Fintech Rule Tracker — 2022

2022-09-28

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BYX Rule 11.17, Clearly Erroneous Executions

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BYX Rule 11.17, Clearly Erroneous Executions
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Listings Standards Provided for in Chapter XIV of the Exchange's Rulebook

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Listings Standards Provided for in Chapter XIV of the Exchange's Rulebook
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 11.15, Clearly Erroneous Executions

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 11.15, Clearly Erroneous Executions
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Listings Standards Provided for in Chapter XIV of the Exchange's Rulebook

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Listings Standards Provided for in Chapter XIV of the Exchange's Rulebook
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGA Rule 11.15, Clearly Erroneous Executions

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGA Rule 11.15, Clearly Erroneous Executions
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 Concerning Drill-Through Protection and Fat Finger Check

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 Concerning Drill-Through Protection and Fat Finger Check
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend LTSE Rule 11.270, Clearly Erroneous Executions

Title: Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend LTSE Rule 11.270, Clearly Erroneous Executions
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC To Amend Its Fee Schedule

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC To Amend Its Fee Schedule
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Listings Standards Provided for in Chapter XIV of the Exchange's Rulebook

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Listings Standards Provided for in Chapter XIV of the Exchange's Rulebook
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.

Title: Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Options Fee Schedule

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Options Fee Schedule
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE National Schedule of Fees and Rebates

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE National Schedule of Fees and Rebates
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 2621, Clearly Erroneous Executions

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 2621, Clearly Erroneous Executions
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change References in the Codes of Arbitration Procedure From the Neutral List Selection System to the List Selection Algorithm

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change References in the Codes of Arbitration Procedure From the Neutral List Selection System to the List Selection Algorithm
Record Date: 09/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,429.07

2022-09-21

Nuveen Churchill Direct Lending Corp., et al.

Title: Nuveen Churchill Direct Lending Corp., et al.
Record Date: 09/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,436.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Trading Permit Fees in the MIAX PEARL Options Fee Schedule

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Trading Permit Fees in the MIAX PEARL Options Fee Schedule
Record Date: 09/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,436.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership Fees
Record Date: 09/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,436.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Fees for Market Data

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Fees for Market Data
Record Date: 09/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,436.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees at Options 7, Section 6

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees at Options 7, Section 6
Record Date: 09/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,436.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 to Add Port Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 to Add Port Fees
Record Date: 09/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,436.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm
Record Date: 09/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,436.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Expand the Nonstandard Expirations Pilot Program To Include P.M.-Settled Options on the Mini-S&P 500 Index That Expire on Tuesday or Thursday

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Expand the Nonstandard Expirations Pilot Program To Include P.M.-Settled Options on the Mini-S&P 500 Index That Expire on Tuesday or Thursday
Record Date: 09/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,436.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Reflect the Fee for Directed Orders Routed by the Exchange to an Alternative Trading System

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Reflect the Fee for Directed Orders Routed by the Exchange to an Alternative Trading System
Record Date: 09/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,436.07

Privacy Act of 1974; System of Records

Title: Privacy Act of 1974; System of Records
Record Date: 09/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,436.07

2022-09-14

Proposed Collection; Comment Request; Extension: Rule 17a-6

Title: Proposed Collection; Comment Request; Extension: Rule 17a-6
Record Date: 09/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,443.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Complex Orders in Connection With a Technology Migration

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Complex Orders in Connection With a Technology Migration
Record Date: 09/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,443.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Cboe Rule 5.6 and Cboe Rule 5.33 To Allow Delta-Adjusted at Close Orders To Be Submitted in FLEX Equity Options

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Cboe Rule 5.6 and Cboe Rule 5.33 To Allow Delta-Adjusted at Close Orders To Be Submitted in FLEX Equity Options
Record Date: 09/14/2022
Event Classification: deadline
Age Or Deadline Days: 1,443.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 7

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 7
Record Date: 09/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,443.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 5

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 5
Record Date: 09/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,443.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 6

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 6
Record Date: 09/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,443.07

Ares Capital Corporation, et al.

Title: Ares Capital Corporation, et al.
Record Date: 09/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,443.07

2022-09-07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Relating to Minimum Market-Maker Quote Size

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Relating to Minimum Market-Maker Quote Size
Record Date: 09/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,450.07

Self-Regulatory Organizations; NYSE American, LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rules 997NY, 997.1NY, 997.2NY and 997.3NY and Delete Paragraph (d) to Rule 957NY

Title: Self-Regulatory Organizations; NYSE American, LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rules 997NY, 997.1NY, 997.2NY and 997.3NY and Delete Paragraph (d) to Rule 957NY
Record Date: 09/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,450.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.78-O and Adopt New Rules Related Thereto and Delete Paragraph (d) to Rule 6.69-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.78-O and Adopt New Rules Related Thereto and Delete Paragraph (d) to Rule 6.69-O
Record Date: 09/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,450.07

In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Order Instituting Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934

Title: In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Order Instituting Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Record Date: 09/07/2022
Event Classification: award
Age Or Deadline Days: 1,450.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,450.07

2022-10-26

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendments No. 1, 2, 3, and 4 and Notice of No Objection to Advance Notice, as Modified by Partial Amendments No. 1, 2, 3, and 4 Relating to OCC's Adoption of Cloud Infrastructure for New Clearing, Risk Management, and Data Management Applications

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendments No. 1, 2, 3, and 4 and Notice of No Objection to Advance Notice, as Modified by Partial Amendments No. 1, 2, 3, and 4 Relating to OCC's Adoption of Cloud Infrastructure for New Clearing, Risk Management, and Data Management Applications
Record Date: 10/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,401.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice and Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Investment Management Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice and Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Investment Management Procedures
Record Date: 10/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,401.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.44-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.44-E
Record Date: 10/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,401.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.44

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.44
Record Date: 10/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,401.07

Tractor Supply Company and Orscheln Farm and Home LLC; Analysis of Agreement Containing Consent Orders To Aid Public Comment

Title: Tractor Supply Company and Orscheln Farm and Home LLC; Analysis of Agreement Containing Consent Orders To Aid Public Comment
Record Date: 10/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,401.07

Fair Credit Reporting; Facially False Data

Title: Fair Credit Reporting; Facially False Data
Record Date: 10/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,401.07

Partial Rule Exemption for Gilbarco, Inc.

Title: Partial Rule Exemption for Gilbarco, Inc.
Record Date: 10/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,401.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 10/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,401.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 10/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,401.07

2022-10-19

Credit Union Advisory Council Meeting

Title: Credit Union Advisory Council Meeting
Record Date: 10/19/2022
Event Classification: alert
Age Or Deadline Days: 1,408.07

Consumer Advisory Board Meeting

Title: Consumer Advisory Board Meeting
Record Date: 10/19/2022
Event Classification: alert
Age Or Deadline Days: 1,408.07

Community Bank Advisory Council Meeting

Title: Community Bank Advisory Council Meeting
Record Date: 10/19/2022
Event Classification: alert
Age Or Deadline Days: 1,408.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Procedures Set Forth in the Custody Guide and the Underwriting Guide Including the Policy Statement on the Eligibility of Foreign Securities

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Procedures Set Forth in the Custody Guide and the Underwriting Guide Including the Policy Statement on the Eligibility of Foreign Securities
Record Date: 10/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,408.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify and Update GSD Rules, MBSD Rules and EPN Rules

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify and Update GSD Rules, MBSD Rules and EPN Rules
Record Date: 10/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,408.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX Options 7

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX Options 7
Record Date: 10/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,408.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule
Record Date: 10/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,408.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee
Record Date: 10/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,408.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee
Record Date: 10/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,408.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4757

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4757
Record Date: 10/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,408.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 10/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,408.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule
Record Date: 10/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,408.07

2022-10-12

Energy Labeling Rule

Title: Energy Labeling Rule
Record Date: 10/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,415.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Waive Certain Port-Related Fees at Equity 7, Section 3

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Waive Certain Port-Related Fees at Equity 7, Section 3
Record Date: 10/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,415.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 10/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,415.07

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 Amend Exchange Rule 5.34(b) Related to Price Protections and Risk Controls for Complex Orders

Title: 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 Amend Exchange Rule 5.34(b) Related to Price Protections and Risk Controls for Complex Orders
Record Date: 10/12/2022
Event Classification: award
Age Or Deadline Days: 1,415.07

Submission for OMB Review; Comment Request; Extension: Form F-7

Title: Submission for OMB Review; Comment Request; Extension: Form F-7
Record Date: 10/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,415.07

Submission for OMB Review; Comment Request; Extension: Form F-1

Title: Submission for OMB Review; Comment Request; Extension: Form F-1
Record Date: 10/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,415.07

Submission for OMB Review; Comment Request; Extension: Rule 18a-4

Title: Submission for OMB Review; Comment Request; Extension: Rule 18a-4
Record Date: 10/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,415.07

Submission for OMB Review; Comment Request; Extension: Form S-4

Title: Submission for OMB Review; Comment Request; Extension: Form S-4
Record Date: 10/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,415.07

Submission for OMB Review; Comment Request; Extension: Form F-4

Title: Submission for OMB Review; Comment Request; Extension: Form F-4
Record Date: 10/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,415.07

2022-10-05

Prohibition on Inclusion of Adverse Information in Consumer Reporting in Cases of Human Trafficking (Regulation V); Correction

Title: Prohibition on Inclusion of Adverse Information in Consumer Reporting in Cases of Human Trafficking (Regulation V); Correction
Record Date: 10/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,422.07

Neuberger Berman BDC LLC, et al.

Title: Neuberger Berman BDC LLC, et al.
Record Date: 10/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,422.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Record Date: 10/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,422.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Exchange To Declare a Regulatory Halt

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Exchange To Declare a Regulatory Halt
Record Date: 10/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,422.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 10/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,422.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 10/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,422.07

Constitution Capital Private Markets Fund, LLC and Constitution Capital PM, LP

Title: Constitution Capital Private Markets Fund, LLC and Constitution Capital PM, LP
Record Date: 10/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,422.07

2022-11-30

Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, and MEMX LLC Concerning Options-Related Market Surveillance

Title: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, and MEMX LLC Concerning Options-Related Market Surveillance
Record Date: 11/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,366.07

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 11/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,366.07

2022-11-23

Consumer Financial Protection Circular 2022-07: Reasonable Investigation of Consumer Reporting Disputes

Title: Consumer Financial Protection Circular 2022-07: Reasonable Investigation of Consumer Reporting Disputes
Record Date: 11/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,373.07

Standards for Safeguarding Customer Information

Title: Standards for Safeguarding Customer Information
Record Date: 11/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,373.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Make Certain Revisions to the Preamble to Rule 10.9217 and Add Rule 2.1210 to the List of Minor Rule Violations in Rule 10.9217(f)

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Make Certain Revisions to the Preamble to Rule 10.9217 and Add Rule 2.1210 to the List of Minor Rule Violations in Rule 10.9217(f)
Record Date: 11/23/2022
Event Classification: award
Age Or Deadline Days: 1,373.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Trading Permit Fees for Market Makers in the MIAX PEARL Options Fee Schedule

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Trading Permit Fees for Market Makers in the MIAX PEARL Options Fee Schedule
Record Date: 11/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,373.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of Pending Amendments to Equity 4, Rules 4120, 4702 and 4703

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of Pending Amendments to Equity 4, Rules 4120, 4702 and 4703
Record Date: 11/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,373.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading and the Short Term Option Series Program

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading and the Short Term Option Series Program
Record Date: 11/23/2022
Event Classification: award
Age Or Deadline Days: 1,373.07

Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Corporation; Order Granting Proposed Rule Changes To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Corporation; Order Granting Proposed Rule Changes To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 11/23/2022
Event Classification: award
Age Or Deadline Days: 1,373.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-27, on Supervision, To Further Extend the Current Regulatory Relief for Remote Office Inspections Through June 30, 2023

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-27, on Supervision, To Further Extend the Current Regulatory Relief for Remote Office Inspections Through June 30, 2023
Record Date: 11/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,373.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule G-3, on Professional Qualification Requirements, To Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule G-3, on Professional Qualification Requirements, To Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease
Record Date: 11/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,373.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 11/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,373.07

Hennessy Funds Trust, et al.

