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federal register · 2024

How many rules and notices did Securities and Exchange Commission publish in 2024?

In 2024 Securities and Exchange Commission published 2,128 Federal Register documents: 27 final rules, 9 proposed rules, 2,092 notices; 2 marked significant. Busiest month: 2024-09.

DOCUMENTS: 2,128FINAL RULES: 27PROPOSED: 9

Cite: FACTANKER, https://factanker.com/federal-register/securities-and-exchange-commission/2024

What stands out

In 2024 Securities and Exchange Commission published 2,128 Federal Register documents: 27 final rules, 9 proposed rules, 2,092 notices; 2 marked significant. Busiest month: 2024-09.

By month

MonthDocumentsFinal rulesProposedNotices
2024-0115020148
2024-0214832143
2024-0320423199
2024-0412850123
2024-0515201151
2024-0615230149
2024-0718310182
2024-0817522171
2024-0925010249
2024-1015120149
2024-1120230199
2024-1223331229

Documents, 2024

The 400 most recent; the JSON view carries the same list.

PublishedTypeDocumentEvidence
Dec 31, 2024NoticeThe Toronto-Dominion Bank, et al.; Notice of Application and Temporary Orderrecord →
Dec 30, 2024NoticeKurv ETF Trust and Kurv Investment Management LLCrecord →
Dec 30, 2024NoticeMorgan Stanley Direct Lending Fund, et al.record →
Dec 30, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Certain Initial Listing Liquirecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Itrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update its Feerecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt Temporary Rule 7.34-Erecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update itsrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes record →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend itsrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Itsrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its record →
Dec 30, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Mrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its record →
Dec 30, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend trecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to List and Trade Shares of the BondBloxxrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31-E To Adopt the Selective Midpoinrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Cerecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Frecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend itsrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Updrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Feesrecord →
Dec 30, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Assume Operational Responsibility forecord →
Dec 30, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Regulation SCI, Form SCIrecord →
Dec 30, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 17Ad-2(c), (d), and (h)record →
Dec 27, 2024RuleEDGAR Filer Access and Account Managementrecord →
Dec 27, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Regulation BTRrecord →
Dec 27, 2024NoticeSelf-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Polrecord →
Dec 27, 2024NoticeSelf-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schrecord →
Dec 27, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Itrecord →
Dec 27, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Itsrecord →
Dec 27, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To record →
Dec 27, 2024NoticeProposed Collection; Comment Request; Extension for Generic ICR: Generic Clearance for the Collection of Qualitative Feedback on Agency Servrecord →
Dec 27, 2024NoticeSelf-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Updrecord →
Dec 27, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change To Amend Certain Rules Related to Flexible Exchange Oprecord →
Dec 27, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its record →
Dec 26, 2024NoticeMidCap Financial Investment Corporation, et al.record →
Dec 26, 2024NoticeThirdline Real Estate Income Fund, et al.record →
Dec 26, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rulrecord →
Dec 26, 2024NoticeSelf-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To record →
Dec 26, 2024NoticeSelf-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Charecord →
Dec 26, 2024NoticeSelf-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes record →
Dec 26, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Chrecord →
Dec 26, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arcarecord →
Dec 26, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To List and Trade Sharrecord →
Dec 26, 2024NoticeSelf-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to DTC's Nrecord →
Dec 26, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rulrecord →
Dec 26, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Serecord →
Dec 26, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Sections 140 and record →
Dec 26, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings Torecord →
Dec 26, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Detrecord →
Dec 26, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Regulation Grecord →
Dec 26, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Form F-Xrecord →
Dec 26, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 204record →
Dec 26, 2024NoticeProposed Collection; Comment Request; Extension: Rule 239record →
Dec 26, 2024NoticeProposed Collection; Comment Request; Extension: Electronic Data Collection System Form TCRrecord →
Dec 26, 2024NoticeSelf-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 19.3,record →
Dec 26, 2024NoticeSelf-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 19.3,record →
Dec 26, 2024NoticeSelf-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Clarirecord →
Dec 26, 2024NoticeSunshine Act Meetingsrecord →
Dec 23, 2024NoticeProposed Collection; Comment Request; Reinstatement Without Change: Rule 10A-1record →
