Agency Archive
Securities and Exchange Commission
Recent Federal Register documents and issues associated with this agency.
Recent Documents
- Adoption of Updated EDGAR Filer Manual Thursday, April 16, 2026 91 FR 20335
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Schedule TO Thursday, April 16, 2026 91 FR 20542
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 5-Annual Statement of Beneficial Ownership Thursday, April 16, 2026 91 FR 20527
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities, and Exchange Rule 403, Withdrawal of Approval of Underlying Securities, To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets Thursday, April 16, 2026 91 FR 20536
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities, and Exchange Rule 403, Withdrawal of Approval of Underlying Securities, To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets Thursday, April 16, 2026 91 FR 20545
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities, and Exchange Rule 403, Withdrawal of Approval of Underlying Securities, To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets Thursday, April 16, 2026 91 FR 20530
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Review of Professional Orders Thursday, April 16, 2026 91 FR 20528
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Review of Professional Orders Thursday, April 16, 2026 91 FR 20542
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Clarifying Changes to the Rule Text Related to the Trading Floor Thursday, April 16, 2026 91 FR 20519
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule Thursday, April 16, 2026 91 FR 20524
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.15(b) To Introduce the Exchange's Clock Service Thursday, April 16, 2026 91 FR 20515
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Modify the CME Securities Clearing Inc. Amended and Restated By-Laws, Board of Directors Charter, Risk Management Committee Charter, Nominating Committee Charter, and Audit Committee Charter Thursday, April 16, 2026 91 FR 20550
- Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning NSCC's Ability To Support Industry Efforts To Extend Trading Hours for the U.S. Equity Markets Thursday, April 16, 2026 91 FR 20507
- Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Stress Testing Framework Monday, March 9, 2026 91 FR 11358
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Stress Testing Framework Monday, March 9, 2026 91 FR 11349
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Stress Testing Framework Monday, March 9, 2026 91 FR 11362
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Codifying the Exchange's Fingerprint-Based Background Check Process Monday, March 9, 2026 91 FR 11368
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 11.6(q)(1) Monday, March 9, 2026 91 FR 11356
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule To Adopt Fees for Trading in Options Overlying the MSCI EAFE Index and the MSCI Emerging Markets Index Monday, March 9, 2026 91 FR 11365
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 9.261, 9.341, 9.524, and 9.830 With Rule Changes Made by the Financial Industry Regulatory Authority, Inc. That Allow for Video Conference Hearings Under Specified Conditions Monday, March 9, 2026 91 FR 11353
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the IEX Fee Schedule Concerning Certain Connectivity Fees Monday, January 5, 2026 91 FR 297
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 Monday, January 5, 2026 91 FR 309
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Fee Schedule Monday, January 5, 2026 91 FR 306
- Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to LCH SA's Default Management Policy, Investment Risk Policy, Liquidity Risk Policy, Settlement, Payment and Custody Risk Policy, Model Governance, Validation and Review Policy and Contract and Market Acceptability Policy Monday, January 5, 2026 91 FR 315
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of the Exchange's Parent Company, IEX Group, Inc., To Update Certain Ownership and Voting Restrictions Monday, January 5, 2026 91 FR 311
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Related to Processing of Auction Responses and Length of Auction Timers Monday, January 5, 2026 91 FR 303
- Sunshine Act Meetings Friday, January 2, 2026 91 FR 185
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Exchange's Options Regulatory Fee (ORF) Methodology Until July 1, 2026 Friday, January 2, 2026 91 FR 172
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Exchange's Options Regulatory Fee (ORF) Methodology Until July 1, 2026 Friday, January 2, 2026 91 FR 176
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Exchange's Options Regulatory Fee (ORF) Methodology Until July 1, 2026 Friday, January 2, 2026 91 FR 181
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modify the Implementation Date of SR-NYSE-2025-30 Friday, January 2, 2026 91 FR 185
