Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-27526
Type: Notice
Date: 2023-12-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/15/2023-27526.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-27525
Type: Notice
Date: 2023-12-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/15/2023-27525.html
Submission for OMB Review; Comment Request; Extension: Form N-17f-1
Document Number: 2023-27571
Type: Notice
Date: 2023-12-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/15/2023-27571.html
Submission for OMB Review; Comment Request; Extension: Rule 0-1
Document Number: 2023-27570
Type: Notice
Date: 2023-12-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/15/2023-27570.html
Submission for OMB Review; Comment Request; Extension: Rule 6e-2 and Form N-6EI-1
Document Number: 2023-27569
Type: Notice
Date: 2023-12-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/15/2023-27569.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830
Document Number: 2023-27404
Type: Notice
Date: 2023-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/14/2023-27404.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-27403
Type: Notice
Date: 2023-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/14/2023-27403.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-27402
Type: Notice
Date: 2023-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/14/2023-27402.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its GPS Antenna Fees at General 8, Section 1
Document Number: 2023-27401
Type: Notice
Date: 2023-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/14/2023-27401.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830
Document Number: 2023-27400
Type: Notice
Date: 2023-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/14/2023-27400.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Harmonize Rules 9261 and 9830
Document Number: 2023-27399
Type: Notice
Date: 2023-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/14/2023-27399.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 9261 and 9830
Document Number: 2023-27398
Type: Notice
Date: 2023-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/14/2023-27398.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules Relating to Position and Exercise Limits
Document Number: 2023-27397
Type: Notice
Date: 2023-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/14/2023-27397.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
Document Number: 2023-27275
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27275.html
Proposed Collection; Comment Request; Extension: Rule 8b-1 to 8b-5; 8b-10 to 8b-22; and 8b-25 to 8b-31
Document Number: 2023-27325
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27325.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Monthly Options Series and the Nonstandard Expirations Program
Document Number: 2023-27274
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27274.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the Cboe Silexx Platform
Document Number: 2023-27273
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27273.html
Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Recovery and Resolution
Document Number: 2023-27272
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27272.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Low Priced Stock Strike Price Interval Program
Document Number: 2023-27271
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27271.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Monthly Options Series and Amend the Nonstandard Expirations Program
Document Number: 2023-27270
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27270.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule
Document Number: 2023-27268
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27268.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Document Number: 2023-27267
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27267.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Low Priced Stock Strike Price Interval Program
Document Number: 2023-27262
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27262.html
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt a Temporary Options Regulatory Fee
Document Number: 2023-27261
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27261.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Monthly Options Series
Document Number: 2023-27260
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27260.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4A To Adopt Monthly Options Series
Document Number: 2023-27259
Type: Notice
Date: 2023-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/13/2023-27259.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Legging Orders
Document Number: 2023-27164
Type: Notice
Date: 2023-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/12/2023-27164.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Legging Orders
Document Number: 2023-27163
Type: Notice
Date: 2023-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/12/2023-27163.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Document Number: 2023-27162
Type: Notice
Date: 2023-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/12/2023-27162.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: 2023-27161
Type: Notice
Date: 2023-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/12/2023-27161.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Document Number: 2023-27160
Type: Notice
Date: 2023-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/12/2023-27160.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13
Document Number: 2023-27159
Type: Notice
Date: 2023-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/12/2023-27159.html
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Document Number: 2023-27158
Type: Notice
Date: 2023-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/12/2023-27158.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections 902.02 and 902.03 of the NYSE Listed Company Manual To Amend Its Initial Listing Fee and Certain of Its Annual Fees
Document Number: 2023-27157
Type: Notice
Date: 2023-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/12/2023-27157.html
Submission for OMB Review; Comment Request; Extension: Tender Offer-Regulation 14D and Regulation 14E, Schedule 14D-9
Document Number: 2023-27149
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27149.html
Submission for OMB Review; Comment Request; Extension: Rule 425
Document Number: 2023-27148
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27148.html
Submission for OMB Review; Comment Request; Extension: Rule 163
Document Number: 2023-27147
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27147.html
Submission for OMB Review; Comment Request; Extension: Rule 173
Document Number: 2023-27146
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27146.html
Submission for OMB Review; Comment Request; Extension: Rule 433
Document Number: 2023-27145
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27145.html
Submission for OMB Review; Comment Request; Extension: Form CB, Tender Offer/Rights Offering Notification Form
Document Number: 2023-27144
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27144.html
Sunshine Act Meetings
Document Number: 2023-27174
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27174.html
Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Establish an Options Regulatory Fee
Document Number: 2023-27165
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27165.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Purge Ports
Document Number: 2023-27067
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27067.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Purge Ports
Document Number: 2023-27066
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27066.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule
Document Number: 2023-27065
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27065.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Equity 4, Rules 3301A and 3301B To Establish New “Contra Midpoint Only” and “Contra Midpoint Only With Post-Only” Order Types and To Make Other Corresponding Changes to the Rulebook
Document Number: 2023-27064
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27064.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 Grayscale Ethereum Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Document Number: 2023-27063
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27063.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Shares of the iShares Ethereum Trust Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)
Document Number: 2023-27062
Type: Notice
Date: 2023-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/11/2023-27062.html
Proposed Collection; Comment Request; Extension: Rule 0-5
Document Number: 2023-26990
Type: Notice
Date: 2023-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/08/2023-26990.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Conform to Exchange Act Rules 15c6-1 and 15c6-2 To Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions From Two Business Days After the Trade Date to One Business Day After the Trade Date
Document Number: 2023-26928
Type: Notice
Date: 2023-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2023/12/08/2023-26928.html
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