| Dec 31, 2024 | Notice | The Toronto-Dominion Bank, et al.; Notice of Application and Temporary Order | record → |
| Dec 30, 2024 | Notice | Kurv ETF Trust and Kurv Investment Management LLC | record → |
| Dec 30, 2024 | Notice | Morgan Stanley Direct Lending Fund, et al. | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Certain Initial Listing Liqui | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update It | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update its Fee | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt Temporary Rule 7.34-E | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx R | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update its | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as M | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend t | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to List and Trade Shares of the BondBloxx | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31-E To Adopt the Selective Midpoin | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Ex | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Ce | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its F | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Upd | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees | record → |
| Dec 30, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Assume Operational Responsibility fo | record → |
| Dec 30, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Regulation SCI, Form SCI | record → |
| Dec 30, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 17Ad-2(c), (d), and (h) | record → |
| Dec 27, 2024 | Rule | EDGAR Filer Access and Account Management | record → |
| Dec 27, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Regulation BTR | record → |
| Dec 27, 2024 | Notice | Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Pol | record → |
| Dec 27, 2024 | Notice | Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Sch | record → |
| Dec 27, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update It | record → |
| Dec 27, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its | record → |
| Dec 27, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To | record → |
| Dec 27, 2024 | Notice | Proposed Collection; Comment Request; Extension for Generic ICR: Generic Clearance for the Collection of Qualitative Feedback on Agency Serv | record → |
| Dec 27, 2024 | Notice | Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Upd | record → |
| Dec 27, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change To Amend Certain Rules Related to Flexible Exchange Op | record → |
| Dec 27, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Dec 26, 2024 | Notice | MidCap Financial Investment Corporation, et al. | record → |
| Dec 26, 2024 | Notice | Thirdline Real Estate Income Fund, et al. | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rul | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Cha | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Ch | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To List and Trade Shar | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to DTC's N | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rul | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Se | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Sections 140 and | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Det | record → |
| Dec 26, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Regulation G | record → |
| Dec 26, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Form F-X | record → |
| Dec 26, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 204 | record → |
| Dec 26, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 239 | record → |
| Dec 26, 2024 | Notice | Proposed Collection; Comment Request; Extension: Electronic Data Collection System Form TCR | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 19.3, | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 19.3, | record → |
| Dec 26, 2024 | Notice | Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Clari | record → |
| Dec 26, 2024 | Notice | Sunshine Act Meetings | record → |
| Dec 23, 2024 | Notice | Proposed Collection; Comment Request; Reinstatement Without Change: Rule 10A-1 | record → |
| Dec 23, 2024 | Notice | Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Am | record → |
| Dec 23, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Op | record → |
| Dec 23, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To | record → |
| Dec 23, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify A | record → |
| Dec 23, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options 7, | record → |
| Dec 23, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Sec | record → |
| Dec 23, 2024 | Notice | Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Chang | record → |
| Dec 23, 2024 | Notice | Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modif | record → |
| Dec 23, 2024 | Notice | Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Updat | record → |
| Dec 23, 2024 | Notice | Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2025 | record → |
| Dec 20, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To | record → |
| Dec 20, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE | record → |
| Dec 20, 2024 | Notice | Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Sapphire, | record → |
| Dec 20, 2024 | Notice | Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modif | record → |
| Dec 20, 2024 | Notice | Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Det | record → |
| Dec 20, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change T | record → |
| Dec 20, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's | record → |
| Dec 20, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 18a-10 | record → |
| Dec 20, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 15c3-4 | record → |
| Dec 20, 2024 | Notice | Amended and Restated Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap | record → |
| Dec 19, 2024 | Notice | Coatue CTEK Fund and Coatue Management, L.L.C. | record → |
| Dec 19, 2024 | Notice | First Eagle Private Credit Fund and First Eagle Investment Management, LLC | record → |
| Dec 19, 2024 | Notice | Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Byl | record → |
| Dec 19, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend th | record → |