Title: Hennessy Funds Trust, et al.
Record Date: 11/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,373.07

2022-11-16

Outsourcing by Investment Advisers

Title: Outsourcing by Investment Advisers
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Proposed Collection; Comment Request; Extension: Rule 17a-14 and Form CRS

Title: Proposed Collection; Comment Request; Extension: Rule 17a-14 and Form CRS
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change To Amend the Short Term Option Series Program

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change To Amend the Short Term Option Series Program
Record Date: 11/16/2022
Event Classification: award
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Phlx Equity 6, Section 5 Concerning Optional Risk Settings for Stocks

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Phlx Equity 6, Section 5 Concerning Optional Risk Settings for Stocks
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add Violations of Rule 2.1210 to the Exchange's Minor Rule Violation Plan for the Equities and Options Markets

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add Violations of Rule 2.1210 to the Exchange's Minor Rule Violation Plan for the Equities and Options Markets
Record Date: 11/16/2022
Event Classification: award
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership and Trading Rights Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership and Trading Rights Fees
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update and Harmonize the Exchange's Reimbursement Schedule for Forwarding Proxy and Other Issuer Material

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update and Harmonize the Exchange's Reimbursement Schedule for Forwarding Proxy and Other Issuer Material
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change, As modified by Amendment No. 1, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change, As modified by Amendment No. 1, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

2022-11-09

24X National Exchange LLC; Notice of Filing of Amendment No. 1 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934

Title: 24X National Exchange LLC; Notice of Filing of Amendment No. 1 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

J.P. Morgan Exchange-Traded Fund Trust, et al.

Title: J.P. Morgan Exchange-Traded Fund Trust, et al.
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

Proposed Collection; Comment Request; Extension: Rule 15b11-1/Form BD-N

Title: Proposed Collection; Comment Request; Extension: Rule 15b11-1/Form BD-N
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program Until May 8, 2023

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program Until May 8, 2023
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Electronic Multi-Leg Orders on BOX

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Electronic Multi-Leg Orders on BOX
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Rate of Return on Euro Cash Margin and Guaranty Fund Deposits

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Rate of Return on Euro Cash Margin and Guaranty Fund Deposits
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Increase the Minimum Required Fund Deposit for Government Securities Division Netting Members and Sponsoring Members, and Make Other Changes; Correction

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Increase the Minimum Required Fund Deposit for Government Securities Division Netting Members and Sponsoring Members, and Make Other Changes; Correction
Record Date: 11/09/2022
Event Classification: award
Age Or Deadline Days: 1,387.07

2022-11-02

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 1801, Definitions and Rule 1809, Terms of Index Options Contracts To Remove References to BRIXX Indexes

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 1801, Definitions and Rule 1809, Terms of Index Options Contracts To Remove References to BRIXX Indexes
Record Date: 11/02/2022
Event Classification: award
Age Or Deadline Days: 1,394.07

Royalty Pharma plc and Royalty Pharma Finance Corporation

Title: Royalty Pharma plc and Royalty Pharma Finance Corporation
Record Date: 11/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,394.07

Funeral Industry Practices Rule

Title: Funeral Industry Practices Rule
Record Date: 11/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,394.07

2022-05-25

Energy Labeling Rule

Title: Energy Labeling Rule
Record Date: 05/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,555.07

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis

Title: Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis
Record Date: 05/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,555.07

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Fifty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis

Title: Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Fifty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis
Record Date: 05/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,555.07

Consolidated Tape Association; Notice of Designation of a Longer Period for Commission Action on the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan

Title: Consolidated Tape Association; Notice of Designation of a Longer Period for Commission Action on the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan
Record Date: 05/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,555.07

Consolidated Tape Association; Notice of Designation of a Longer Period for Commission Action on the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan

Title: Consolidated Tape Association; Notice of Designation of a Longer Period for Commission Action on the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan
Record Date: 05/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,555.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Settlement Timing

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Settlement Timing
Record Date: 05/25/2022
Event Classification: award
Age Or Deadline Days: 1,555.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise
Record Date: 05/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,555.07

2022-05-18

Equal Credit Opportunity (Regulation B); Revocations or Unfavorable Changes to the Terms of Existing Credit Arrangements

Title: Equal Credit Opportunity (Regulation B); Revocations or Unfavorable Changes to the Terms of Existing Credit Arrangements
Record Date: 05/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,562.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Routing Functionality in Connection With a Technology Migration

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Routing Functionality in Connection With a Technology Migration
Record Date: 05/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,562.07

Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Restructuring Notification Process for Swaptions

Title: Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Restructuring Notification Process for Swaptions
Record Date: 05/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,562.07

Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees
Record Date: 05/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,562.07

Self-Regulatory Organizations; Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility

Title: Self-Regulatory Organizations; Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Record Date: 05/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,562.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7 To Assess Membership, Port and Market Data Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7 To Assess Membership, Port and Market Data Fees
Record Date: 05/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,562.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the IQ Winslow Large Cap Growth ETF and IQ Winslow Focused Large Cap Growth ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the IQ Winslow Large Cap Growth ETF and IQ Winslow Focused Large Cap Growth ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares)
Record Date: 05/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,562.07

First Eagle Alternative Capital BDC, Inc., et al.

Title: First Eagle Alternative Capital BDC, Inc., et al.
Record Date: 05/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,562.07

2022-05-11

Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities

Title: Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
Record Date: 05/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,569.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g)
Record Date: 05/11/2022
Event Classification: award
Age Or Deadline Days: 1,569.07

2022-05-04

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 2, to Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 2, to Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target
Record Date: 05/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,576.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options
Record Date: 05/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,576.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98
Record Date: 05/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,576.07

Hikma Pharmaceuticals PLC/Custopharm, Inc.; Analysis of Agreement Containing Consent Orders To Aid Public Comment

Title: Hikma Pharmaceuticals PLC/Custopharm, Inc.; Analysis of Agreement Containing Consent Orders To Aid Public Comment
Record Date: 05/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,576.07

2022-03-30

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4756(a)(3), in Light of Planned Changes to the System as Well as To Address Existing Issues

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4756(a)(3), in Light of Planned Changes to the System as Well as To Address Existing Issues
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Codify Certain Practices and Requirements Related to the Exchange's Port Message Rate Thresholds

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Codify Certain Practices and Requirements Related to the Exchange's Port Message Rate Thresholds
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trade Reporting Fees Applicable to Participants That Use the FINRA/NYSE Trade Reporting Facility

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trade Reporting Fees Applicable to Participants That Use the FINRA/NYSE Trade Reporting Facility
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Removal of References to Credit Ratings From Regulation M

Title: Removal of References to Credit Ratings From Regulation M
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility

Title: Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Extension of Review Period of Advance Notice Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility

Title: Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Extension of Review Period of Advance Notice Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Restructuring Notification Process for Swaptions

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Restructuring Notification Process for Swaptions
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons as Provided Under Exchange Rule 3.33 and To Amend Related Registration Requirements as Provided Under Rule 3.30

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons as Provided Under Exchange Rule 3.33 and To Amend Related Registration Requirements as Provided Under Rule 3.30
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Continuing Education Requirements

Title: Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Continuing Education Requirements
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual To Allow an Acquisition Company To Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-Off the New Acquisition Company to Its Shareholders

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual To Allow an Acquisition Company To Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-Off the New Acquisition Company to Its Shareholders
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Proposed Collection; Comment Request; Extension: Form N-MFP and Rule 30b1-7

Title: Proposed Collection; Comment Request; Extension: Form N-MFP and Rule 30b1-7
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

Submission for OMB Review; Comment Request; Extension: Rule 17j-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 17j-1
Record Date: 03/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,611.07

2022-06-29

Proposed Partial Rule Exemption for Gilbarco, Inc.

Title: Proposed Partial Rule Exemption for Gilbarco, Inc.
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

Proposed Collection; Comment Request; Extension: Customer Account Statements

Title: Proposed Collection; Comment Request; Extension: Customer Account Statements
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

Proposed Collection; Comment Request; Extension: Rule 7d-1

Title: Proposed Collection; Comment Request; Extension: Rule 7d-1
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

Proposed Collection; Comment Request; Extension: Rule 607

Title: Proposed Collection; Comment Request; Extension: Rule 607
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

Proposed Collection; Comment Request; Extension: Rule 204-3

Title: Proposed Collection; Comment Request; Extension: Rule 204-3
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals
Record Date: 06/29/2022
Event Classification: award
Age Or Deadline Days: 1,520.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend Certain FINRA Rules To Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend Certain FINRA Rules To Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

Credit Card Late Fees and Late Payments

Title: Credit Card Late Fees and Late Payments
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,520.07

2022-06-22

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4, Multiply Listed Options Fees

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4, Multiply Listed Options Fees
Record Date: 06/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,527.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain Transaction Fees and Credits in the NYSE American Equities Price List and Fee Schedule

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain Transaction Fees and Credits in the NYSE American Equities Price List and Fee Schedule
Record Date: 06/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,527.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Record Date: 06/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,527.07

Request for Comment on Certain Information Providers Acting as Investment Advisers

Title: Request for Comment on Certain Information Providers Acting as Investment Advisers
Record Date: 06/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,527.07

2022-06-15

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend BZX Rule 11.17, Clearly Erroneous Executions

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend BZX Rule 11.17, Clearly Erroneous Executions
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,534.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,534.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4A, Section 12, Terms of Index Options Contracts

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4A, Section 12, Terms of Index Options Contracts
Record Date: 06/15/2022
Event Classification: award
Age Or Deadline Days: 1,534.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,534.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,534.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,534.07

Proposed Collection; Comment Request: Extension; Schedule 14D-9F

Title: Proposed Collection; Comment Request: Extension; Schedule 14D-9F
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,534.07

Proposed Collection; Comment Request: Extension; Form F-8

Title: Proposed Collection; Comment Request: Extension; Form F-8
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,534.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,534.07

2022-06-08

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the Exchange's Affiliates

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the Exchange's Affiliates
Record Date: 06/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,541.07

BlackRock Capital Investment Advisors, LLC and BlackRock Private Credit Fund

Title: BlackRock Capital Investment Advisors, LLC and BlackRock Private Credit Fund
Record Date: 06/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,541.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Revise the Excess Capital Premium Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Revise the Excess Capital Premium Charge
Record Date: 06/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,541.07

Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees
Record Date: 06/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,541.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 06/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,541.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 06/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,541.07

2022-06-01

Proposed Collection; Comment Request; Extension: Rule 12d3-1

Title: Proposed Collection; Comment Request; Extension: Rule 12d3-1
Record Date: 06/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,548.07

Proposed Collection; Comment Request; Extension: Rule 206(4)-2

Title: Proposed Collection; Comment Request; Extension: Rule 206(4)-2
Record Date: 06/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,548.07

Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail

Title: Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 06/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,548.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 06/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,548.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan
Record Date: 06/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,548.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Governance Playbook

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Governance Playbook
Record Date: 06/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,548.07

2022-07-27

Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8

Title: Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Record Date: 07/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,492.07

Consolidated Tape Association; Notice of Designation of a Longer Period for Commission Action on the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Eighth Substantive Amendment to the Restated CQ Plan

Title: Consolidated Tape Association; Notice of Designation of a Longer Period for Commission Action on the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Eighth Substantive Amendment to the Restated CQ Plan
Record Date: 07/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,492.07

Consolidated Tape Association; Notice of Designation of a Longer Period for Commission Action on the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan

Title: Consolidated Tape Association; Notice of Designation of a Longer Period for Commission Action on the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan
Record Date: 07/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,492.07

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis

Title: Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis
Record Date: 07/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,492.07

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Fifty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis

Title: Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Fifty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis
Record Date: 07/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,492.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.6 and Rule 5.33 To Allow Delta-Adjusted at Close Orders To Be Submitted in Equity Options

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.6 and Rule 5.33 To Allow Delta-Adjusted at Close Orders To Be Submitted in Equity Options
Record Date: 07/27/2022
Event Classification: deadline
Age Or Deadline Days: 1,492.07

Trade Regulation Rule Relating to Power Output Claims for Amplifiers Utilized in Home Entertainment Products

Title: Trade Regulation Rule Relating to Power Output Claims for Amplifiers Utilized in Home Entertainment Products
Record Date: 07/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,492.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 07/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,492.07

2022-07-20

Request for Information Regarding Relationship Banking and Customer Service

Title: Request for Information Regarding Relationship Banking and Customer Service
Record Date: 07/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,499.07

Submission for OMB Review; Comment Request: Extension: Rule 15Ba2-1 and Form MSD

Title: Submission for OMB Review; Comment Request: Extension: Rule 15Ba2-1 and Form MSD
Record Date: 07/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for the Securities Financing Transaction Clearing Service

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for the Securities Financing Transaction Clearing Service
Record Date: 07/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearing Rules and the End-of-Day Price Discovery Policies and Procedures

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearing Rules and the End-of-Day Price Discovery Policies and Procedures
Record Date: 07/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Options 7, Section 4

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Options 7, Section 4
Record Date: 07/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
Record Date: 07/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 07/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 07/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 07/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2022

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2022
Record Date: 07/20/2022
Event Classification: deadline
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge
Record Date: 07/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2022

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2022
Record Date: 07/20/2022
Event Classification: deadline
Age Or Deadline Days: 1,499.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2022

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2022
Record Date: 07/20/2022
Event Classification: deadline
Age Or Deadline Days: 1,499.07

2022-07-13

Motor Vehicle Dealers Trade Regulation Rule

Title: Motor Vehicle Dealers Trade Regulation Rule
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Clearing of Markit iTraxx® Australia Indices and the Associated Single Name Constituents and Remediation of WWR Margin Instability

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Clearing of Markit iTraxx® Australia Indices and the Associated Single Name Constituents and Remediation of WWR Margin Instability
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 To Better Align the CUSIP Requirements for Underwriters and Municipal Advisors With Current Market Practices

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 To Better Align the CUSIP Requirements for Underwriters and Municipal Advisors With Current Market Practices
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Its Post-Trade Risk Management Product to Q4 2022

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Its Post-Trade Risk Management Product to Q4 2022
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations), To Expand the List of Violations Eligible for Disposition Under the Exchange's Minor Rule Violation Plan and To Update the Fine Schedule Applicable to Minor Violations of Certain Rules

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations), To Expand the List of Violations Eligible for Disposition Under the Exchange's Minor Rule Violation Plan and To Update the Fine Schedule Applicable to Minor Violations of Certain Rules
Record Date: 07/13/2022
Event Classification: award
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's General 3 Membership Rules

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's General 3 Membership Rules
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Equities Fee Schedule

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Equities Fee Schedule
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Model Validation Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Model Validation Framework
Record Date: 07/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,506.07

2022-07-06

Agency Information Collection Activities; Submission for OMB Review; Comment Request

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request
Record Date: 07/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,513.07

MWE Investments, LLC; Analysis of Proposed Consent Order To Aid Public Comment

Title: MWE Investments, LLC; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 07/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,513.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)
Record Date: 07/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,513.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Article 4 of the Exchange's Bylaws To Establish a Staggered Board

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Article 4 of the Exchange's Bylaws To Establish a Staggered Board
Record Date: 07/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,513.07

Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, Exchange Rule 1903, Continuing Education Requirements, and Exchange Rule 1904, Electronic Filing Requirements for Uniform Forms

Title: Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, Exchange Rule 1903, Continuing Education Requirements, and Exchange Rule 1904, Electronic Filing Requirements for Uniform Forms
Record Date: 07/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,513.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Pricing for Options on a Nasdaq-100® Volatility Index

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Pricing for Options on a Nasdaq-100® Volatility Index
Record Date: 07/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,513.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Record Date: 07/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,513.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of Grayscale Bitcoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of Grayscale Bitcoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Record Date: 07/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,513.07

2022-12-28

Proposed Collection; Comment Request; Extension: Rule 17a-22

Title: Proposed Collection; Comment Request; Extension: Rule 17a-22
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Proposed Collection; Comment Request; Extension: Form N-8B-4

Title: Proposed Collection; Comment Request; Extension: Form N-8B-4
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Forum Real Estate Income Fund, et al.

Title: Forum Real Estate Income Fund, et al.
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Representations Relating to the Stance Equity ESG Large Cap Core ETF

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Representations Relating to the Stance Equity ESG Large Cap Core ETF
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Annual Listing Fee Set Forth in Section 902.03 of the NYSE Listed Company Manual

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Annual Listing Fee Set Forth in Section 902.03 of the NYSE Listed Company Manual
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 6

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 6
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 7

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 7
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

2022-12-21

Home Mortgage Disclosure (Regulation C); Judicial Vacatur of Coverage Threshold for Closed-End Mortgage Loans

Title: Home Mortgage Disclosure (Regulation C); Judicial Vacatur of Coverage Threshold for Closed-End Mortgage Loans
Record Date: 12/21/2022
Event Classification: deadline
Age Or Deadline Days: 1,345.07

Technical Amendments to Commission Rules

Title: Technical Amendments to Commission Rules
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

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

Title: 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
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-8050-3 To Establish Functionality That Will Reject Market Maker Quotes When Those Quotes Would Otherwise Lock or Cross the National Best Bid or Offer

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-8050-3 To Establish Functionality That Will Reject Market Maker Quotes When Those Quotes Would Otherwise Lock or Cross the National Best Bid or Offer
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Finance Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Finance Procedures
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove a Monthly Credit Associated With Trading Permit Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove a Monthly Credit Associated With Trading Permit Fees
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Reflect Adjustments to FINRA's Registration Fees Related to the Central Registration Depository

Title: Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Reflect Adjustments to FINRA's Registration Fees Related to the Central Registration Depository
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Requirements in Equity 2, Sections 4, 5, and 11

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Requirements in Equity 2, Sections 4, 5, and 11
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fees Schedule To Adopt Global Trading Hours XSP Lead Market-Makers Incentive Programs

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fees Schedule To Adopt Global Trading Hours XSP Lead Market-Makers Incentive Programs
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice Related to Certain Enhancements to the Gap Risk Measure and the VaR Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice Related to Certain Enhancements to the Gap Risk Measure and the VaR Charge
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

2022-12-14

Monroe Capital Corporation, et al.

Title: Monroe Capital Corporation, et al.
Record Date: 12/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,352.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118(a)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118(a)
Record Date: 12/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,352.07

Self-Regulatory Organizations; LCH SA; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Providing Clearing Services for Additional Index and Single Name Credit Default Swaps

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Providing Clearing Services for Additional Index and Single Name Credit Default Swaps
Record Date: 12/14/2022
Event Classification: award
Age Or Deadline Days: 1,352.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 12/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,352.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the Breakwave Tanker Shipping ETF

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the Breakwave Tanker Shipping ETF
Record Date: 12/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,352.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 12/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,352.07

2022-12-07

Self-Regulatory Organizations; Investors Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 11.190(g) To Provide an Alternative Calculation for Non-Displayed Pegged Order Types for Determining Whether a Quote Instability Condition Exists

Title: Self-Regulatory Organizations; Investors Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 11.190(g) To Provide an Alternative Calculation for Non-Displayed Pegged Order Types for Determining Whether a Quote Instability Condition Exists
Record Date: 12/07/2022
Event Classification: award
Age Or Deadline Days: 1,359.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series
Record Date: 12/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,359.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 2 and Amendment No. 3 and of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Revise the Excess Capital Premium Charge Order

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 2 and Amendment No. 3 and of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Revise the Excess Capital Premium Charge Order
Record Date: 12/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,359.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Distributions Guide

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Distributions Guide
Record Date: 12/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,359.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees
Record Date: 12/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,359.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 12/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,359.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series
Record Date: 12/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,359.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. To Reflect the Fee for Directed Orders Routed by the Exchange to an Alternative Trading System

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. To Reflect the Fee for Directed Orders Routed by the Exchange to an Alternative Trading System
Record Date: 12/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,359.07

2022-08-31

Capital Southwest Corporation

Title: Capital Southwest Corporation
Record Date: 08/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,457.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)
Record Date: 08/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,457.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors With Current Market Practices

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors With Current Market Practices
Record Date: 08/31/2022
Event Classification: award
Age Or Deadline Days: 1,457.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearing Rules and the End-of-Day Price Discovery Policies and Procedures

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearing Rules and the End-of-Day Price Discovery Policies and Procedures
Record Date: 08/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,457.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees, at Equity 7, Section 115, and Options 7, Section 3

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees, at Equity 7, Section 115, and Options 7, Section 3
Record Date: 08/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,457.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Revise the Formula Used To Calculate the VaR Charge for Repo Interest Volatility

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Revise the Formula Used To Calculate the VaR Charge for Repo Interest Volatility
Record Date: 08/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,457.07

Telemarketing Sales Rule Fees

Title: Telemarketing Sales Rule Fees
Record Date: 08/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,457.07

2022-08-24

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time
Record Date: 08/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,464.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 08/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,464.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 08/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,464.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 08/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,464.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 08/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,464.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 08/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,464.07

2022-08-17

Order Determining That the Financial Industry Regulatory Authority Conditionally May Access Certain Security-Based Swap Data Obtained by Security-Based Swap Data Repositories

Title: Order Determining That the Financial Industry Regulatory Authority Conditionally May Access Certain Security-Based Swap Data Obtained by Security-Based Swap Data Repositories
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Pacific Funds Series Trust, et al.

Title: Pacific Funds Series Trust, et al.
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Varagon Capital Corporation, et al.