Dec 23, 2024NoticeSelf-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amrecord →
Dec 23, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Oprecord →
Dec 23, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To record →
Dec 23, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Arecord →
Dec 23, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options 7, record →
Dec 23, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Secrecord →
Dec 23, 2024NoticeSelf-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changrecord →
Dec 23, 2024NoticeSelf-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modifrecord →
Dec 23, 2024NoticeSelf-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Updatrecord →
Dec 23, 2024NoticeOrder Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2025record →
Dec 20, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To record →
Dec 20, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE record →
Dec 20, 2024NoticeSelf-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Sapphire, record →
Dec 20, 2024NoticeSelf-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modifrecord →
Dec 20, 2024NoticeSelf-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Detrecord →
Dec 20, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Trecord →
Dec 20, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange'srecord →
Dec 20, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 18a-10record →
Dec 20, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 15c3-4record →
Dec 20, 2024NoticeAmended and Restated Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swaprecord →
Dec 19, 2024NoticeCoatue CTEK Fund and Coatue Management, L.L.C.record →
Dec 19, 2024NoticeFirst Eagle Private Credit Fund and First Eagle Investment Management, LLCrecord →
Dec 19, 2024NoticeSelf-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Bylrecord →
Dec 19, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend threcord →
Dec 19, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arcarecord →
Dec 19, 2024NoticeSelf-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Decommission QCC With Stock Orders and Complex Qrecord →
Dec 19, 2024NoticeSelf-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Decommission QCC Witrecord →
Dec 19, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange'srecord →
Dec 18, 2024NoticeJoint Industry Plan; Order Approving Amendments to the National Market System Plan Governing the Consolidated Audit Trail Designed To Implemrecord →
Dec 18, 2024NoticeProposed Collection; Comment Request; Extension: Rule 17a-8record →
Dec 18, 2024NoticeProposed Collection; Comment Request; Extension: Rule 15a-6record →
Dec 18, 2024NoticeProposed Collection; Comment Request; Extension: Rule 6a-3record →
Dec 18, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To record →
Dec 18, 2024NoticeSelf-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to Advance Notice To Raise Prefunded Liquidrecord →
Dec 18, 2024NoticeSelf-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approachrecord →
Dec 18, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower threcord →
Dec 18, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower the Options Rerecord →
Dec 18, 2024NoticeSelf-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rulerecord →
Dec 18, 2024NoticeSelf-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Screcord →
Dec 18, 2024NoticeSelf-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX record →
Dec 18, 2024NoticeSelf-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearecord →
Dec 18, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rurecord →
Dec 18, 2024NoticeSelf-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearecord →
Dec 17, 2024NoticeSelf-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approacrecord →
Dec 17, 2024NoticeSelf-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approachrecord →
Dec 17, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approachrecord →
Dec 17, 2024NoticeSelf-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Srecord →
Dec 17, 2024NoticeSelf-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedingrecord →
Dec 17, 2024NoticeSelf-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Inverecord →
Dec 17, 2024NoticeSelf-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Investmenrecord →
Dec 17, 2024NoticeMX2 LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Erecord →
Dec 17, 2024NoticeSelf-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agenrecord →
Dec 17, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Fees Brecord →
Dec 17, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Fees Brecord →
Dec 16, 2024RuleCommission's Organization and Program Management Regulationsrecord →
Dec 16, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the Bitwise Bitcoin andrecord →
Dec 16, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amerecord →
Dec 16, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca record →
Dec 16, 2024NoticeSelf-Regulatory Organizations; MIAX Sapphire, LLC; Order Declaring Effective a Minor Rule Violation Planrecord →
Dec 16, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Changerecord →
Dec 16, 2024NoticeSelf-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies andrecord →
Dec 16, 2024NoticeProposed Collection; Comment Request; Reinstatement Without Change: Reports of Evidence of Material Violationsrecord →
Dec 16, 2024NoticeProposed Collection; Comment Request; Extension: Rule 17f-4record →
Dec 16, 2024NoticeProposed Collection; Comment Request; Extension: Rule 22e-3record →
Dec 16, 2024NoticeSunshine Act Meetingsrecord →
Dec 16, 2024NoticeSunshine Act Meetingsrecord →
Dec 13, 2024NoticeProposed Collection; Comment Request; Extension: Rules 6a-1 and 6a-2, Form 1record →