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Exchange's Options Regulatory Fee (ORF) Methodology Until July 1, 2026 Friday, January 2, 2026 91 FR 183
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Exchange's Options Regulatory Fee (ORF) Methodology Until July 1, 2026 Friday, January 2, 2026 91 FR 179
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Exchange's Options Regulatory Fee (ORF) Methodology Until July 1, 2026 Friday, January 2, 2026 91 FR 174
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Order Approving a Proposed Rule Change To Amend the Exchange's Index Options Rules To Allow the Exchange To List and Trade Options on Micro Narrow-Based Indexes Wednesday, August 13, 2025 90 FR 39021
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding the Position and Exercise Limits for Options on the iShares Bitcoin Trust ETF, Grayscale Bitcoin Trust ETF, Grayscale Bitcoin Mini Trust BTC, and the Bitwise Bitcoin ETF Wednesday, August 13, 2025 90 FR 39008
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Provide a Temporary Discount for EDGA Historical Depth Data Wednesday, August 13, 2025 90 FR 39005
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Provide a Temporary Discount for EDGX Historical Depth Data Wednesday, August 13, 2025 90 FR 39015
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Provide a Temporary Discount on BYX Historical Depth Data Wednesday, August 13, 2025 90 FR 39017
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PIXL and Adopt New Auctions Wednesday, August 13, 2025 90 FR 39042
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 7d-1 Wednesday, August 13, 2025 90 FR 39007
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-13 Wednesday, August 13, 2025 90 FR 39020
- Sunshine Act Meetings Monday, June 9, 2025 90 FR 24310
- Concept Release on Foreign Private Issuer Eligibility Monday, June 9, 2025 90 FR 24232
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change Its Procedure for Processing Fingerprints Under Exchange Rule 10080 (Fingerprint Based Background Checks of Exchange Employees and Independent Contractors and Other Service Providers) Monday, June 9, 2025 90 FR 24308
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Cabinet Proximity Option Program Monday, June 9, 2025 90 FR 24305
- Blue Owl Capital Corporation, et al. Monday, April 14, 2025 90 FR 15597
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1808, Trading Sessions Monday, April 14, 2025 90 FR 15598
- BlackRock Growth Equity Fund LP, et al. Monday, April 14, 2025 90 FR 15609
- Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule Friday, April 4, 2025 90 FR 14888
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule Friday, April 4, 2025 90 FR 14885
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule Friday, April 4, 2025 90 FR 14881
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule Friday, April 4, 2025 90 FR 14874
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule Friday, April 4, 2025 90 FR 14878
- Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Regarding Reporting of Certain Verbal Activity, Floor and Upstairs Activity Friday, November 22, 2024 89 FR 92726
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules To Permit Orders Comprised of Options and Futures Legs Friday, November 22, 2024 89 FR 92726
- Self-Regulatory Organizations; The Depository Trust Company; Order Approving of Proposed Rule Change To Decommission the ID Net Service Wednesday, November 6, 2024 89 FR 88078
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Disapproving a Proposed Rule Change To Adopt a New Rule Regarding Order and Execution Management Systems Wednesday, November 6, 2024 89 FR 88080
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Unlimited External Distribution of Derived Data From MRX Options Trade Outline Wednesday, October 30, 2024 89 FR 86386
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Sapphire, LLC To Adopt Connectivity and Certain Port Fees for Members and Non-Members Tuesday, October 29, 2024 89 FR 86024
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 4.3 To List and Trade Options on Units That Represent Interests in Ethereum Exchange-Traded Products Thursday, October 17, 2024 89 FR 83723
- Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt Certain Connectivity Fees Thursday, October 17, 2024 89 FR 83731
- Edgar Street Capital, LLC, Elizabeth Street Capital, LLC and Jane Street Group, LLC Thursday, October 17, 2024 89 FR 83748
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Exempt Closed-End Management Investment Companies Registered Under the Investment Company Act of 1940 From the Annual Meeting of Shareholders Requirement Set Forth in Exchange Rule 14.10(f) Thursday, October 17, 2024 89 FR 83724
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Dedicated Cores Thursday, October 17, 2024 89 FR 83720
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Dedicated Cores Thursday, October 17, 2024 89 FR 83748