| Dec 19, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca | record → |
| Dec 19, 2024 | Notice | Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Decommission QCC With Stock Orders and Complex Q | record → |
| Dec 19, 2024 | Notice | Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Decommission QCC Wit | record → |
| Dec 19, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's | record → |
| Dec 18, 2024 | Notice | Joint Industry Plan; Order Approving Amendments to the National Market System Plan Governing the Consolidated Audit Trail Designed To Implem | record → |
| Dec 18, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 17a-8 | record → |
| Dec 18, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 15a-6 | record → |
| Dec 18, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 6a-3 | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to Advance Notice To Raise Prefunded Liquid | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower th | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower the Options Re | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Sc | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pea | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Ru | record → |
| Dec 18, 2024 | Notice | Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pea | record → |
| Dec 17, 2024 | Notice | Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approac | record → |
| Dec 17, 2024 | Notice | Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach | record → |
| Dec 17, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach | record → |
| Dec 17, 2024 | Notice | Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee S | record → |
| Dec 17, 2024 | Notice | Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceeding | record → |
| Dec 17, 2024 | Notice | Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Inve | record → |
| Dec 17, 2024 | Notice | Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Investmen | record → |
| Dec 17, 2024 | Notice | MX2 LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities E | record → |
| Dec 17, 2024 | Notice | Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agen | record → |
| Dec 17, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Fees B | record → |
| Dec 17, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Fees B | record → |
| Dec 16, 2024 | Rule | Commission's Organization and Program Management Regulations | record → |
| Dec 16, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the Bitwise Bitcoin and | record → |
| Dec 16, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Ame | record → |
| Dec 16, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca | record → |
| Dec 16, 2024 | Notice | Self-Regulatory Organizations; MIAX Sapphire, LLC; Order Declaring Effective a Minor Rule Violation Plan | record → |
| Dec 16, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change | record → |
| Dec 16, 2024 | Notice | Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and | record → |
| Dec 16, 2024 | Notice | Proposed Collection; Comment Request; Reinstatement Without Change: Reports of Evidence of Material Violations | record → |
| Dec 16, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 17f-4 | record → |
| Dec 16, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 22e-3 | record → |
| Dec 16, 2024 | Notice | Sunshine Act Meetings | record → |
| Dec 16, 2024 | Notice | Sunshine Act Meetings | record → |
| Dec 13, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rules 6a-1 and 6a-2, Form 1 | record → |
| Dec 13, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 17g-4 | record → |
| Dec 13, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Form ADV-E | record → |
| Dec 13, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 20a-1 | record → |
| Dec 13, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rules 15Fb1-1 Through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W | record → |
| Dec 13, 2024 | Notice | Global X Venture Fund and Global X Management Company, LLC | record → |
| Dec 13, 2024 | Notice | HarbourVest Private Investments Fund and Fund HarbourVest Registered Advisers L.P. | record → |
| Dec 13, 2024 | Notice | Capital Group KKR Multi-Sector+, Capital Group KKR Core Plus+ and Capital Research and Management Company | record → |
| Dec 13, 2024 | Notice | Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees | record → |
| Dec 13, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determi | record → |
| Dec 13, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend | record → |
| Dec 13, 2024 | Notice | Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Ame | record → |
| Dec 12, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 342 | record → |
| Dec 12, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.4 | record → |
| Dec 12, 2024 | Notice | Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 3 | record → |
| Dec 12, 2024 | Notice | Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.4(a | record → |
| Dec 12, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Auction | record → |
| Dec 12, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Auc | record → |
| Dec 12, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Se | record → |
| Dec 12, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Ru | record → |
| Dec 12, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Ce | record → |
| Dec 11, 2024 | Notice | Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Firm and Engagement Metrics and Related Amendments to PCAOB | record → |
| Dec 11, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Form 1-U | record → |
| Dec 11, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Form 1-K | record → |
| Dec 11, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Form 1-Z | record → |
| Dec 11, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rul | record → |
| Dec 11, 2024 | Notice | Self-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICC Operati | record → |
| Dec 11, 2024 | Notice | Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relati | record → |
| Dec 11, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Equity 4, Rule 4759 Concerning | record → |
| Dec 11, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the Exchange's Fees for Top of PHLX Option | record → |