Dec 13, 2024NoticeProposed Collection; Comment Request; Extension: Rule 17g-4record →
Dec 13, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Form ADV-Erecord →
Dec 13, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 20a-1record →
Dec 13, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rules 15Fb1-1 Through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-Wrecord →
Dec 13, 2024NoticeGlobal X Venture Fund and Global X Management Company, LLCrecord →
Dec 13, 2024NoticeHarbourVest Private Investments Fund and Fund HarbourVest Registered Advisers L.P.record →
Dec 13, 2024NoticeCapital Group KKR Multi-Sector+, Capital Group KKR Core Plus+ and Capital Research and Management Companyrecord →
Dec 13, 2024NoticeSelf-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees record →
Dec 13, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determirecord →
Dec 13, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amendrecord →
Dec 13, 2024NoticeSelf-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amerecord →
Dec 12, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 342record →
Dec 12, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.4record →
Dec 12, 2024NoticeSelf-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 3record →
Dec 12, 2024NoticeSelf-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.4(arecord →
Dec 12, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Auction record →
Dec 12, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Aucrecord →
Dec 12, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Serecord →
Dec 12, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rurecord →
Dec 12, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Cerecord →
Dec 11, 2024NoticePublic Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Firm and Engagement Metrics and Related Amendments to PCAOBrecord →
Dec 11, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Form 1-Urecord →
Dec 11, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Form 1-Krecord →
Dec 11, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Form 1-Zrecord →
Dec 11, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rulrecord →
Dec 11, 2024NoticeSelf-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICC Operatirecord →
Dec 11, 2024NoticeSelf-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relatirecord →
Dec 11, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Equity 4, Rule 4759 Concerningrecord →
Dec 11, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the Exchange's Fees for Top of PHLX Optionrecord →
Dec 11, 2024NoticeSelf-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Itsrecord →
Dec 11, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Itsrecord →
Dec 11, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its record →
Dec 11, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rulerecord →
Dec 11, 2024NoticeSelf-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its record →
Dec 11, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 15Ga-2 and Form ABS-15Grecord →
Dec 10, 2024Proposed RuleList of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Actrecord →
Dec 10, 2024NoticeProposed Collection; Comment Request; Extension: Form N-8Arecord →
Dec 10, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-Erecord →
Dec 10, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Amend NYSE Rule 7.31(f)(1)record →
Dec 09, 2024NoticeSelf-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantirecord →
Dec 09, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether Trecord →
Dec 09, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its record →
Dec 09, 2024NoticeSelf-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rulerecord →
Dec 09, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Form 4-Statement of Changes in Beneficial Ownership of Securitiesrecord →
Dec 09, 2024NoticeSunshine Act Meetingsrecord →
Dec 06, 2024NoticeSelf-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporatiorecord →
Dec 06, 2024NoticeSelf-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide that record →
Dec 06, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List andrecord →
Dec 06, 2024NoticeSelf-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for record →
Dec 06, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Irecord →
Dec 06, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Irecord →
Dec 06, 2024NoticeSelf-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Irecord →
Dec 06, 2024NoticeSelf-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Irecord →
Dec 06, 2024NoticeSelf-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rulerecord →
Dec 06, 2024NoticeSelf-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Dealer Statusrecord →
Dec 06, 2024NoticeSelf-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change by The Options Clearing Correcord →
Dec 06, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establisrecord →
Dec 06, 2024NoticeIn the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Findings, Opinion, and Ordrecord →
Dec 06, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 154record →
Dec 05, 2024NoticePublic Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Firm Reportingrecord →
Dec 05, 2024NoticeDeregistration Under Section 8(f) of the Investment Company Act of 1940record →
Dec 05, 2024NoticeSelf-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rulrecord →
Dec 05, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Cboe C2 Exchange, Inc.; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGA Exchrecord →
Dec 04, 2024RulePrivate Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviewsrecord →
Dec 03, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arcarecord →
Dec 03, 2024NoticeSelf-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of Proposed Minor Rule Violation Planrecord →