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Dedicated Cores Thursday, October 17, 2024 89 FR 83740
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Dedicated Cores Thursday, October 17, 2024 89 FR 83727
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options 7, Section 2 Thursday, October 17, 2024 89 FR 83743
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Section 802.01C of the NYSE Listed Company Manual (Price Criteria for Capital or Common Stock) To Limit the Use of Reverse Stock Splits To Regain Compliance With the Price Criteria in Certain Circumstances Thursday, October 17, 2024 89 FR 83738
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531 Monday, April 15, 2024 89 FR 26199
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531 Monday, April 15, 2024 89 FR 26195
- Disclosure of Order Execution Information Monday, April 15, 2024 89 FR 26428
- Sunshine Act Meetings Monday, April 1, 2024 89 FR 22466
- Sunshine Act Meetings Monday, February 5, 2024 89 FR 7758
- Octagon XAI CLO Income Fund and XA Investments LLC Thursday, January 11, 2024 89 FR 1964
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Thursday, January 11, 2024 89 FR 1965
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Thursday, January 11, 2024 89 FR 1966
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the COtwo Advisors Physical European Carbon Allowance Trust Under NYSE Arca Rule 8.201-E Thursday, January 11, 2024 89 FR 1972
- Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Modelling Framework Thursday, January 11, 2024 89 FR 1952
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Its New Fixed Midpoint Peg Order Type Wednesday, October 4, 2023 88 FR 68790
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 (Criteria for Underlying Securities) To Accelerate the Listing of Options on Certain IPOs Monday, September 18, 2023 88 FR 64010
- Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments Part HH of Its Delivery Procedures Friday, June 23, 2023 88 FR 41171
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements Friday, June 23, 2023 88 FR 41161
- Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements Friday, June 23, 2023 88 FR 41173
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules Regarding Continuing Education Requirements Friday, June 23, 2023 88 FR 41176
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules Regarding Continuing Education Requirements Friday, June 23, 2023 88 FR 41168
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Partial Cabinet Solution Bundles Offered as Part of Its Co-Location Services Friday, June 23, 2023 88 FR 41134
- Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Partial Cabinet Solution Bundles Offered as Part of Its Co-Location Services Friday, June 23, 2023 88 FR 41178
- Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Friday, June 23, 2023 88 FR 41142
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend the Partial Cabinet Solution Bundles Offered as Part of Its Co-Location Services Friday, June 23, 2023 88 FR 41138
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Partial Cabinet Solution Bundles Offered as Part of Its Co-Location Services Friday, June 23, 2023 88 FR 41164
- Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments of ICE Futures Europe (“IFEU”) Oil Futures Contracts Thursday, April 20, 2023 88 FR 24457
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses Thursday, April 20, 2023 88 FR 24455
- Investment Managers Series Trust II and Embassy Asset Management, LP Thursday, April 20, 2023 88 FR 24456
- Adoption of Updated EDGAR Filer Manual Thursday, April 20, 2023 88 FR 24329
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.76AP-O Wednesday, March 8, 2023 88 FR 14414
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Applicable Exchange Rules, Usage of Data Feeds, To Disclose That the Exchange Will Utilize Direct Data Feeds From MEMX LLC Tuesday, February 21, 2023 88 FR 10591
- Submission for OMB Review; Comment Request; Extension: Rule 17f-7 Friday, February 17, 2023 88 FR 10418
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Thursday, February 9, 2023 88 FR 8482
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List Wednesday, January 25, 2023 88 FR 4872
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.6 Concerning All-or-None Orders With the Size of One Contract Thursday, January 19, 2023 88 FR 3446
- Proposed Collection; Comment Request; Extension: Regulation S Tuesday, January 10, 2023 88 FR 1438
- Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 Thursday, January 5, 2023 88 FR 896
- Proposed Collection; Comment Request; Extension: Customer Account Statements Thursday, January 5, 2023 88 FR 893
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Risk Checks of Rule Nasdaq Equity 6, Section 5 Risk Settings That Provide Participants With Additional Optional Settings Thursday, January 5, 2023 88 FR 892