Title: Varagon Capital Corporation, et al.
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
Record Date: 08/17/2022
Event Classification: award
Age Or Deadline Days: 1,471.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc.

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc.
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Amend Certain Fees and Rebates for Transactions in SPIKES Options

Title: Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Amend Certain Fees and Rebates for Transactions in SPIKES Options
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Arca Equities Proprietary Market Data Fees To Adopt an Enterprise Fee for Broker-Dealer Subscribers of NYSE ArcaBook

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Arca Equities Proprietary Market Data Fees To Adopt an Enterprise Fee for Broker-Dealer Subscribers of NYSE ArcaBook
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

Limited Applicability of Consumer Financial Protection Act's “Time or Space” Exception With Respect to Digital Marketing Providers

Title: Limited Applicability of Consumer Financial Protection Act's “Time or Space” Exception With Respect to Digital Marketing Providers
Record Date: 08/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,471.07

2022-08-10

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees
Record Date: 08/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,478.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees
Record Date: 08/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,478.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 08/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,478.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Add Subparagraph (f)(1) Regarding Directed Orders to NYSE Rule 7.31

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Add Subparagraph (f)(1) Regarding Directed Orders to NYSE Rule 7.31
Record Date: 08/10/2022
Event Classification: award
Age Or Deadline Days: 1,478.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Add Subparagraph (f)(4) Regarding Directed Orders to NYSE American Rule 7.31E

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Add Subparagraph (f)(4) Regarding Directed Orders to NYSE American Rule 7.31E
Record Date: 08/10/2022
Event Classification: award
Age Or Deadline Days: 1,478.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Add Subparagraph (f)(4) Regarding Directed Orders to NYSE Chicago Rule 7.31

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Add Subparagraph (f)(4) Regarding Directed Orders to NYSE Chicago Rule 7.31
Record Date: 08/10/2022
Event Classification: award
Age Or Deadline Days: 1,478.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Add Subparagraph (f)(4) Regarding Directed Orders to NYSE National Rule 7.31

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Add Subparagraph (f)(4) Regarding Directed Orders to NYSE National Rule 7.31
Record Date: 08/10/2022
Event Classification: award
Age Or Deadline Days: 1,478.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Add Subparagraph (f)(4) Regarding Directed Orders to NYSE Arca Rule 7.31-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Add Subparagraph (f)(4) Regarding Directed Orders to NYSE Arca Rule 7.31-E
Record Date: 08/10/2022
Event Classification: award
Age Or Deadline Days: 1,478.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish Section IV.D.2 (“Strategy QCC Transactions”)

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish Section IV.D.2 (“Strategy QCC Transactions”)
Record Date: 08/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,478.07

New Mountain Capital, L.L.C., et al.

Title: New Mountain Capital, L.L.C., et al.
Record Date: 08/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,478.07

CION Investment Corporation, et al

Title: CION Investment Corporation, et al
Record Date: 08/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,478.07

Runway Growth Finance Corp., et al.

Title: Runway Growth Finance Corp., et al.
Record Date: 08/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,478.07

2022-08-03

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13
Record Date: 08/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,485.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule IM-5050-11

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule IM-5050-11
Record Date: 08/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,485.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain of Its Rules Related to Market-Makers

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain of Its Rules Related to Market-Makers
Record Date: 08/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,485.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain of Its Rules Related to Market-Makers

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain of Its Rules Related to Market-Makers
Record Date: 08/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,485.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain of Its Rules Related to Market-Makers

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain of Its Rules Related to Market-Makers
Record Date: 08/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,485.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.4-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.4-O
Record Date: 08/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,485.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903
Record Date: 08/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,485.07

Proposed Collection; Comment Request: Extension: Form 18-K

Title: Proposed Collection; Comment Request: Extension: Form 18-K
Record Date: 08/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,485.07

2022-04-27

Churchill Asset Management LLC and Nuveen Churchill Private Capital Income Fund

Title: Churchill Asset Management LLC and Nuveen Churchill Private Capital Income Fund
Record Date: 04/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,583.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Options 4, Section 5, Series of Options Contracts Open for Trading

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Options 4, Section 5, Series of Options Contracts Open for Trading
Record Date: 04/27/2022
Event Classification: award
Age Or Deadline Days: 1,583.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Record Date: 04/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,583.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3306(a)(3), in Light of Planned Changes to the System as Well as To Address Existing Issues

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3306(a)(3), in Light of Planned Changes to the System as Well as To Address Existing Issues
Record Date: 04/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,583.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4756(a)(3), in Light of Planned Changes to the System as Well as To Address Existing Issues

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4756(a)(3), in Light of Planned Changes to the System as Well as To Address Existing Issues
Record Date: 04/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,583.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Equity 4, Section 4120 To Add Categories of Regulatory and Operational Halts, To Reorganize the Remaining Text of the Rule, and To Make Conforming Changes to Related Rules

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Equity 4, Section 4120 To Add Categories of Regulatory and Operational Halts, To Reorganize the Remaining Text of the Rule, and To Make Conforming Changes to Related Rules
Record Date: 04/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,583.07

American Securities Partners/Ferro; Analysis of Agreement Containing Consent Orders To Aid Public Comment

Title: American Securities Partners/Ferro; Analysis of Agreement Containing Consent Orders To Aid Public Comment
Record Date: 04/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,583.07

2022-04-20

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for the Exchange's cToM Market Data Product; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for the Exchange's cToM Market Data Product; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for the Exchange's cToM Market Data Product; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for the Exchange's cToM Market Data Product; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Self-Regulatory Organizations; MIAX Emerald LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Increase Certain Connectivity Fees; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; MIAX Emerald LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Increase Certain Connectivity Fees; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX Fee Schedule To Increase Certain Connectivity Fees; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX Fee Schedule To Increase Certain Connectivity Fees; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase Certain Connectivity Fees; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase Certain Connectivity Fees; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Port; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Port; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 10.3 Regarding Margin Requirements

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 10.3 Regarding Margin Requirements
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Service Guide and the Operational Arrangements

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Service Guide and the Operational Arrangements
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

AGL Separate Account VL-R, et al;

Title: AGL Separate Account VL-R, et al;
Record Date: 04/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,590.07

2022-04-13

Submission for OMB Review; Comment Request; Extension: Rule 30e-3

Title: Submission for OMB Review; Comment Request; Extension: Rule 30e-3
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 2622 To Adopt on a Permanent Basis the Pilot Program Related to the Market-Wide Circuit Breaker

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 2622 To Adopt on a Permanent Basis the Pilot Program Related to the Market-Wide Circuit Breaker
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt New Exchange Rule 6.91P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt New Exchange Rule 6.91P-O
Record Date: 04/13/2022
Event Classification: award
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extend the Current Pilot Program Related to Rule 7.10E

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extend the Current Pilot Program Related to Rule 7.10E
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements

Title: Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the FMC Excelsior Focus Equity ETF Under Rule 8.900-E (Managed Portfolio Shares)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the FMC Excelsior Focus Equity ETF Under Rule 8.900-E (Managed Portfolio Shares)
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options Based on 1/100 the Value of the Nasdaq-100 Index and the Nonstandard Expirations Pilot

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options Based on 1/100 the Value of the Nasdaq-100 Index and the Nonstandard Expirations Pilot
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot To Permit the Listing and Trading of Options Based on 1/5 the Value of the Nasdaq-100 Index and the Nonstandard Expirations Pilot

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot To Permit the Listing and Trading of Options Based on 1/5 the Value of the Nasdaq-100 Index and the Nonstandard Expirations Pilot
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

Order Making Fiscal Year 2022 Annual Adjustments to Transaction Fee Rates

Title: Order Making Fiscal Year 2022 Annual Adjustments to Transaction Fee Rates
Record Date: 04/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,597.07

2022-04-06

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt BOX Rule 7350 (Reports and Market Data Products), Move Rule 7130(a)(2) Detailing the High Speed Vendor Feed to Proposed Rule 7350, and Adopt Rule 7350(b) (Liquidity Taker Event Report)

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt BOX Rule 7350 (Reports and Market Data Products), Move Rule 7130(a)(2) Detailing the High Speed Vendor Feed to Proposed Rule 7350, and Adopt Rule 7350(b) (Liquidity Taker Event Report)
Record Date: 04/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,604.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers
Record Date: 04/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,604.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers
Record Date: 04/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,604.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers
Record Date: 04/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,604.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers
Record Date: 04/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,604.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the DoubleLine Shiller CAPE U.S. Equities ETF Under Rule 8.900-E (Managed Portfolio Shares)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the DoubleLine Shiller CAPE U.S. Equities ETF Under Rule 8.900-E (Managed Portfolio Shares)
Record Date: 04/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,604.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 04/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,604.07

Brighthouse Funds Trust I, et al.

Title: Brighthouse Funds Trust I, et al.
Record Date: 04/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,604.07

2022-09-27

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the Breakwave Tanker Shipping ETF

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the Breakwave Tanker Shipping ETF
Record Date: 09/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,430.07

Notice of Intention To Cancel Registrations of Certain Transfer Agents

Title: Notice of Intention To Cancel Registrations of Certain Transfer Agents
Record Date: 09/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,430.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Relating to Single-Leg and Complex Orders in Connection With a Technology Migration

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Relating to Single-Leg and Complex Orders in Connection With a Technology Migration
Record Date: 09/27/2022
Event Classification: award
Age Or Deadline Days: 1,430.07

Joint Industry Plan; Order Disapproving the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis

Title: Joint Industry Plan; Order Disapproving the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis
Record Date: 09/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,430.07

Consolidated Tape Association; Order Disapproving the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Eighth Substantive Amendment to the Restated CQ Plan

Title: Consolidated Tape Association; Order Disapproving the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Eighth Substantive Amendment to the Restated CQ Plan
Record Date: 09/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,430.07

Joint Industry Plan; Order Disapproving the Fifty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis

Title: Joint Industry Plan; Order Disapproving the Fifty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis
Record Date: 09/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,430.07

Consolidated Tape Association; Order Disapproving the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan

Title: Consolidated Tape Association; Order Disapproving the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan
Record Date: 09/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,430.07

Statement on Competition and Innovation

Title: Statement on Competition and Innovation
Record Date: 09/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,430.07

Request for Information Regarding Mortgage Refinances and Forbearances

Title: Request for Information Regarding Mortgage Refinances and Forbearances
Record Date: 09/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,430.07

2022-09-20

Inflation Adjustments Under Titles I and III of the JOBS Act

Title: Inflation Adjustments Under Titles I and III of the JOBS Act
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

Submission for OMB Review; Comment Request; Extension: Rule 194

Title: Submission for OMB Review; Comment Request; Extension: Rule 194
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 4120, 4702 and 4703 in Light of Planned Changes to the System

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 4120, 4702 and 4703 in Light of Planned Changes to the System
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 3100, 3301A and 3301B

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 3100, 3301A and 3301B
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Equities Price List

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Equities Price List
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees at Options 7, Section 7

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees at Options 7, Section 7
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees at Options 7, Section 6

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees at Options 7, Section 6
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

Consumer Financial Protection Circular 2022-05: Debt Collection and Consumer Reporting Practices Involving Invalid Nursing Home Debts