| Dec 11, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Dec 11, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Dec 11, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Dec 11, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule | record → |
| Dec 11, 2024 | Notice | Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Dec 11, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 15Ga-2 and Form ABS-15G | record → |
| Dec 10, 2024 | Proposed Rule | List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act | record → |
| Dec 10, 2024 | Notice | Proposed Collection; Comment Request; Extension: Form N-8A | record → |
| Dec 10, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E | record → |
| Dec 10, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Amend NYSE Rule 7.31(f)(1) | record → |
| Dec 09, 2024 | Notice | Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substanti | record → |
| Dec 09, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether T | record → |
| Dec 09, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its | record → |
| Dec 09, 2024 | Notice | Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule | record → |
| Dec 09, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Form 4-Statement of Changes in Beneficial Ownership of Securities | record → |
| Dec 09, 2024 | Notice | Sunshine Act Meetings | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporatio | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide that | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for I | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for I | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for I | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for I | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Dealer Status | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change by The Options Clearing Cor | record → |
| Dec 06, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establis | record → |
| Dec 06, 2024 | Notice | In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Findings, Opinion, and Ord | record → |
| Dec 06, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 154 | record → |
| Dec 05, 2024 | Notice | Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Firm Reporting | record → |
| Dec 05, 2024 | Notice | Deregistration Under Section 8(f) of the Investment Company Act of 1940 | record → |
| Dec 05, 2024 | Notice | Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rul | record → |
| Dec 05, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Cboe C2 Exchange, Inc.; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGA Exch | record → |
| Dec 04, 2024 | Rule | Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of Proposed Minor Rule Violation Plan | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; National Securities Clearing Corporation; The Depository Trust Company; Fixed Income Clearing Corporation; Or | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change, as Modified by Partial Ame | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Disapproving Proposed Rule Change To Increase Fees for Certain Market Data | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FLEX Options | record → |
| Dec 03, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Form N-8F | record → |
| Dec 03, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 17Ad-11 | record → |
| Dec 03, 2024 | Notice | Privacore PCAAM Alternative Income Fund, et al. | record → |
| Dec 03, 2024 | Notice | Antares Private Credit Fund and Antares Capital Credit Advisers LLC | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3120 | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt New F | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Bitwise 10 Crypto I | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Rules Related | record → |
| Dec 03, 2024 | Notice | Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 19.3, | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Sec | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Sec | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3120 | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Op | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To List and Trade Option C | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rul | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3120 | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Optio | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exc | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an OTTO Protoc | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Vario | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange | record → |
| Dec 02, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rul | record → |
| Dec 02, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 304 of Regulation ATS | record → |
| Dec 02, 2024 | Notice | Proposed Collection; Comment Request; Extension: Order Granting a Conditional Exemption Under the Securities Exchange Act of 1934 From the C | record → |
| Dec 02, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 17f-1(b) | record → |
| Dec 02, 2024 | Notice | Callodine Specialty Income Fund and Callodine Capital Management, LP | record → |
| Dec 02, 2024 | Notice | Hamilton Lane Private Assets Fund, Hamilton Lane Private Infrastructure Fund, Hamilton Lane Private Secondary Fund and Hamilton Lane Advisor | record → |
| Dec 02, 2024 | Notice | TCW Private Asset Income Fund and TCW Asset Backed Finance Management Company LLC | record → |
| Dec 02, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Form 1-E, Regulation E | record → |
| Dec 02, 2024 | Notice | Submission for OMB Review; Comment Request Extension: Rule 15c2-8 | record → |
| Dec 02, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 17f-1(c) and Form X-17F-1A | record → |
| Nov 29, 2024 | Notice | Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data | record → |
| Nov 29, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 17e-1 | record → |
| Nov 29, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 206(3)-2 | record → |
| Nov 29, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Opti | record → |
| Nov 29, 2024 | Notice | Self-Regulatory Organizations; MIAX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange R | record → |
| Nov 29, 2024 | Notice | Self-Regulatory Organizations; MIAX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange R | record → |
| Nov 29, 2024 | Notice | Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rul | record → |