Dec 03, 2024NoticeSelf-Regulatory Organizations; National Securities Clearing Corporation; The Depository Trust Company; Fixed Income Clearing Corporation; Orrecord →
Dec 03, 2024NoticeSelf-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change, as Modified by Partial Amerecord →
Dec 03, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Disapproving Proposed Rule Change To Increase Fees for Certain Market Datarecord →
Dec 03, 2024NoticeSelf-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FLEX Optionsrecord →
Dec 03, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Form N-8Frecord →
Dec 03, 2024NoticeProposed Collection; Comment Request; Extension: Rule 17Ad-11record →
Dec 03, 2024NoticePrivacore PCAAM Alternative Income Fund, et al.record →
Dec 03, 2024NoticeAntares Private Credit Fund and Antares Capital Credit Advisers LLCrecord →
Dec 03, 2024NoticeSelf-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3120 record →
Dec 03, 2024NoticeSelf-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt New Frecord →
Dec 03, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Bitwise 10 Crypto Irecord →
Dec 03, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Rules Relatedrecord →
Dec 03, 2024NoticeSelf-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 19.3,record →
Dec 02, 2024NoticeSelf-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange record →
Dec 02, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Secrecord →
Dec 02, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Secrecord →
Dec 02, 2024NoticeSelf-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3120 record →
Dec 02, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Oprecord →
Dec 02, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To List and Trade Option Crecord →
Dec 02, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rulrecord →
Dec 02, 2024NoticeSelf-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3120 record →
Dec 02, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Optiorecord →
Dec 02, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Excrecord →
Dec 02, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Feesrecord →
Dec 02, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an OTTO Protocrecord →
Dec 02, 2024NoticeSelf-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Variorecord →
Dec 02, 2024NoticeSelf-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange record →
Dec 02, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rulrecord →
Dec 02, 2024NoticeProposed Collection; Comment Request; Extension: Rule 304 of Regulation ATSrecord →
Dec 02, 2024NoticeProposed Collection; Comment Request; Extension: Order Granting a Conditional Exemption Under the Securities Exchange Act of 1934 From the Crecord →
Dec 02, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 17f-1(b)record →
Dec 02, 2024NoticeCallodine Specialty Income Fund and Callodine Capital Management, LPrecord →
Dec 02, 2024NoticeHamilton Lane Private Assets Fund, Hamilton Lane Private Infrastructure Fund, Hamilton Lane Private Secondary Fund and Hamilton Lane Advisorrecord →
Dec 02, 2024NoticeTCW Private Asset Income Fund and TCW Asset Backed Finance Management Company LLCrecord →
Dec 02, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Form 1-E, Regulation Erecord →
Dec 02, 2024NoticeSubmission for OMB Review; Comment Request Extension: Rule 15c2-8record →
Dec 02, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 17f-1(c) and Form X-17F-1Arecord →
Nov 29, 2024NoticeJoint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Datarecord →
Nov 29, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 17e-1record →
Nov 29, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 206(3)-2record →
Nov 29, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Optirecord →
Nov 29, 2024NoticeSelf-Regulatory Organizations; MIAX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rrecord →
Nov 29, 2024NoticeSelf-Regulatory Organizations; MIAX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rrecord →
Nov 29, 2024NoticeSelf-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rulrecord →
Nov 29, 2024NoticeSelf-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rulrecord →
Nov 29, 2024NoticeSelf-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rurecord →
Nov 29, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchangerecord →
Nov 29, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Optiorecord →
Nov 29, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Optiorecord →
Nov 29, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Optiorecord →
Nov 29, 2024NoticeNotice Pursuant to Rule 15c3-3a, Note H(b)(3) Regarding Application of the Customer Protection Rule Reserve Computations With Respect to U.Srecord →
Nov 29, 2024NoticeSunshine Act Meetingsrecord →
Nov 29, 2024NoticeSunshine Act Meetingsrecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; MIAX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rrecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rulrecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rulrecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange record →
Nov 27, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Harmonize NYSE Americanrecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37record →
Nov 27, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.37Erecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rurecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37record →
Nov 27, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-Erecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37record →