Title: Consumer Financial Protection Circular 2022-05: Debt Collection and Consumer Reporting Practices Involving Invalid Nursing Home Debts
Record Date: 09/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,437.07

2022-09-13

Proposed Collection; Comment Request; Extension: Rule 22c-1

Title: Proposed Collection; Comment Request; Extension: Rule 22c-1
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Proposed Collection; Comment Request; Extension: Rule 6c-11

Title: Proposed Collection; Comment Request; Extension: Rule 6c-11
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Proposed Collection; Comment Request; Extension: Rule 204-5

Title: Proposed Collection; Comment Request; Extension: Rule 204-5
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Submission for OMB Review; Comment Request: Extension; Rules 17h-1T and 17h-2T

Title: Submission for OMB Review; Comment Request: Extension; Rules 17h-1T and 17h-2T
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures and the ICE Clear Europe Clearing Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures and the ICE Clear Europe Clearing Procedures
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Membership Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Membership Procedures
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Proposed Collection; Comment Request; Extension: Rule 17Ab2-2

Title: Proposed Collection; Comment Request; Extension: Rule 17Ab2-2
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-3 Continuing Education Program Requirements To Harmonize With Industry-Wide Transformation

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-3 Continuing Education Program Requirements To Harmonize With Industry-Wide Transformation
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe Outsourcing Policy

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe Outsourcing Policy
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.62P-O(a)(4)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.62P-O(a)(4)
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Amend NYSE Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to NYSE Rules 7.31, 7.35, 7.35B and 104

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Amend NYSE Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to NYSE Rules 7.31, 7.35, 7.35B and 104
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

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

Title: 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
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 4120, 4702 and 4703

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 4120, 4702 and 4703
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Transfer the Services and Fees Related to Colocation
Record Date: 09/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,444.07

2022-09-06

Consumer Financial Protection Circular 2022-04: Insufficient Data Protection or Security for Sensitive Consumer Information

Title: Consumer Financial Protection Circular 2022-04: Insufficient Data Protection or Security for Sensitive Consumer Information
Record Date: 09/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,451.07

Credit Karma, LLC; Analysis of Proposed Consent Order To Aid Public Comment

Title: Credit Karma, LLC; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 09/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,451.07

Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail

Title: Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 09/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,451.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) To Enhance TRACE Reporting Obligations for U.S. Treasury Securities

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) To Enhance TRACE Reporting Obligations for U.S. Treasury Securities
Record Date: 09/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,451.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Conflicts of Interest Rules

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Conflicts of Interest Rules
Record Date: 09/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,451.07

2022-10-25

Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities

Title: Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
Record Date: 10/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,402.07

Energy Labeling Rule

Title: Energy Labeling Rule
Record Date: 10/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,402.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015
Record Date: 10/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,402.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130
Record Date: 10/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,402.07

Proposed Collection; Comment Request; Extension: Rule 6a-4, Form 1-N

Title: Proposed Collection; Comment Request; Extension: Rule 6a-4, Form 1-N
Record Date: 10/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,402.07

2022-10-18

Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments

Title: Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments
Record Date: 10/18/2022
Event Classification: deadline
Age Or Deadline Days: 1,409.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)
Record Date: 10/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,409.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Nasdaq's Program Providing Eligible Companies With Complimentary Board Recruiting Services

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Nasdaq's Program Providing Eligible Companies With Complimentary Board Recruiting Services
Record Date: 10/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,409.07

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Options Fee Schedule

Title: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Options Fee Schedule
Record Date: 10/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,409.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 6

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 6
Record Date: 10/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,409.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 5 Related to Membership Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 5 Related to Membership Fees
Record Date: 10/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,409.07

Lincoln Variable Insurance Products Trust and Lincoln Investment Advisors Corporation

Title: Lincoln Variable Insurance Products Trust and Lincoln Investment Advisors Corporation
Record Date: 10/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,409.07

2022-10-11

Submission for OMB Review; Comment Request; Extension: Form 20-F

Title: Submission for OMB Review; Comment Request; Extension: Form 20-F
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Submission for OMB Review; Comment Request; Extension: Industry Guide

Title: Submission for OMB Review; Comment Request; Extension: Industry Guide
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Submission for OMB Review; Comment Request; Extension: Form 10

Title: Submission for OMB Review; Comment Request; Extension: Form 10
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Submission for OMB Review; Comment Request; Extension: Rule 12d1-3

Title: Submission for OMB Review; Comment Request; Extension: Rule 12d1-3
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Submission for OMB Review; Comment Request; Extension: Form 18-K

Title: Submission for OMB Review; Comment Request; Extension: Form 18-K
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend BZX Rule 11.28(a) To Extend the MOC Cut-Off Time

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend BZX Rule 11.28(a) To Extend the MOC Cut-Off Time
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

Supervisory Highlights, Issue 27, Fall 2022

Title: Supervisory Highlights, Issue 27, Fall 2022
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,416.07

2022-10-04

Procedures for Review of Final Civil Sanctions Imposed Under the Horseracing Integrity and Safety Act

Title: Procedures for Review of Final Civil Sanctions Imposed Under the Horseracing Integrity and Safety Act
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.07

Proposed Collection; Comment Request; Extension: Form N-17D-1

Title: Proposed Collection; Comment Request; Extension: Form N-17D-1
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.07

Submission for OMB Review; Comment Request; Extension: Rule 31a-2

Title: Submission for OMB Review; Comment Request; Extension: Rule 31a-2
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.07

Proposed Collection; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 Through 14c-7 and Schedule 14C)

Title: Proposed Collection; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 Through 14c-7 and Schedule 14C)
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.07

2022-11-29

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,367.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,367.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM Options 7, Section 2

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM Options 7, Section 2
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,367.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,367.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 104

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 104
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,367.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,367.07

Cantor Fitzgerald Sustainable Infrastructure Fund and Cantor Fitzgerald Investment Advisors, L.P.

Title: Cantor Fitzgerald Sustainable Infrastructure Fund and Cantor Fitzgerald Investment Advisors, L.P.
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,367.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,367.07

Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail

Title: Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,367.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,367.07

2022-11-22

Submission for OMB Review; Comment Request; Extension: Rule 17Ad-10

Title: Submission for OMB Review; Comment Request; Extension: Rule 17Ad-10
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Changes To Addendum A To Adopt Fees for the AIP Document Transfer Service as Part of AIP Attachments

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Changes To Addendum A To Adopt Fees for the AIP Document Transfer Service as Part of AIP Attachments
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 5

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 5
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule BX Equity 6, Section 5 To Provide Participants With Additional Optional Settings

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule BX Equity 6, Section 5 To Provide Participants With Additional Optional Settings
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110 To Amend IEX's Fee Schedule

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110 To Amend IEX's Fee Schedule
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2617 Order Execution and Routing

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2617 Order Execution and Routing
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 6.41P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 6.41P-O
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2614(f), Self-Trade Protection Modifiers

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2614(f), Self-Trade Protection Modifiers
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Exchange Rule 14.11(d) To Accommodate Exchange Listing and Trading of Options-Linked Securities

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Exchange Rule 14.11(d) To Accommodate Exchange Listing and Trading of Options-Linked Securities
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

24X National Exchange LLC; Notice of Filing of Amendment No. 2 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934

Title: 24X National Exchange LLC; Notice of Filing of Amendment No. 2 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Record Date: 11/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.07

2022-11-15

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830.

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830.
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual
Record Date: 11/15/2022
Event Classification: deadline
Age Or Deadline Days: 1,381.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 5

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 5
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Clearing Rules, Collateral and Haircut Procedures, Collateral and Haircut Policy and Finance Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Clearing Rules, Collateral and Haircut Procedures, Collateral and Haircut Policy and Finance Procedures
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice and Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part GG of the ICE Clear Europe Delivery Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice and Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part GG of the ICE Clear Europe Delivery Procedures
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Self-Regulatory Organizations; The Options Clearing Corporation Notice of Designation of Longer Period for Commission Action on Proposed Rule Change by The Options Clearing Corporation Concerning a Risk Management Framework and Corporate Risk Management Policy

Title: Self-Regulatory Organizations; The Options Clearing Corporation Notice of Designation of Longer Period for Commission Action on Proposed Rule Change by The Options Clearing Corporation Concerning a Risk Management Framework and Corporate Risk Management Policy
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 11/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.07

2022-11-08

Trade Regulation Rule on the Use of Reviews and Endorsements

Title: Trade Regulation Rule on the Use of Reviews and Endorsements
Record Date: 11/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,388.07

Submission for OMB Review; Comment Request; Extension: Rule 17a-4

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-4
Record Date: 11/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,388.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Record Date: 11/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,388.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options
Record Date: 11/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,388.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade the Shares of the Breakwave Tanker Shipping ETF

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade the Shares of the Breakwave Tanker Shipping ETF
Record Date: 11/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,388.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Record Date: 11/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,388.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options
Record Date: 11/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,388.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130
Record Date: 11/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,388.07

Unfair or Deceptive Fees Trade Regulation Rule Commission Matter No. R207011

Title: Unfair or Deceptive Fees Trade Regulation Rule Commission Matter No. R207011
Record Date: 11/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,388.07

2022-11-01

Debt Collection Practices (Regulation F); Corrections

Title: Debt Collection Practices (Regulation F); Corrections
Record Date: 11/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,395.07

Drizly, LLC; Analysis of Proposed Consent Order To Aid Public Comment

Title: Drizly, LLC; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 11/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,395.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 11 Related to ISO Functionality

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 11 Related to ISO Functionality
Record Date: 11/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,395.07

Submission for OMB Review; Comment Request; Extension: Exchange Act Rule 3a71-3

Title: Submission for OMB Review; Comment Request; Extension: Exchange Act Rule 3a71-3
Record Date: 11/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,395.07

2022-05-31

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology
Record Date: 05/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,549.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology
Record Date: 05/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,549.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology
Record Date: 05/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,549.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 05/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,549.07

2022-05-24

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change by the Options Clearing Corporation Concerning Revisions to OCC's Partial Tear-Up Rules

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change by the Options Clearing Corporation Concerning Revisions to OCC's Partial Tear-Up Rules
Record Date: 05/24/2022
Event Classification: award
Age Or Deadline Days: 1,556.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 13000 Series (Code of Arbitration Procedure for Industry Disputes) To Align the Code With the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 13000 Series (Code of Arbitration Procedure for Industry Disputes) To Align the Code With the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Exempt Non-Convertible Bonds Listed Under Rule 5702 From Certain Corporate Governance Requirements

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Exempt Non-Convertible Bonds Listed Under Rule 5702 From Certain Corporate Governance Requirements
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Stone Point Credit Corporation, et al.

Title: Stone Point Credit Corporation, et al.
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Consumer Advisory Board Meeting

Title: Consumer Advisory Board Meeting
Record Date: 05/24/2022
Event Classification: alert
Age Or Deadline Days: 1,556.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 05/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,556.07

2022-05-17

Blackstone Floating Rate Enhanced Income Fund, et al.