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent the Temporary Rule Relief in Rule 36.30 Thursday, January 5, 2023 88 FR 894
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) Tuesday, December 6, 2022 87 FR 74672
- Consolidated Tape Association; Order Disapproving the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan Tuesday, September 27, 2022 87 FR 58613
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE National Schedule of Fees and Rebates Friday, September 16, 2022 87 FR 57008
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule Friday, September 16, 2022 87 FR 56990
- Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Connectivity Fees Friday, September 16, 2022 87 FR 57010
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data Friday, September 16, 2022 87 FR 57002
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data Friday, September 16, 2022 87 FR 56996
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data Friday, September 16, 2022 87 FR 56999
- Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework Thursday, September 15, 2022 87 FR 56735
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation Tuesday, September 13, 2022 87 FR 56115
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation Tuesday, September 13, 2022 87 FR 56145
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 4120, 4702 and 4703 Tuesday, September 13, 2022 87 FR 56122
- 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 Tuesday, September 13, 2022 87 FR 56103
- Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Amend NYSE Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to NYSE Rules 7.31, 7.35, 7.35B and 104 Tuesday, September 13, 2022 87 FR 56099
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Tuesday, September 13, 2022 87 FR 56132
- Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-3 Continuing Education Program Requirements To Harmonize With Industry-Wide Transformation Tuesday, September 13, 2022 87 FR 56137
- Proposed Collection; Comment Request; Extension: Rule 17Ab2-2 Tuesday, September 13, 2022 87 FR 56121
- Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Membership Procedures Tuesday, September 13, 2022 87 FR 56110
- 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 and the ICE Clear Europe Clearing Procedures Tuesday, September 13, 2022 87 FR 56118
- Submission for OMB Review; Comment Request: Extension; Rules 17h-1T and 17h-2T Tuesday, September 13, 2022 87 FR 56109
- Proposed Collection; Comment Request; Extension: Rule 6c-11 Tuesday, September 13, 2022 87 FR 56136
- Proposed Collection; Comment Request; Extension: Rule 22c-1 Tuesday, September 13, 2022 87 FR 56120
- Sunshine Act Meetings Monday, August 29, 2022 87 FR 52825
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E Monday, August 29, 2022 87 FR 52826
- Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 6.64P-O Monday, August 29, 2022 87 FR 52827
- Sunshine Act Meetings Tuesday, July 12, 2022 87 FR 41374
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Proprietary Market Data Fee Schedule Tuesday, July 12, 2022 87 FR 41366
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Tuesday, July 12, 2022 87 FR 41371
- Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Connectivity Fees Tuesday, July 12, 2022 87 FR 41374
- Submission for OMB Review; Comment Request: Extension: Rule 17Ad-16 Tuesday, July 12, 2022 87 FR 41375
- Submission for OMB Review; Comment Request; Extension: Rule 7d-2 Tuesday, July 12, 2022 87 FR 41365
- Proposed Collection; Comment Request; Extension: Rule 139b Tuesday, July 12, 2022 87 FR 41370
- Proposed Collection; Comment Request; Extension: Rule 18a-2 Tuesday, June 28, 2022 87 FR 38437
- WCB Investment Pool LLC; Notice of Application Tuesday, May 17, 2022 87 FR 29892
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Adopt Electronic Market Maker Trading Permit Fees Tuesday, May 17, 2022 87 FR 29987
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Tuesday, May 17, 2022 87 FR 29911
- Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase Certain Connectivity Fees and To Increase the Monthly Fees for MIAX Express Network Full Service Port; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change Tuesday, May 17, 2022 87 FR 29892
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for the Exchange's cToM Market Data Product; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change Tuesday, May 17, 2022 87 FR 29914
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for the Exchange's cToM Market Data Product; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change Tuesday, May 17, 2022 87 FR 29963
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities Tuesday, May 17, 2022 87 FR 29980
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Its Fee Schedule To Increase Certain Connectivity Fees and Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change Tuesday, May 17, 2022 87 FR 29945
- Submission for OMB Review; Comment Request; Extension: Form 13F Tuesday, May 17, 2022 87 FR 29977