Nov 27, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-Erecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rurecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Orrecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fees for Crecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Crecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for record →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Crecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Itrecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Crecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend threcord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change, as Modified by Partial Amendment Nrecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Partial Amendment No.record →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rulrecord →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its record →
Nov 27, 2024NoticeSelf-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice, as Modified by Partial Amendmentrecord →
Nov 26, 2024NoticeGreystone & Co. II LLC; Greystone Employee Investments LPrecord →
Nov 26, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Prrecord →
Nov 26, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Chrecord →
Nov 26, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Exchange's Fees for Top of PHLX record →
Nov 26, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rurecord →
Nov 26, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt an OTTO Protocolrecord →
Nov 26, 2024NoticeSelf-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37record →
Nov 26, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Rule 7.37Erecord →
Nov 26, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Itsrecord →
Nov 26, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rurecord →
Nov 26, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonizrecord →
Nov 26, 2024NoticeProposed Collection; Comment Request; Extension: Rule 303 of Regulation ATSrecord →
Nov 26, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rules 3a68-2 and 3a68-4(c)record →
Nov 26, 2024NoticeProposed Collection; Comment Request; Extension: Form ID-EDGAR Passwordrecord →
Nov 26, 2024NoticeWillow Tree Capital Corporation, et al.record →
Nov 25, 2024NoticeSelf-Regulatory Organizations; LCH SA; Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Partirecord →
Nov 25, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Expand BZX Rule 14.11(l) To Permit therecord →
Nov 25, 2024NoticeSelf-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changrecord →
Nov 22, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Changerecord →
Nov 22, 2024NoticeJoint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System record →
Nov 21, 2024NoticeZscaler, Inc.record →
Nov 21, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Feesrecord →
Nov 21, 2024NoticeSelf-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Natiorecord →
Nov 21, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for trecord →
Nov 21, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Itrecord →
Nov 21, 2024NoticeJoint Industry Plan; Notice of Filing of Proposed Amendment To Add Paragraph (c) to Section 6 of the Plan for the Purpose of Developing and record →
Nov 21, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rurecord →
Nov 21, 2024NoticeSelf-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Corecord →
Nov 21, 2024NoticeSelf-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Partial Amendment No. 1 to Proposed Rule Change To Arecord →
Nov 21, 2024NoticeFigure Certificate Company (“Applicant”)record →
Nov 21, 2024NoticePublic Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Constructive Requests To Withdraw From Registrationrecord →
Nov 20, 2024NoticeSelf-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change by The Options Clearing Corporation Concerrecord →
Nov 20, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rrecord →
Nov 20, 2024NoticeDiamond Hill Securitized Credit Fund and Diamond Hill Capital Management, Inc.record →
Nov 20, 2024NoticePrecidian ETF Trust II, et al.record →
Nov 20, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend threcord →
Nov 20, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Establish Fees for the record →
Nov 20, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Equity 4 To Establish Halt Crorecord →
Nov 20, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rulerecord →
Nov 20, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Section 1003 of trecord →
Nov 20, 2024NoticeSelf-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Chicagrecord →
Nov 20, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establisrecord →
Nov 20, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend NYSE American Rulrecord →
Nov 20, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 17f-6record →
Nov 20, 2024NoticeSubmission for OMB Review; Comment Request; Reinstatement With Change: Rule 12f-1record →
Nov 20, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 301 of Regulation ATSrecord →
Nov 19, 2024RulePrivate Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviewsrecord →
Nov 19, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Secrecord →
Nov 19, 2024NoticeSelf-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Feesrecord →
Nov 19, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Feesrecord →
Nov 19, 2024NoticeSelf-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Operational Risk Managemenrecord →
Nov 19, 2024NoticeSelf-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearecord →
Nov 19, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Secrecord →
Nov 19, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Oprecord →
Nov 19, 2024NoticeSelf-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearecord →
Nov 19, 2024NoticeOptions Price Reporting Authority; Order Disapproving a Proposed Amendment To Modify the OPRA Plan Relating to Dissemination of Exchange Prorecord →
Nov 18, 2024RuleCovered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plansrecord →