Title: Blackstone Floating Rate Enhanced Income Fund, et al.
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Submission for OMB Review; Comment Request; Extension: Rules 300-304 of Regulation Crowdfunding (Intermediaries)

Title: Submission for OMB Review; Comment Request; Extension: Rules 300-304 of Regulation Crowdfunding (Intermediaries)
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Submission for OMB Review; Comment Request; Extension: Form 13F

Title: Submission for OMB Review; Comment Request; Extension: Form 13F
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Its Fee Schedule To Increase Certain Connectivity Fees and Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Its Fee Schedule To Increase Certain Connectivity Fees and Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for the Exchange's cToM Market Data Product; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for the Exchange's cToM Market Data Product; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Data Collection Initiation Date and Contingent Phase-In Termination Date for the De Minimis Notional Thresholds of Security-Based Swap Dealing

Title: Data Collection Initiation Date and Contingent Phase-In Termination Date for the De Minimis Notional Thresholds of Security-Based Swap Dealing
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for the Exchange's cToM Market Data Product; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Establish Fees for the Exchange's cToM Market Data Product; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase Certain Connectivity Fees and To Increase the Monthly Fees for MIAX Express Network Full Service Port; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase Certain Connectivity Fees and To Increase the Monthly Fees for MIAX Express Network Full Service Port; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Amend Its Fee Schedule To Increase Certain Connectivity Fees and Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Amend Its Fee Schedule To Increase Certain Connectivity Fees and Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Adopt Electronic Market Maker Trading Permit Fees

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Adopt Electronic Market Maker Trading Permit Fees
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

WCB Investment Pool LLC; Notice of Application

Title: WCB Investment Pool LLC; Notice of Application
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

HISA Registration Rule

Title: HISA Registration Rule
Record Date: 05/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,563.07

2022-05-10

Voya Russia Fund, a Series of Voya Mutual Funds, and Voya Investments, LLC; Notice of Application and Temporary Order

Title: Voya Russia Fund, a Series of Voya Mutual Funds, and Voya Investments, LLC; Notice of Application and Temporary Order
Record Date: 05/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,570.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,570.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,570.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(4) Regarding Directed Orders

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(4) Regarding Directed Orders
Record Date: 05/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,570.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 7.31-E To Add Subparagraph (f)(4) Regarding Directed Orders

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 7.31-E To Add Subparagraph (f)(4) Regarding Directed Orders
Record Date: 05/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,570.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to, and Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove, a Proposed Rule Change To List and Trade Shares of Grayscale Bitcoin Trust (BTC) Under NYSE Arca Rule 8.201-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to, and Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove, a Proposed Rule Change To List and Trade Shares of Grayscale Bitcoin Trust (BTC) Under NYSE Arca Rule 8.201-E
Record Date: 05/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,570.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules To Govern the Trading of Options on the Exchange for a New Facility Called MEMX Options

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules To Govern the Trading of Options on the Exchange for a New Facility Called MEMX Options
Record Date: 05/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,570.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Launch of the Curb Trading Hours Session

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Launch of the Curb Trading Hours Session
Record Date: 05/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,570.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals
Record Date: 05/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,570.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 532, Order Price Protection Mechanisms and Risk Controls

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 532, Order Price Protection Mechanisms and Risk Controls
Record Date: 05/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,570.07

2022-05-03

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options
Record Date: 05/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,577.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options
Record Date: 05/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,577.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program
Record Date: 05/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,577.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Representation Regarding the Sprott ESG Gold ETF

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Representation Regarding the Sprott ESG Gold ETF
Record Date: 05/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,577.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program
Record Date: 05/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,577.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 05/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,577.07

2022-03-29

Notice and Request for Comment Regarding Fees Imposed by Providers of Consumer Financial Products or Services

Title: Notice and Request for Comment Regarding Fees Imposed by Providers of Consumer Financial Products or Services
Record Date: 03/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,612.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 03/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,612.07

2022-06-28

Self-Regulatory Organizations: Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, Exchange Rule 1903, Continuing Education Requirements, and Exchange Rule 1904, Electronic Filing Requirements for Uniform Forms

Title: Self-Regulatory Organizations: Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, Exchange Rule 1903, Continuing Education Requirements, and Exchange Rule 1904, Electronic Filing Requirements for Uniform Forms
Record Date: 06/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,521.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
Record Date: 06/28/2022
Event Classification: award
Age Or Deadline Days: 1,521.07

Proposed Collection; Comment Request; Extension: Rule 18a-2

Title: Proposed Collection; Comment Request; Extension: Rule 18a-2
Record Date: 06/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,521.07

Federated Hermes Project and Trade Finance Tender Fund and Federated Investment Management Company

Title: Federated Hermes Project and Trade Finance Tender Fund and Federated Investment Management Company
Record Date: 06/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,521.07

2022-06-21

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program
Record Date: 06/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,528.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program
Record Date: 06/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,528.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.4

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.4
Record Date: 06/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,528.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Schedule of Credits, at Equity 7, Section 3

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Schedule of Credits, at Equity 7, Section 3
Record Date: 06/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,528.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part H of the ICE Clear Europe Delivery Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part H of the ICE Clear Europe Delivery Procedures
Record Date: 06/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,528.07

Viking Global Equities II LP and Viking Global Investors LP

Title: Viking Global Equities II LP and Viking Global Investors LP
Record Date: 06/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,528.07

Proposed Collection; Comment Request: Extension; Rule 13e-1

Title: Proposed Collection; Comment Request: Extension; Rule 13e-1
Record Date: 06/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,528.07

Request for Information Regarding Relationship Banking and Customer Service

Title: Request for Information Regarding Relationship Banking and Customer Service
Record Date: 06/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,528.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,528.07

2022-06-14

Consumer Financial Protection Circular 2022-01: System of Consumer Financial Protection Circulars to Agencies Enforcing Federal Consumer Financial Law

Title: Consumer Financial Protection Circular 2022-01: System of Consumer Financial Protection Circulars to Agencies Enforcing Federal Consumer Financial Law
Record Date: 06/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,535.07

Consumer Financial Protection Circular 2022-02: Deceptive Representations Involving the FDIC's Name or Logo or Deposit Insurance

Title: Consumer Financial Protection Circular 2022-02: Deceptive Representations Involving the FDIC's Name or Logo or Deposit Insurance
Record Date: 06/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,535.07

Consumer Financial Protection Circular 2022-03: Adverse Action Notification Requirements in Connection With Credit Decisions Based on Complex Algorithms

Title: Consumer Financial Protection Circular 2022-03: Adverse Action Notification Requirements in Connection With Credit Decisions Based on Complex Algorithms
Record Date: 06/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,535.07

Clearing Agency; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Adoption of a Cybersecurity Attestation Program

Title: Clearing Agency; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Adoption of a Cybersecurity Attestation Program
Record Date: 06/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,535.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Modify Equity 4, Rule 4120 To Add Categories of Regulatory and Operational Halts, To Reorganize the Remaining Text of the Rule, and To Make Conforming Changes to Related Rules

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Modify Equity 4, Rule 4120 To Add Categories of Regulatory and Operational Halts, To Reorganize the Remaining Text of the Rule, and To Make Conforming Changes to Related Rules
Record Date: 06/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,535.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Revise the MBSD Clearing Rules To Move Certain DRC Items (Mark-to-Market Items, Cash Obligation Items and Accrued Principal and Interest) From the Required Fund Deposit Calculation to Cash Settlement, Revise Certain Thresholds and Parameters in the Intraday Mark-to-Market Charge, Establish a New Intraday VaR Charge and Make Certain Other Clarifications

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Revise the MBSD Clearing Rules To Move Certain DRC Items (Mark-to-Market Items, Cash Obligation Items and Accrued Principal and Interest) From the Required Fund Deposit Calculation to Cash Settlement, Revise Certain Thresholds and Parameters in the Intraday Mark-to-Market Charge, Establish a New Intraday VaR Charge and Make Certain Other Clarifications
Record Date: 06/14/2022
Event Classification: award
Age Or Deadline Days: 1,535.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Implementation of Changes to Settlement Timing Previously Approved in File No. SR-OCC-2022-004

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Implementation of Changes to Settlement Timing Previously Approved in File No. SR-OCC-2022-004
Record Date: 06/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,535.07

Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation

Title: Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
Record Date: 06/14/2022
Event Classification: award
Age Or Deadline Days: 1,535.07

2022-06-07

Proposed Collection; Comment Request; Extension: Rule 19b-4(e) and Form 19b-4(e)

Title: Proposed Collection; Comment Request; Extension: Rule 19b-4(e) and Form 19b-4(e)
Record Date: 06/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,542.07

NexPoint Diversified Real Estate Trust

Title: NexPoint Diversified Real Estate Trust
Record Date: 06/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,542.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 11.2210

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 11.2210
Record Date: 06/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,542.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Certain Fees Charged to Applicants

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Certain Fees Charged to Applicants
Record Date: 06/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,542.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 2231 (Customer Account Statements), as Modified by Amendment No. 1

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 2231 (Customer Account Statements), as Modified by Amendment No. 1
Record Date: 06/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,542.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Voluntary Termination Provisions of the NSCC Rules for Limited Members

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Voluntary Termination Provisions of the NSCC Rules for Limited Members
Record Date: 06/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,542.07

2022-07-26

Guides Concerning the Use of Endorsements and Testimonials in Advertising

Title: Guides Concerning the Use of Endorsements and Testimonials in Advertising
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Submission for OMB Review; Comment Request: Extension: Form 10-Q

Title: Submission for OMB Review; Comment Request: Extension: Form 10-Q
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Submission for OMB Review; Comment Request: Extension: Form 1-SA

Title: Submission for OMB Review; Comment Request: Extension: Form 1-SA
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Submission for OMB Review; Comment Request: Extension: Schedule 14D-1F

Title: Submission for OMB Review; Comment Request: Extension: Schedule 14D-1F
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Proposed Collection; Comment Request; Extension: Rule 15c3-5

Title: Proposed Collection; Comment Request; Extension: Rule 15c3-5
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Transactions Until October 20, 2022

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Transactions Until October 20, 2022
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to a Master Repurchase Agreement as Part of The Options Clearing Corporation's Overall Liquidity Plan

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to a Master Repurchase Agreement as Part of The Options Clearing Corporation's Overall Liquidity Plan
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to an Expansion of The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to an Expansion of The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.32

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.32
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 (Clearly Erroneous Transactions) to the Close of Business on October 20, 2022

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 (Clearly Erroneous Transactions) to the Close of Business on October 20, 2022
Record Date: 07/26/2022
Event Classification: deadline
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot to October 20, 2022

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot to October 20, 2022
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot to October 20, 2022

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot to October 20, 2022
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31(a)(2)(B) Regarding Limit Order Price Protection

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31(a)(2)(B) Regarding Limit Order Price Protection
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31(a)(2)(B) Regarding Limit Order Price Protection

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31(a)(2)(B) Regarding Limit Order Price Protection
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31E(a)(2)(B) Regarding Limit Order Price Protection

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31E(a)(2)(B) Regarding Limit Order Price Protection
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31(a)(2)(B) Regarding Limit Order Price Protection

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31(a)(2)(B) Regarding Limit Order Price Protection
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Related to Colocation

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Related to Colocation
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule Related to Colocation

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule Related to Colocation
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Colocation

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Colocation
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Related To Colocation

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Related To Colocation
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Related to Colocation

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Related to Colocation
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding Complex Orders

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding Complex Orders
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515 To Make Minor, Non-Substantive Edits

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515 To Make Minor, Non-Substantive Edits
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Publication of FY 2019 Service Contract Inventory