- Submission for OMB Review; Comment Request; Extension: Rules 300-304 of Regulation Crowdfunding (Intermediaries) Tuesday, May 17, 2022 87 FR 29891
- Blackstone Floating Rate Enhanced Income Fund, et al. Tuesday, May 17, 2022 87 FR 29962
- Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98 Wednesday, May 4, 2022 87 FR 26378
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options Wednesday, May 4, 2022 87 FR 26381
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 2, to Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target Wednesday, May 4, 2022 87 FR 26384
- Sunshine Act Meetings Friday, April 22, 2022 87 FR 24218
- Capital Southwest Corporation Friday, April 22, 2022 87 FR 24210
- Securities Exchange Act of 1934; Order Granting Petition for Review and Scheduling Filing of Statements; In the Matter of Financial Industry Regulatory Authority, Inc. Regarding an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Requirements for Covered Agency Transactions Under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036 Tuesday, April 19, 2022 87 FR 23287
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make the Market Wide Circuit Breaker Pilot a Permanent Program Tuesday, April 19, 2022 87 FR 23296
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make the Market Wide Circuit Breaker Pilot a Permanent Program Tuesday, April 19, 2022 87 FR 23279
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make the Market Wide Circuit Breaker Pilot a Permanent Program Tuesday, April 19, 2022 87 FR 23287
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) Tuesday, April 19, 2022 87 FR 23291
- Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Rules for Market-Wide Circuit Breakers in Rule 11.280 Tuesday, April 19, 2022 87 FR 23283
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing Tuesday, April 19, 2022 87 FR 23300
- Adoption of Updated EDGAR Filer Manual Tuesday, April 19, 2022 87 FR 23108
- Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Establish the Securities Financing Transaction Clearing Service and Make Other Changes Tuesday, April 19, 2022 87 FR 23328
- Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes Tuesday, April 19, 2022 87 FR 23372
- Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees Friday, April 15, 2022 87 FR 22611
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees Friday, April 15, 2022 87 FR 22591
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports Friday, April 15, 2022 87 FR 22601
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees Friday, April 15, 2022 87 FR 22605
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) Friday, April 15, 2022 87 FR 22599
- Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 518, Complex Orders Friday, April 15, 2022 87 FR 22605
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Friday, April 15, 2022 87 FR 22594
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC and MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products Friday, April 15, 2022 87 FR 22587
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 Friday, April 15, 2022 87 FR 22607
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 Friday, April 15, 2022 87 FR 22591
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 Friday, April 15, 2022 87 FR 22587
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 Friday, April 15, 2022 87 FR 22601
- Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Port Friday, April 15, 2022 87 FR 22587
- Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts) Tuesday, April 12, 2022 87 FR 21676
- Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Governance Playbook Tuesday, April 12, 2022 87 FR 21687
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Tuesday, April 12, 2022 87 FR 21684
- Sunshine Act Meetings Monday, April 11, 2022 87 FR 21224
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Thursday, April 7, 2022 87 FR 20488
- Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Changes to Rule 52 to Support Processing of Interval Fund Repurchase Orders, Remove Underwriting Tender Offer Provisions and Make Certain Other Clarifications Thursday, April 7, 2022 87 FR 20481
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30 Thursday, April 7, 2022 87 FR 20479
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Revisions to OCC's Partial Tear-Up Rules Thursday, April 7, 2022 87 FR 20495
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Settlement Timing Thursday, April 7, 2022 87 FR 20485
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 of the Pricing Schedule Thursday, April 7, 2022 87 FR 20475
- Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Extend the SPIKES Options Market Maker Incentive Program Until June 30, 2022 Thursday, April 7, 2022 87 FR 20492
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Thursday, April 7, 2022 87 FR 20471
- Submission for OMB Review; Comment Request Thursday, April 7, 2022 87 FR 20491
- Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Wednesday, March 30, 2022 87 FR 18444
- Proposed Collection; Comment Request Wednesday, March 16, 2022 87 FR 14931
- Sunshine Act Meeting Monday, March 14, 2022 87 FR 14304
- Proposed Collection; Comment Request; Extension: Regulation S-ID Monday, March 14, 2022 87 FR 14305
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Monday, March 14, 2022 87 FR 14307
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Monday, March 14, 2022 87 FR 14310
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule Monday, March 14, 2022 87 FR 14308
- 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, as Modified by Amendment No. 2, To Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target Thursday, March 10, 2022 87 FR 13779
- Submission for OMB Review; Comment Request Thursday, March 10, 2022 87 FR 13780
- Sunshine Act Meetings Monday, March 7, 2022 87 FR 12748
- Sunshine Act Meetings Monday, March 7, 2022 87 FR 12752
- Self-Regulatory Organizations; MIAX Emerald, LLC; 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 531 To Provide for a New Service Called the High Precision Network Time Signal Service Monday, March 7, 2022 87 FR 12756
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Proprietary Market Data Fee Schedule Monday, March 7, 2022 87 FR 12748
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Proprietary Market Data Fee Schedule Monday, March 7, 2022 87 FR 12743
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1 To Replace References to Employees and Officers of Intercontinental Exchange Group, Inc. Monday, February 28, 2022 87 FR 11106
- Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change Friday, February 25, 2022 87 FR 10837
- Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Port; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change Friday, February 25, 2022 87 FR 10860
- Self-Regulatory Organizations; MIAX EMERALD, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Friday, February 25, 2022 87 FR 10856
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements Friday, February 25, 2022 87 FR 10881
- Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Rate of Return on Euro and Pound Sterling Cash Margin and Guaranty Fund Deposits Friday, February 25, 2022 87 FR 10835
- Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy and CDS Clearing Back-Testing Policy Friday, February 25, 2022 87 FR 10878
- Sunshine Act Meetings Tuesday, February 8, 2022 87 FR 7229
- Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531 To Provide for the New Liquidity Taker Event Report-Complex Orders Tuesday, February 8, 2022 87 FR 7223
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531 To Provide for the New Liquidity Taker Event Report-Complex Orders Tuesday, February 8, 2022 87 FR 7217
- Money Market Fund Reforms Tuesday, February 8, 2022 87 FR 7248
- Sunshine Act Meeting Monday, February 7, 2022 87 FR 6902
- Proposed Collection; Comment Request Monday, February 7, 2022 87 FR 6917
- Proposed Collection; Comment Request; Extension: Rule 30e-3 Monday, February 7, 2022 87 FR 6903
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Subparagraph (i)(4) to Rule 7.31-E Monday, February 7, 2022 87 FR 6900
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Obvious Error Rule Monday, February 7, 2022 87 FR 6917
- 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 Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E Monday, February 7, 2022 87 FR 6903
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change To Update the Obvious Error Rule Monday, February 7, 2022 87 FR 6906
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Obvious Error Rule Monday, February 7, 2022 87 FR 6921
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BOX Rule 7170 (Nullification and Adjustment of Options Transactions Including Obvious Errors) To Improve the Operation of the Rule Monday, February 7, 2022 87 FR 6925
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Monday, February 7, 2022 87 FR 6910
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Obvious Error Rule Monday, February 7, 2022 87 FR 6913
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Obvious Error Rule Monday, February 7, 2022 87 FR 6896
- Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Remove Obsolete References Friday, February 4, 2022 87 FR 6637
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .01 to Rule 11.10 in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities Monday, November 29, 2021 86 FR 67774
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Global X Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Wednesday, November 24, 2021 86 FR 67094
- Privacy Act of 1974; System of Records Tuesday, November 2, 2021 86 FR 60496
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe C2 Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc., Cboe Exchange, Inc.; NASDAQ BX, Inc.; Nasdaq GEMX, LLC; Nasdaq ISE, LLC; Nasdaq MRX, LLC; NASDAQ PHLX LLC and The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Tuesday, November 2, 2021 86 FR 60524
