Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 4,701 - 4,750 of 38,667
Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Adoption of the Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures
Document Number: 2021-28575
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28575.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)
Document Number: 2021-28572
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28572.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Certain Fine Amounts in Rule 13.15, Which Governs the Exchange's Minor Rule Violation Plan, and Non-Substantive Clarifying Changes
Document Number: 2021-28571
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28571.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of SR-NASDAQ-2021-009
Document Number: 2021-28570
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28570.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide
Document Number: 2021-28569
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28569.html
Self-Regulatory Organizations; Investors Exchange LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Fee Schedule for Market Data Fees
Document Number: 2021-28577
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28577.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
Document Number: 2021-28576
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28576.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Fees for NSCC's MF Info Xchange Service, Modify Fees for NSCC's Alternative Investment Product Service and Make Certain Other Clarification Changes to Addendum A of the NSCC Rules
Document Number: 2021-28518
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28518.html
Flat Rock Global, LLC, et al.
Document Number: 2021-28512
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28512.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4754 Related to Certain Order Handling in the LULD Closing Cross
Document Number: 2021-28519
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28519.html
Adoption of Updated EDGAR Filer Manual
Document Number: 2021-28445
Type: Rule
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to Volume II of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``Filer Manual'') and related rules and forms. The EDGAR system was upgraded on December 20, 2021.
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28445.html
Sunshine Act Meetings
Document Number: 2021-28559
Type: Notice
Date: 2022-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/04/2021-28559.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Withdraw Its Trading Insights Product From Sale
Document Number: 2021-28395
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28395.html
Submission for OMB Review; Comment Request; Extension: Form TH
Document Number: 2021-28440
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28440.html
Submission for OMB Review Comment Request; Extension: Form SE
Document Number: 2021-28439
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28439.html
Submission for OMB Review; Comment Request; Extension: Rule 15c2-8
Document Number: 2021-28428
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28428.html
Proposed Collection; Comment Request; Extension: Rules 3a68-2 and 3a68-4(c)
Document Number: 2021-28427
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28427.html
Submission for OMB Review; Comment Request; Extension: Form N-5
Document Number: 2021-28426
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28426.html
Submission for OMB Review; Comment Request; Extension: Rules 15Fb1-1 Through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W
Document Number: 2021-28425
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28425.html
Submission for OMB Review; Comment Request; Extension: Rule 154
Document Number: 2021-28424
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28424.html
Submission for OMB Review; Comment Request; Extension: Rule 17f-6
Document Number: 2021-28423
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28423.html
Submission for OMB Review; Comment Request; Extension: Regulation FD
Document Number: 2021-28422
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28422.html
Submission for OMB Review; Comment Request; Extension: Form 40-F
Document Number: 2021-28438
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28438.html
Submission for OMB Review; Comment Request; Extension: Form 12b-25
Document Number: 2021-28437
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28437.html
Submission for OMB Review; Comment Request; Extension: Form 11-K
Document Number: 2021-28436
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28436.html
Submission for OMB Review; Comment Request; Extension: Form ADV-E
Document Number: 2021-28435
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28435.html
Submission for OMB Review; Comment Request; Extension: Rule 304 of Regulation ATS and Form ATS
Document Number: 2021-28434
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28434.html
Proposed Collection; Comment Request; Extension: Rule 17Ad-2(c), (d), and (h)
Document Number: 2021-28433
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28433.html
Proposed Collection; Comment Request; Extension: Rules 6a-1 and 6a-2, Form 1
Document Number: 2021-28432
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28432.html
Submission for OMB Review; Comment Request; Extension: Rule 17f-1(b)
Document Number: 2021-28431
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28431.html
Submission for OMB Review; Comment Request; Extension: Regulation R, Rule 701
Document Number: 2021-28430
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28430.html
Submission for OMB Review; Comment Request; Extension: Rule 17a-5(c)
Document Number: 2021-28429
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28429.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures
Document Number: 2021-28328
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28328.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy
Document Number: 2021-28327
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28327.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Revise the Suite of Complimentary Products and Services Offered to Listed Companies
Document Number: 2021-28326
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28326.html
Variant Alternative Income Fund, et al.
Document Number: 2021-28324
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28324.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Document Number: 2021-28250
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28250.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Document Number: 2021-28249
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28249.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Document Number: 2021-28248
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28248.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Document Number: 2021-28247
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28247.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 37 To Incorporate Standards of Conduct for the Exchange's Trading Floor
Document Number: 2021-28246
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28246.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rules To Add New Subparagraph (i)(6) to Rule 7.31
Document Number: 2021-28245
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28245.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Proposes To Amend the Provisions of Rule 7.35B
Document Number: 2021-28244
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28244.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the Kryptoin Bitcoin ETF Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Document Number: 2021-28255
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28255.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Document Number: 2021-28254
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28254.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE Listed Company Manual To Amend Certain of Its Listing and Annual Fees
Document Number: 2021-28252
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28252.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Document Number: 2021-28251
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28251.html
FMI Funds, Inc., et al.
Document Number: 2021-28235
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28235.html
Capital Group ETF Trust, et al.
Document Number: 2021-28234
Type: Notice
Date: 2021-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28234.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E
Document Number: 2021-28112
Type: Notice
Date: 2021-12-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28112.html
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