Title: Publication of FY 2019 Service Contract Inventory
Record Date: 07/26/2022
Event Classification: award
Age Or Deadline Days: 1,493.07

HISA Enforcement Rule Modification

Title: HISA Enforcement Rule Modification
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 07/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,493.07

2022-07-19

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31E

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31E
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 6730 To Enhance TRACE Reporting Obligations for U.S. Treasury Securities

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 6730 To Enhance TRACE Reporting Obligations for U.S. Treasury Securities
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain of Its Rules Related to Market-Makers

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain of Its Rules Related to Market-Makers
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, and Exchange Rule 515, Execution of Orders and Quotes, To Permit Pricing of Stock-Option Complex Strategies in any Decimal Price the Exchange Determines

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, and Exchange Rule 515, Execution of Orders and Quotes, To Permit Pricing of Stock-Option Complex Strategies in any Decimal Price the Exchange Determines
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31-E
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Proxy Voting Advice

Title: Proxy Voting Advice
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Proposed Collection; Comment Request; Extension: Rule 15l-1

Title: Proposed Collection; Comment Request; Extension: Rule 15l-1
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Submission for OMB Review; Comment Request: Extension: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

Title: Submission for OMB Review; Comment Request: Extension: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Submission for OMB Review; Comment Request: Extension: Rule 18a-3

Title: Submission for OMB Review; Comment Request: Extension: Rule 18a-3
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Quaker Investment Trust and Community Capital Management, LLC

Title: Quaker Investment Trust and Community Capital Management, LLC
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

Adoption of Updated EDGAR Filer Manual

Title: Adoption of Updated EDGAR Filer Manual
Record Date: 07/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,500.07

2022-07-12

Proposed Collection; Comment Request; Extension: Rule 139b

Title: Proposed Collection; Comment Request; Extension: Rule 139b
Record Date: 07/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,507.07

Submission for OMB Review; Comment Request; Extension: Rule 7d-2

Title: Submission for OMB Review; Comment Request; Extension: Rule 7d-2
Record Date: 07/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,507.07

Submission for OMB Review; Comment Request: Extension: Rule 17Ad-16

Title: Submission for OMB Review; Comment Request: Extension: Rule 17Ad-16
Record Date: 07/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,507.07

Morgan Stanley Direct Lending Fund, et al.

Title: Morgan Stanley Direct Lending Fund, et al.
Record Date: 07/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,507.07

Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Connectivity Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Connectivity Fees
Record Date: 07/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,507.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 07/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,507.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Proprietary Market Data Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Proprietary Market Data Fee Schedule
Record Date: 07/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,507.07

Fair Credit Reporting; Permissible Purposes for Furnishing, Using, and Obtaining Consumer Reports

Title: Fair Credit Reporting; Permissible Purposes for Furnishing, Using, and Obtaining Consumer Reports
Record Date: 07/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,507.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 07/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,507.07

2022-07-05

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Multi-Leg Qualified Open Outcry Orders (“QOO Orders”) That Are Not Complex Orders To Trade in Penny Increments Regardless of the Minimum Increments Otherwise Applicable to the Individual Legs of the Multi-Leg QOO Order

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Multi-Leg Qualified Open Outcry Orders (“QOO Orders”) That Are Not Complex Orders To Trade in Penny Increments Regardless of the Minimum Increments Otherwise Applicable to the Individual Legs of the Multi-Leg QOO Order
Record Date: 07/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,514.07

Harley-Davidson Motor Company Group, LLC; Analysis of Proposed Consent Order To Aid Public Comment

Title: Harley-Davidson Motor Company Group, LLC; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 07/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,514.07

Debt Collection Practices (Regulation F); Pay-to-Pay Fees

Title: Debt Collection Practices (Regulation F); Pay-to-Pay Fees
Record Date: 07/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,514.07

2022-12-27

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,339.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4754 Regarding Close Eligible Interest

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4754 Regarding Close Eligible Interest
Record Date: 12/27/2022
Event Classification: deadline
Age Or Deadline Days: 1,339.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,339.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,339.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate MIAX's 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, MIAX PEARL, LLC

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate MIAX's 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, MIAX PEARL, LLC
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,339.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Establish a Monthly Membership Fee

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Establish a Monthly Membership Fee
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,339.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,339.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,339.07

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 519C Mass Cancellation of Trading Interest

Title: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 519C Mass Cancellation of Trading Interest
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,339.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate Its 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, Miami International Securities Exchange, LLC

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate Its 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, Miami International Securities Exchange, LLC
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,339.07

Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Corporation; Order Granting Proposed Rule Changes To Amend Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes

Title: Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Corporation; Order Granting Proposed Rule Changes To Amend Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Record Date: 12/27/2022
Event Classification: award
Age Or Deadline Days: 1,339.07

2022-12-20

Proposed Collection; Comment Request; Extension: Rule 19b-1

Title: Proposed Collection; Comment Request; Extension: Rule 19b-1
Record Date: 12/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,346.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rules 5605 and 5606

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rules 5605 and 5606
Record Date: 12/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,346.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19-E
Record Date: 12/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,346.07

Guides for the Use of Environmental Marketing Claims

Title: Guides for the Use of Environmental Marketing Claims
Record Date: 12/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,346.07

2022-12-13

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc.

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc.
Record Date: 12/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,353.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision) To Extend the Temporary Remote Inspection Relief to IEX Members for Calendar Year 2022

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision) To Extend the Temporary Remote Inspection Relief to IEX Members for Calendar Year 2022
Record Date: 12/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,353.07

Proposed Collection; Comment Request; Extension: Rule 17f-7

Title: Proposed Collection; Comment Request; Extension: Rule 17f-7
Record Date: 12/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,353.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 12/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,353.07

2022-12-06

Proposed Collection; Comment Request; Extension: Rule 19b-5 and Form PILOT

Title: Proposed Collection; Comment Request; Extension: Rule 19b-5 and Form PILOT
Record Date: 12/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,360.07

Proposed Collection; Comment Request; Extension: Regulation SBSR

Title: Proposed Collection; Comment Request; Extension: Regulation SBSR
Record Date: 12/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,360.07

Proposed Collection; Comment Request; Extension: Rule 15b1-1/Form BD

Title: Proposed Collection; Comment Request; Extension: Rule 15b1-1/Form BD
Record Date: 12/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,360.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listed Company Manual Section 302.00

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listed Company Manual Section 302.00
Record Date: 12/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,360.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series
Record Date: 12/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,360.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq 100 Micro Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq 100 Micro Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program
Record Date: 12/06/2022
Event Classification: award
Age Or Deadline Days: 1,360.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series
Record Date: 12/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,360.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series
Record Date: 12/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,360.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 12/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,360.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
Record Date: 12/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,360.07

iHeartMedia, Inc. and Google LLC; Analysis of Proposed Consent Order to Aid Public Comment

Title: iHeartMedia, Inc. and Google LLC; Analysis of Proposed Consent Order to Aid Public Comment
Record Date: 12/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,360.07

2022-08-30

Draft 2022-2026 Strategic Plan for Securities and Exchange Commission

Title: Draft 2022-2026 Strategic Plan for Securities and Exchange Commission
Record Date: 08/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,458.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 7

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 7
Record Date: 08/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,458.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 08/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,458.07

CCOF II Lux Feeder, SCSp, et al.

Title: CCOF II Lux Feeder, SCSp, et al.
Record Date: 08/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,458.07

Order Making Fiscal Year 2023 Annual Adjustments to Registration Fee Rates

Title: Order Making Fiscal Year 2023 Annual Adjustments to Registration Fee Rates
Record Date: 08/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,458.07

2022-08-23

Clearing Agency Governance and Conflicts of Interest

Title: Clearing Agency Governance and Conflicts of Interest
Record Date: 08/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,465.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.34(b) Related to Price Protections and Risk Controls for Complex Orders

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.34(b) Related to Price Protections and Risk Controls for Complex Orders
Record Date: 08/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,465.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Thrivent Small-Mid Cap ESG ETF Under NYSE Arca Rule 8.601-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Thrivent Small-Mid Cap ESG ETF Under NYSE Arca Rule 8.601-E
Record Date: 08/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,465.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Facility Fees Section in the Fees Schedule in Connection With the Exchange's New Trading Floor

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Facility Fees Section in the Fees Schedule in Connection With the Exchange's New Trading Floor
Record Date: 08/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,465.07

VALIC Timed Opportunity Fund, Inc.; Notice of Intention To Rescind Order

Title: VALIC Timed Opportunity Fund, Inc.; Notice of Intention To Rescind Order
Record Date: 08/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,465.07

Merrill Lynch Corporate Dividend Fund, Inc., et al.

Title: Merrill Lynch Corporate Dividend Fund, Inc., et al.
Record Date: 08/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,465.07

Proposed Collection; Comment Request; Extension: Regulation S-AM

Title: Proposed Collection; Comment Request; Extension: Regulation S-AM
Record Date: 08/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,465.07

2022-08-16

Owl Rock Capital Corporation, et al.

Title: Owl Rock Capital Corporation, et al.
Record Date: 08/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,472.07

Proposed Collection; Comment Request; Extension: Rule 17a-1

Title: Proposed Collection; Comment Request; Extension: Rule 17a-1
Record Date: 08/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,472.07

Submission for OMB Review; Comment Request; Extension: Rule 17a-25

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-25
Record Date: 08/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,472.07

Submission for OMB Review; Comment Request; Extension: Rule 17a-10

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-10
Record Date: 08/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,472.07

Order Granting Application by Nasdaq PHLX LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference

Title: Order Granting Application by Nasdaq PHLX LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
Record Date: 08/16/2022
Event Classification: award
Age Or Deadline Days: 1,472.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Order Type That Pegs to the Contra-Side Primary Quote, With the Option of Using a Passive Offset Amount

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Order Type That Pegs to the Contra-Side Primary Quote, With the Option of Using a Passive Offset Amount
Record Date: 08/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,472.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities
Record Date: 08/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,472.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend and Update Rule 35

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend and Update Rule 35
Record Date: 08/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,472.07

2022-08-09

iShares MSCI Russia ETF, a Series of iShares Inc., and BlackRock Fund Advisors; Notice of Application and Temporary Order

Title: iShares MSCI Russia ETF, a Series of iShares Inc., and BlackRock Fund Advisors; Notice of Application and Temporary Order
Record Date: 08/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,479.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13
Record Date: 08/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,479.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-2040-5 To Add the Firm Element Component to the Continuing Education Requirement, and Make Other Conforming and Clerical Updates to IM-2040-4 and Delete IM 2020-1

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-2040-5 To Add the Firm Element Component to the Continuing Education Requirement, and Make Other Conforming and Clerical Updates to IM-2040-4 and Delete IM 2020-1
Record Date: 08/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,479.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees
Record Date: 08/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,479.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Record Date: 08/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,479.07

Weber-Stephen Products LLC; Analysis of Proposed Consent Order To Aid Public Comment

Title: Weber-Stephen Products LLC; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 08/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,479.07

Opendoor Labs Inc; Analysis of Proposed Consent Order To Aid Public Comment

Title: Opendoor Labs Inc; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 08/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,479.07

2022-08-02

KKR Income Opportunities Fund, et al.