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Extension of Review Period of Advance Notice Relating to OCC's Adoption of Cloud Infrastructure for New Clearing, Risk Management, and Data Management Applications Tuesday, November 2, 2021 86 FR 60503
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel Tuesday, November 2, 2021 86 FR 60499
- Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures Tuesday, November 2, 2021 86 FR 60493
- 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 Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Tuesday, November 2, 2021 86 FR 60516
- Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Extend the Regulatory Relief and Permit Dealers To Conduct Office Inspections Remotely Until June 30, 2022, Pursuant to MSRB Rule G-27, on Supervision Tuesday, November 2, 2021 86 FR 60522
- Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part EE of Its Delivery Procedures Monday, September 13, 2021 86 FR 50917
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes Tuesday, August 31, 2021 86 FR 48770
- Notice of Substituted Compliance Application Submitted by UBS AG and Credit Suisse AG in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation; Proposed Order Monday, August 16, 2021 86 FR 45770
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series (“QQQ”) ETF Trust Monday, July 26, 2021 86 FR 40111
- Submission for OMB Review; Comment Request Thursday, July 8, 2021 86 FR 36173
- Sunshine Act Meetings Friday, July 2, 2021 86 FR 35370
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2614, Orders and Order Instructions, To Adopt and Make Available the Reserve Quantity Instruction for Orders on the MIAX PEARL Equities Platform Thursday, April 1, 2021 86 FR 17259
- Self-Regulatory Organizations; Cboe 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, as Modified by Amendment No. 2, To Make Qualified Contingent Cross Orders Available for FLEX Option Trading Friday, February 19, 2021 86 FR 10378
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Nasdaq Rule 5704 Monday, February 1, 2021 86 FR 7750
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Address Brokers With a Significant History of Misconduct Wednesday, December 16, 2020 85 FR 81540
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding the Criteria To Qualify for the Market Maker Incentive for Penny Issues Wednesday, December 16, 2020 85 FR 81534
Recent Issues
- Federal Register Volume 91 Issue 73 (April 16, 2026) Thursday, April 16, 2026 13 documents
- Federal Register Volume 91 Issue 45 (Monday, March 9, 2026) Monday, March 9, 2026 7 documents
- Federal Register Volume 91 Issue 2 (January 5, 2026) Monday, January 5, 2026 6 documents
- Federal Register Volume 91 Issue 1 (January 2, 2026) Friday, January 2, 2026 8 documents
- Federal Register Volume 90 Issue 154 (Wednesday, August 13, 2025) Wednesday, August 13, 2025 8 documents
- Federal Register Volume 90 Issue 109 (Monday, June 9, 2025) Monday, June 9, 2025 4 documents
- Federal Register Volume 90 Issue 70 (Monday, April 14, 2025) Monday, April 14, 2025 3 documents
- Federal Register Volume 90 Issue 64 (Friday, April 4, 2025) Friday, April 4, 2025 5 documents
- Federal Register Volume 89 Issue 226 (Friday, November 22, 2024) Friday, November 22, 2024 2 documents
- Federal Register Volume 89 Issue 215 (Wednesday, November 6, 2024) Wednesday, November 6, 2024 2 documents
- Federal Register Volume 89 Issue 210 (Wednesday, October 30, 2024) Wednesday, October 30, 2024 1 document
- Federal Register Volume 89 Issue 209 (Tuesday, October 29, 2024) Tuesday, October 29, 2024 1 document
- Federal Register Volume 89 Issue 201 (Thursday, October 17, 2024) Thursday, October 17, 2024 10 documents
- Federal Register Volume 89 Issue 73 (Monday, April 15, 2024) Monday, April 15, 2024 3 documents
- Federal Register Volume 89 Issue 63 (Monday, April 1, 2024) Monday, April 1, 2024 1 document
- Federal Register Volume 89 Issue 24 (Monday, February 5, 2024) Monday, February 5, 2024 1 document
- Federal Register Volume 89 Issue 8 (Thursday, January 11, 2024) Thursday, January 11, 2024 5 documents
- Federal Register Volume 88 Issue 191 (Wednesday, October 4, 2023) Wednesday, October 4, 2023 1 document
- Federal Register Volume 88 Issue 179 (Monday, September 18, 2023) Monday, September 18, 2023 1 document
- Federal Register Volume 88 Issue 120 (Friday, June 23, 2023) Friday, June 23, 2023 10 documents
- Federal Register Volume 88 Issue 76 (Thursday, April 20, 2023) Thursday, April 20, 2023 4 documents
- Federal Register Volume 88 Issue 45 (Wednesday, March 8, 2023) Wednesday, March 8, 2023 1 document
- Federal Register Volume 88 Issue 34 (Tuesday, February 21, 2023) Tuesday, February 21, 2023 1 document
- Federal Register Volume 88 Issue 33 (Friday, February 17, 2023) Friday, February 17, 2023 1 document