| Nov 29, 2024 | Notice | Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rul | record → |
| Nov 29, 2024 | Notice | Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Ru | record → |
| Nov 29, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange | record → |
| Nov 29, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Optio | record → |
| Nov 29, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Optio | record → |
| Nov 29, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Optio | record → |
| Nov 29, 2024 | Notice | Notice Pursuant to Rule 15c3-3a, Note H(b)(3) Regarding Application of the Customer Protection Rule Reserve Computations With Respect to U.S | record → |
| Nov 29, 2024 | Notice | Sunshine Act Meetings | record → |
| Nov 29, 2024 | Notice | Sunshine Act Meetings | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; MIAX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange R | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rul | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rul | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Harmonize NYSE American | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.37E | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Ru | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Ru | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Or | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fees for C | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for C | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for C | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend It | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for C | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend th | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change, as Modified by Partial Amendment N | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rul | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Nov 27, 2024 | Notice | Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice, as Modified by Partial Amendment | record → |
| Nov 26, 2024 | Notice | Greystone & Co. II LLC; Greystone Employee Investments LP | record → |
| Nov 26, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Pr | record → |
| Nov 26, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Ch | record → |
| Nov 26, 2024 | Notice | Self-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, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Ru | record → |
| Nov 26, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt an OTTO Protocol | record → |
| Nov 26, 2024 | Notice | Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 | record → |
| Nov 26, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Rule 7.37E | record → |
| Nov 26, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Nov 26, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Ru | record → |
| Nov 26, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmoniz | record → |
| Nov 26, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 303 of Regulation ATS | record → |
| Nov 26, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rules 3a68-2 and 3a68-4(c) | record → |
| Nov 26, 2024 | Notice | Proposed Collection; Comment Request; Extension: Form ID-EDGAR Password | record → |
| Nov 26, 2024 | Notice | Willow Tree Capital Corporation, et al. | record → |
| Nov 25, 2024 | Notice | Self-Regulatory Organizations; LCH SA; Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Parti | record → |
| Nov 25, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Expand BZX Rule 14.11(l) To Permit the | record → |
| Nov 25, 2024 | Notice | Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Chang | record → |
| Nov 22, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change | record → |
| Nov 22, 2024 | Notice | Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System | record → |
| Nov 21, 2024 | Notice | Zscaler, Inc. | record → |
| Nov 21, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees | record → |
| Nov 21, 2024 | Notice | Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Natio | record → |
| Nov 21, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for t | record → |
| Nov 21, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend It | record → |
| Nov 21, 2024 | Notice | Joint 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, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Ru | record → |
| Nov 21, 2024 | Notice | Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Co | record → |
| Nov 21, 2024 | Notice | Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Partial Amendment No. 1 to Proposed Rule Change To A | record → |
| Nov 21, 2024 | Notice | Figure Certificate Company (“Applicant”) | record → |
| Nov 21, 2024 | Notice | Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Constructive Requests To Withdraw From Registration | record → |
| Nov 20, 2024 | Notice | Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change by The Options Clearing Corporation Concer | record → |
| Nov 20, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed R | record → |
| Nov 20, 2024 | Notice | Diamond Hill Securitized Credit Fund and Diamond Hill Capital Management, Inc. | record → |
| Nov 20, 2024 | Notice | Precidian ETF Trust II, et al. | record → |
| Nov 20, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend th | record → |
| Nov 20, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Establish Fees for the | record → |
| Nov 20, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Equity 4 To Establish Halt Cro | record → |
| Nov 20, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule | record → |
| Nov 20, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Section 1003 of t | record → |
| Nov 20, 2024 | Notice | Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Chicag | record → |
| Nov 20, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establis | record → |
| Nov 20, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend NYSE American Rul | record → |
| Nov 20, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 17f-6 | record → |
| Nov 20, 2024 | Notice | Submission for OMB Review; Comment Request; Reinstatement With Change: Rule 12f-1 | record → |
| Nov 20, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 301 of Regulation ATS | record → |
| Nov 19, 2024 | Rule | Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews | record → |
