Securities and Exchange Commission
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Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of Trading Platform
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of Trading Platform
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements
Read the original on FederalRegister.gov →Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.18, 7.35(a)(8)(A), and 7.35(f) Regarding Trading Halts
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Annual Listing Fees Applicable to Exchange-Traded Products Listed on the Exchange, Which Are Set Forth in BZX Rule 14.13(b)(2)(E), To Eliminate the Annual Listing Fee Applicable to Legacy Listings
Read the original on FederalRegister.gov →Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.18-E, 7.35-E(a)(8)(A), and 7.35-E(f) Regarding Trading Halts
Read the original on FederalRegister.gov →Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of Trading Platform
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements
Read the original on FederalRegister.gov →Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Clearing Member Standards
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of Trading Platform
Read the original on FederalRegister.gov →List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Official abstract: The Securities and Exchange Commission ("Commission") is publishing a list of rules to be reviewed pursuant to section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on whether the rules should be continued without change, or should be amended or rescinded to minimize any significant economic impact of the rules upon a substantial number of small entities.
Read the original on FederalRegister.gov →Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Restore Former Rule 123D
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Corporate Listing Fees on the Exchange
Read the original on FederalRegister.gov →Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.10 (Clearly Erroneous Executions)
Read the original on FederalRegister.gov →Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Revisions to OCC Rule 213-Cybersecurity Obligations
Read the original on FederalRegister.gov →FIS Trust and Faith Investor Services, LLC
Read the original on FederalRegister.gov →Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-1
Read the original on FederalRegister.gov →Agency Information Collection Activities; Proposed Collection; Comment Request; Extension Rule: 15c2-7
Read the original on FederalRegister.gov →Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17Ad-3(b)
Read the original on FederalRegister.gov →Neostellar Capital Corp., et al.
Read the original on FederalRegister.gov →Notice of Intention To Cancel Registrations of Certain Transfer Agents
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.33(g) and Rule 5.34
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Listing Rules Regarding Dually-Listed Securities
Read the original on FederalRegister.gov →Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Non-Substantive Correction to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Edits to Exchange Rule 1703, Consolidated Audit Trail Compliance Rule-Industry Member Data Reporting
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 and Rule 19.4 To Establish Generic Listing Criteria and Continued Listing Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets and To Permit the Listing of Options on Exchange-Traded Funds
Read the original on FederalRegister.gov →Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize NYSE Rule 3220 With Certain Changes by FINRA
Read the original on FederalRegister.gov →Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rules 15Ba1-1 to 15Ba1-8-Registration of Municipal Advisors and Forms MA, MA-I, MA-W, and MA-NR
Read the original on FederalRegister.gov →Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status
Read the original on FederalRegister.gov →Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-2
Read the original on FederalRegister.gov →Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Amend the CMESC Risk Management Framework (“RMF”) Related to CMESC's Default Management Practices
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.1(a)(3) To Describe When Unpriced Orders Are Eligible for Execution and To Amend Rule 11.6(q)(2) To Clarify the Expiration of Day Orders Entered During the Overnight Trading Session or Order Acceptance Queueing Time
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Read the original on FederalRegister.gov →Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Offer Complimentary Products and Services
Read the original on FederalRegister.gov →Interval Fund Modernization; Expansion of Multiple Share Class to Registered Closed-End Management Investment Companies and Business Development Companies
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend FINRA Rule 2210 (Communications With the Public)
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Section 4 (Multiply Listed Options Fees)
Read the original on FederalRegister.gov →Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Section 2
Read the original on FederalRegister.gov →Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility To Amend Section V. Manual Transaction Fees of the Fee Schedule To Increase QOO and FOO Order Fees in Non-Penny Interval Classes and To Increase the Floor Broker Enhanced Rebate in Non-Penny Interval Classes
Read the original on FederalRegister.gov →Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Warrant Performance Incentive Program
Read the original on FederalRegister.gov →Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-17f-2
Read the original on FederalRegister.gov →Stellus Capital Investment Corporation, et al.
Read the original on FederalRegister.gov →Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-3
Read the original on FederalRegister.gov →Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-22
Read the original on FederalRegister.gov →Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-7 and Form N-MFP
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Permit the Listing of Binary Options Overlying Key Performance Indicators Reported by Certain Issuers of Stock
Read the original on FederalRegister.gov →Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4120 To Set Forth Specific Requirements for Halting and Opening Trading in Exchange-Traded Products During 23/5 Trading
Read the original on FederalRegister.gov →Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Amend Rule 410, Rule 101, the Capped Liquidity Facility Procedure, and the Liquidity Risk Management Policy
Read the original on FederalRegister.gov →Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify the Priority Customer Rebate Program Table for Certain Transactions in Complex Orders
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the LTSE Fee Schedule To Add an Incentive Program for Market Makers
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market-Wide Speed Bump and the Kill Switch
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market-Wide Speed Bump and Kill Switch
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.270 (Clearly Erroneous Executions) in Light of the Commission's Approval of Overnight Protected Bands for 23/5 Trading
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 and Rule 19.4 To Establish Generic Listing Criteria and Continued Listing Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets and To Permit the Listing of Options on Exchange-Traded Funds
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Read the original on FederalRegister.gov →Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements
Read the original on FederalRegister.gov →Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-8B-2
Read the original on FederalRegister.gov →Investment Company Cross Trading
Official abstract: The Securities and Exchange Commission (the "Commission") is proposing to amend the rule under the Investment Company Act of 1940 (the "Investment Company Act") that permits securities transactions between a registered investment company and certain affiliates (referred to as "cross trades"), subject to conditions. The proposed amendments are designed to expand the scope of securities that are eligible for cross trading, modernize the rule's conditions, and enhance investor protection. The Commission also proposes to require aggregated reporting of trading activity and cross trades in Form N- PORT and Form N-MFP.
Read the original on FederalRegister.gov →