number: 2024-05947

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05947.html

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule

Document Number: 2024-05946

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05946.html

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services

Document Number: 2024-05945

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05945.html

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services

Document Number: 2024-05944

Type: Notice

Date: 2024-03-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/21/2024-05944.html

Felicitas Private Markets Fund and Skypoint Capital Advisors, LLC.

Document Number: 2024-05918

Type: Notice

Date: 2024-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/20/2024-05918.html

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Document Number: 2024-05837

Type: Notice

Date: 2024-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/20/2024-05837.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: 2024-05836

Type: Notice

Date: 2024-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/20/2024-05836.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: 2024-05835

Type: Notice

Date: 2024-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/20/2024-05835.html

Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendment No. 2, Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation

Document Number: 2024-05834

Type: Notice

Date: 2024-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/20/2024-05834.html

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Its Listing Standards Related to Notification and Disclosure of Reverse Stock Splits

Document Number: 2024-05833

Type: Notice

Date: 2024-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/20/2024-05833.html

Self-Regulatory Organizations; The National Securities Clearing Corporation; Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendment No. 2, To Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules

Document Number: 2024-05832

Type: Notice

Date: 2024-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/20/2024-05832.html

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Document Number: 2024-05839

Type: Notice

Date: 2024-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/20/2024-05839.html

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Document Number: 2024-05838

Type: Notice

Date: 2024-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/20/2024-05838.html

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Exchange's Rules Relating to Position and Exercise Limits

Document Number: 2024-05633

Type: Notice

Date: 2024-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/19/2024-05633.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule

Document Number: 2024-05739

Type: Notice

Date: 2024-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/19/2024-05739.html

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Document Number: 2024-05738

Type: Notice

Date: 2024-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/19/2024-05738.html

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Document Number: 2024-05737

Type: Notice

Date: 2024-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/19/2024-05737.html

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice, as Modified by Partial Amendment No. 1 and Amendment No. 2, Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between the Options Clearing Corporation and the National Securities Clearing Corporation

Document Number: 2024-05734

Type: Notice

Date: 2024-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/19/2024-05734.html

Proposed Collection; Comment Request; Extension: Rule 18a-6

Document Number: 2024-05765

Type: Notice

Date: 2024-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/19/2024-05765.html

Sunshine Act Meetings

Document Number: 2024-05769

Type: Notice

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05769.html

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Document Number: 2024-05638

Type: Notice

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05638.html

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt Rules To Govern FLEX Equity Options and a New Order Type To Trade FLEX Equity Options on the BOX Trading Floor

Document Number: 2024-05637

Type: Notice

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05637.html

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Creation Basket Size of the VanEck Bitcoin Trust

Document Number: 2024-05636

Type: Notice

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05636.html

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Regarding Add Volume Tiers

Document Number: 2024-05635

Type: Notice

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05635.html

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Document Number: 2024-05634

Type: Notice

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05634.html

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change for Amendments to Rule 7.35 and Rule 7.35B

Document Number: 2024-05632

Type: Notice

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05632.html

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend NYSE American Rule 4120

Document Number: 2024-05631

Type: Notice

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05631.html

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the NYSE National Aggregated Lite Market Data Feed

Document Number: 2024-05630

Type: Notice

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05630.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the NYSE Arca Aggregated Lite Market Data Feed

Document Number: 2024-05629

Type: Notice

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05629.html

EDGAR Filer Access and Account Management; Correction

Document Number: 2024-05625

Type: Proposed Rule

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

This document makes a correction to the preamble of a proposed rule, as proposed in Release No. 33-11232 (Sept. 13, 2023), which was published in the Federal Register on September 22, 2023.

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05625.html

Exemption for Certain Investment Advisers Operating Through the Internet; Correction

Document Number: 2024-05624

Type: Proposed Rule

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

This document makes a correction to the preamble of a proposed rule, as proposed in Release No. IA-6354 (July 26, 2023), which was published in the Federal Register on August 1, 2023.

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05624.html

Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers; Correction

Document Number: 2024-05623

Type: Proposed Rule

Date: 2024-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

This document makes a correction to the preamble of a proposed rule, as proposed in Release No. 34-97990 (July 26, 2023), which was published in the Federal Register on August 9, 2023.

https://regulations.justia.com/regulations/fedreg/2024/03/18/2024-05623.html