| Nov 19, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Sec | record → |
| Nov 19, 2024 | Notice | Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees | record → |
| Nov 19, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees | record → |
| Nov 19, 2024 | Notice | Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Operational Risk Managemen | record → |
| Nov 19, 2024 | Notice | Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pea | record → |
| Nov 19, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Sec | record → |
| Nov 19, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Op | record → |
| Nov 19, 2024 | Notice | Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pea | record → |
| Nov 19, 2024 | Notice | Options Price Reporting Authority; Order Disapproving a Proposed Amendment To Modify the OPRA Plan Relating to Dissemination of Exchange Pro | record → |
| Nov 18, 2024 | Rule | Covered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plans | record → |
| Nov 18, 2024 | Rule | Conforming Amendments to Commission Rules and Forms | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Service for V | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Service fo | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Service | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Servic | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fee | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend th | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fee | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Ame | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Permit the Generic Listing and Tra | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee | record → |
| Nov 18, 2024 | Notice | Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Sapphire L | record → |
| Nov 18, 2024 | Notice | Destra Multi-Alternative Fund and Destra Capital Advisors LLC | record → |
| Nov 18, 2024 | Notice | Redwood Real Estate Income Fund and Redwood Investment Management, LLC | record → |
| Nov 18, 2024 | Notice | Sunshine Act Meetings | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rul | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Sch | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower th | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower the Current Op | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approac | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; the Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 To | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee | record → |
| Nov 14, 2024 | Notice | Self-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, 2024 | Notice | Self-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, 2024 | Notice | Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Approach | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rul | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exc | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice, as Modified by Partial Amendment | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change, as Modified by Partial Amendment N | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule | record → |
| Nov 14, 2024 | Notice | Self-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rul | record → |
| Nov 13, 2024 | Notice | Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend th | record → |
| Nov 13, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Nov 13, 2024 | Notice | Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Pr | record → |
| Nov 13, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Nov 13, 2024 | Notice | Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its F | record → |
| Nov 13, 2024 | Notice | Franklin Lexington Private Markets Fund, et al. | record → |
| Nov 12, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To | record → |
| Nov 12, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Nov 12, 2024 | Notice | Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Nov 12, 2024 | Notice | Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its | record → |
| Nov 12, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its | record → |
| Nov 12, 2024 | Notice | Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe | record → |
| Nov 12, 2024 | Notice | Sunshine Act Meetings | record → |
| Nov 08, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 17f-2(a) | record → |
| Nov 08, 2024 | Notice | Submission for OMB Review; Comment Request Extension: Rule 17a-5(c) | record → |
| Nov 08, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Regulation AC | record → |
| Nov 08, 2024 | Notice | Proposed Collection; Comment Request; Extension: Municipal Securities Disclosure (Exchange Act Rule 15c2-12) | record → |
| Nov 08, 2024 | Notice | Proposed Collection; Comment Request; Extension: Rule 606 of Regulation NMS | record → |
| Nov 08, 2024 | Notice | Submission for OMB Review; Comment Request; Extension: Rule 12d2-1 | record → |
| Nov 08, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee | record → |
| Nov 08, 2024 | Notice | Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its | record → |
| Nov 08, 2024 | Notice | Security-Based Swap Data Repositories; KOR Reporting, Inc.; Order Approving Application for Registration as a Security-Based Swap Data Repos | record → |
| Nov 07, 2024 | Notice | Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Exchang | record → |
| Nov 07, 2024 | Notice | Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Exchang | record → |
| Nov 07, 2024 | Notice | Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Exchan | record → |
| Nov 07, 2024 | Notice | Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Share | record → |
| Nov 07, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Sec | record → |
| Nov 06, 2024 | Notice | Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Disapproving a Proposed Rule Change To Adopt a New Rule Regarding Order and Execut | record → |
| Nov 06, 2024 | Notice | Self-Regulatory Organizations; The Depository Trust Company; Order Approving of Proposed Rule Change To Decommission the ID Net Service | record → |
| Nov 06, 2024 | Notice | Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Decommission the ID Net | record → |
| Nov 06, 2024 | Notice | Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Options 3, Section 13 Related to XND | record → |