Nov 18, 2024RuleConforming Amendments to Commission Rules and Formsrecord →
Nov 18, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Service for Vrecord →
Nov 18, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Service forecord →
Nov 18, 2024NoticeSelf-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Servicerecord →
Nov 18, 2024NoticeSelf-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Servicrecord →
Nov 18, 2024NoticeSelf-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Feerecord →
Nov 18, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend threcord →
Nov 18, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Feerecord →
Nov 18, 2024NoticeSelf-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amerecord →
Nov 18, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE record →
Nov 18, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Permit the Generic Listing and Trarecord →
Nov 18, 2024NoticeSelf-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee record →
Nov 18, 2024NoticeSelf-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Sapphire Lrecord →
Nov 18, 2024NoticeDestra Multi-Alternative Fund and Destra Capital Advisors LLCrecord →
Nov 18, 2024NoticeRedwood Real Estate Income Fund and Redwood Investment Management, LLCrecord →
Nov 18, 2024NoticeSunshine Act Meetingsrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its record →
Nov 14, 2024NoticeSelf-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rulrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower threcord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower the Current Oprecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approacrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approachrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approachrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; the Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapproverecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Itsrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 To record →
Nov 14, 2024NoticeSelf-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee record →
Nov 14, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.4-O To record →
Nov 14, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt Temporary Rule 7.34-E(T) and Revise Rules record →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approachrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rulrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Excrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice, as Modified by Partial Amendmentrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change, as Modified by Partial Amendment Nrecord →
Nov 14, 2024NoticeSelf-Regulatory Organizations; Nasdaq ISE, LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule record →
Nov 14, 2024NoticeSelf-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rulrecord →
Nov 13, 2024NoticeSelf-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend threcord →
Nov 13, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Itsrecord →
Nov 13, 2024NoticeJoint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Prrecord →
Nov 13, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Itsrecord →
Nov 13, 2024NoticeSelf-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Frecord →
Nov 13, 2024NoticeFranklin Lexington Private Markets Fund, et al.record →
Nov 12, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings Torecord →
Nov 12, 2024NoticeSelf-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Itsrecord →
Nov 12, 2024NoticeSelf-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its record →
Nov 12, 2024NoticeSelf-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend itsrecord →
Nov 12, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its record →
Nov 12, 2024NoticeSelf-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describerecord →
Nov 12, 2024NoticeSunshine Act Meetingsrecord →
Nov 08, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 17f-2(a)record →
Nov 08, 2024NoticeSubmission for OMB Review; Comment Request Extension: Rule 17a-5(c)record →
Nov 08, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Regulation ACrecord →
Nov 08, 2024NoticeProposed Collection; Comment Request; Extension: Municipal Securities Disclosure (Exchange Act Rule 15c2-12)record →
Nov 08, 2024NoticeProposed Collection; Comment Request; Extension: Rule 606 of Regulation NMSrecord →
Nov 08, 2024NoticeSubmission for OMB Review; Comment Request; Extension: Rule 12d2-1record →
Nov 08, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee record →
Nov 08, 2024NoticeSelf-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its record →
Nov 08, 2024NoticeSecurity-Based Swap Data Repositories; KOR Reporting, Inc.; Order Approving Application for Registration as a Security-Based Swap Data Reposrecord →
Nov 07, 2024NoticeSelf-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Exchangrecord →
Nov 07, 2024NoticeSelf-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Exchangrecord →
Nov 07, 2024NoticeSelf-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Exchanrecord →
Nov 07, 2024NoticeSelf-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Sharerecord →
Nov 07, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Secrecord →
Nov 06, 2024NoticeSelf-Regulatory Organizations; Cboe Exchange, Inc.; Order Disapproving a Proposed Rule Change To Adopt a New Rule Regarding Order and Executrecord →
Nov 06, 2024NoticeSelf-Regulatory Organizations; The Depository Trust Company; Order Approving of Proposed Rule Change To Decommission the ID Net Servicerecord →
Nov 06, 2024NoticeSelf-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Decommission the ID Net record →
Nov 06, 2024NoticeSelf-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Options 3, Section 13 Related to XNDrecord →

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