Title: KKR Income Opportunities Fund, et al.
Record Date: 08/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,486.07

Proposed Collection; Comment Request; Extension: Rule 17a-3

Title: Proposed Collection; Comment Request; Extension: Rule 17a-3
Record Date: 08/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,486.07

Submission for OMB Review; Comment Request: Extension: Rule 31 and Form R31

Title: Submission for OMB Review; Comment Request: Extension: Rule 31 and Form R31
Record Date: 08/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,486.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees To Add Two New Features to the Enterprise Licenses at Equity 7, Section 123(c)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees To Add Two New Features to the Enterprise Licenses at Equity 7, Section 123(c)
Record Date: 08/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,486.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98
Record Date: 08/02/2022
Event Classification: award
Age Or Deadline Days: 1,486.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision)
Record Date: 08/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,486.07

2022-04-26

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 04/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,584.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot Until July 20, 2022

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot Until July 20, 2022
Record Date: 04/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,584.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures
Record Date: 04/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,584.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot Until July 20, 2022

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot Until July 20, 2022
Record Date: 04/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,584.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule6.37AP-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule6.37AP-O
Record Date: 04/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,584.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot Until July 20, 2022

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot Until July 20, 2022
Record Date: 04/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,584.07

2022-04-19

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes
Record Date: 04/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,591.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Establish the Securities Financing Transaction Clearing Service and Make Other Changes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Establish the Securities Financing Transaction Clearing Service and Make Other Changes
Record Date: 04/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,591.07

Adoption of Updated EDGAR Filer Manual

Title: Adoption of Updated EDGAR Filer Manual
Record Date: 04/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,591.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Record Date: 04/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,591.07

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Rules for Market-Wide Circuit Breakers in Rule 11.280

Title: Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Rules for Market-Wide Circuit Breakers in Rule 11.280
Record Date: 04/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,591.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks)
Record Date: 04/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,591.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make the Market Wide Circuit Breaker Pilot a Permanent Program

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make the Market Wide Circuit Breaker Pilot a Permanent Program
Record Date: 04/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,591.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make the Market Wide Circuit Breaker Pilot a Permanent Program

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make the Market Wide Circuit Breaker Pilot a Permanent Program
Record Date: 04/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,591.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make the Market Wide Circuit Breaker Pilot a Permanent Program

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make the Market Wide Circuit Breaker Pilot a Permanent Program
Record Date: 04/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,591.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 04/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,591.07

Securities Exchange Act of 1934; Order Granting Petition for Review and Scheduling Filing of Statements; In the Matter of Financial Industry Regulatory Authority, Inc. Regarding an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Requirements for Covered Agency Transactions Under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036

Title: Securities Exchange Act of 1934; Order Granting Petition for Review and Scheduling Filing of Statements; In the Matter of Financial Industry Regulatory Authority, Inc. Regarding an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Requirements for Covered Agency Transactions Under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036
Record Date: 04/19/2022
Event Classification: award
Age Or Deadline Days: 1,591.07

2022-04-12

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 04/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,598.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Governance Playbook

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Governance Playbook
Record Date: 04/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,598.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)
Record Date: 04/12/2022
Event Classification: award
Age Or Deadline Days: 1,598.07

2022-04-05

Principal Exchange-Traded Funds, et al.

Title: Principal Exchange-Traded Funds, et al.
Record Date: 04/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,605.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 6A

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 6A
Record Date: 04/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,605.07

2022-09-29

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearly Erroneous Rules

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearly Erroneous Rules
Record Date: 09/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,428.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments
Record Date: 09/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,428.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearly Erroneous Rules

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearly Erroneous Rules
Record Date: 09/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,428.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Equity 11, Rule 11890

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Equity 11, Rule 11890
Record Date: 09/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,428.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Exchange Rule 13.4(a) Regarding the Exchange's Usage of Data Feeds

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Exchange Rule 13.4(a) Regarding the Exchange's Usage of Data Feeds
Record Date: 09/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,428.07

Regulation Crowdfunding, General Rules and Regulations

Title: Regulation Crowdfunding, General Rules and Regulations
Record Date: 09/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,428.07

2022-09-22

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Increase the Minimum Required Fund Deposit for GSD Netting Members and Sponsoring Members, and Make Other Changes

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Increase the Minimum Required Fund Deposit for GSD Netting Members and Sponsoring Members, and Make Other Changes
Record Date: 09/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,435.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality
Record Date: 09/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,435.07

Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the CDSClear CCP Switch Programme

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the CDSClear CCP Switch Programme
Record Date: 09/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,435.07

Self-Regulatory Organizations; MIAX Emerald LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Emerald Order Monitor

Title: Self-Regulatory Organizations; MIAX Emerald LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Emerald Order Monitor
Record Date: 09/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,435.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise
Record Date: 09/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,435.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Equities Price List

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Equities Price List
Record Date: 09/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,435.07

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule
Record Date: 09/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,435.07

2022-09-15

Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 09/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,442.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 09/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,442.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 09/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,442.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Number of Clarifications and Enhancements to NSCC's Rules & Procedures

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Number of Clarifications and Enhancements to NSCC's Rules & Procedures
Record Date: 09/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,442.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees, at Equity 7, Section 3, and Options 7, Section 9

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees, at Equity 7, Section 3, and Options 7, Section 9
Record Date: 09/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,442.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees, at Equity 7, Section 115, and Options 7, Section 3

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Port-Related Fees, at Equity 7, Section 115, and Options 7, Section 3
Record Date: 09/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,442.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118 and Clarify Its Port-related Fees at Options 7, Section 3

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118 and Clarify Its Port-related Fees at Options 7, Section 3
Record Date: 09/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,442.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning One Multiplier Options

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning One Multiplier Options
Record Date: 09/15/2022
Event Classification: award
Age Or Deadline Days: 1,442.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual
Record Date: 09/15/2022
Event Classification: deadline
Age Or Deadline Days: 1,442.07

Submission for OMB Review; Comment Request; Extension: Rule 18a-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 18a-1
Record Date: 09/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,442.07

2022-09-08

Pay Versus Performance

Title: Pay Versus Performance
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Revise the Excess Capital Premium Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Revise the Excess Capital Premium Charge
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearing Rules

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearing Rules
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 14.11(d) To Accommodate Exchange Listing and Trading of Options-Linked Securities

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 14.11(d) To Accommodate Exchange Listing and Trading of Options-Linked Securities
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend CBOE Rule 5.32 With Respect to the Handling of Cancel/Replace Messages

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend CBOE Rule 5.32 With Respect to the Handling of Cancel/Replace Messages
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend BZX Rule 11.17, Clearly Erroneous Executions

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend BZX Rule 11.17, Clearly Erroneous Executions
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Proposed Rule Change To Adopt Rules Related to ISO Functionality

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Proposed Rule Change To Adopt Rules Related to ISO Functionality
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Related to a Master Repurchase Agreement as Part of The Options Clearing Corporation's Overall Liquidity Plan

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Related to a Master Repurchase Agreement as Part of The Options Clearing Corporation's Overall Liquidity Plan
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Related to an Expansion of The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Related to an Expansion of The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,449.07

2022-09-01

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Title: Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Record Date: 09/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,456.07

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 09/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,456.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.05 of the NYSE Listed Company Manual To Establish a Cap on Listing Fees Billed When a Structured Product Is Issued as a Dividend

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.05 of the NYSE Listed Company Manual To Establish a Cap on Listing Fees Billed When a Structured Product Is Issued as a Dividend
Record Date: 09/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,456.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule
Record Date: 09/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,456.07

Self-Regulatory Organizations; The Depository Trust Company; Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; The Depository Trust Company; Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 09/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,456.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 09/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,456.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 09/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,456.07

2022-10-27

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 10/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,400.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Increase Certain Connectivity Fees and Increase the Monthly Fees for MIAX Express Network Full Service Ports

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Increase Certain Connectivity Fees and Increase the Monthly Fees for MIAX Express Network Full Service Ports
Record Date: 10/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,400.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC and MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC and MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products
Record Date: 10/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,400.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(e)

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(e)
Record Date: 10/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,400.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7 in Connection With a Technology Migration

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7 in Connection With a Technology Migration
Record Date: 10/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,400.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Increase Certain Connectivity Fees and Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Increase Certain Connectivity Fees and Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports
Record Date: 10/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,400.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Increase Certain Connectivity Fees and Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Increase Certain Connectivity Fees and Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports
Record Date: 10/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,400.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 10/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,400.07

2022-10-20

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend the NYSE Arca Equities Fees and Charges

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend the NYSE Arca Equities Fees and Charges
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

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

Title: 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
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 14.11(d) To Accommodate Exchange Listing and Trading of Options-Linked Securities

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 14.11(d) To Accommodate Exchange Listing and Trading of Options-Linked Securities
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules Relating to the Processing of Auction Responses

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules Relating to the Processing of Auction Responses
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

Trade Regulation Rule on Commercial Surveillance and Data Security

Title: Trade Regulation Rule on Commercial Surveillance and Data Security
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

Consumer Leasing (Regulation M)

Title: Consumer Leasing (Regulation M)
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

Truth in Lending (Regulation Z)

Title: Truth in Lending (Regulation Z)
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

Appraisals for Higher-Priced Mortgage Loans Exemption Threshold

Title: Appraisals for Higher-Priced Mortgage Loans Exemption Threshold
Record Date: 10/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,407.07

2022-10-13

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Two Pilot Programs

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Two Pilot Programs
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Two Pilot Programs

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Two Pilot Programs
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 Concerning Drill-Through Protection and Fat Finger Check

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 Concerning Drill-Through Protection and Fat Finger Check
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 Concerning Drill-Through Protection and Fat Finger Check

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 Concerning Drill-Through Protection and Fat Finger Check
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 Concerning Drill-Through Protection and Fat Finger Check

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 Concerning Drill-Through Protection and Fat Finger Check
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Facility Fees Section in the Fees Schedule in Connection With the Exchange's New Trading Floor

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Facility Fees Section in the Fees Schedule in Connection With the Exchange's New Trading Floor
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

Adoption of Updated EDGAR Filer Manual

Title: Adoption of Updated EDGAR Filer Manual
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Extend the Waiver Period for Certain Non-Transaction Fees and To Extend the SPIKES Options Market Maker Incentive Program Until December 31, 2022

Title: Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Extend the Waiver Period for Certain Non-Transaction Fees and To Extend the SPIKES Options Market Maker Incentive Program Until December 31, 2022
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule
Record Date: 10/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,414.07

2022-10-06

Self-Regulatory Organizations; BOX Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Article 4 of the Exchange's Bylaws To Establish a Staggered Board

Title: Self-Regulatory Organizations; BOX Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Article 4 of the Exchange's Bylaws To Establish a Staggered Board
Record Date: 10/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,421.07

Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940

Title: Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940
Record Date: 10/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,421.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,421.07

2022-11-10

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of filing of Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of filing of Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework
Record Date: 11/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,386.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options
Record Date: 11/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,386.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Amend Certain Fees and Rebates for Qualified Contingent Cross Transactions

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Amend Certain Fees and Rebates for Qualified Contingent Cross Transactions
Record Date: 11/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,386.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 6.64P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 6.64P-O
Record Date: 11/10/2022
Event Classification: award
Age Or Deadline Days: 1,386.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Years 2020 and 2021, and Through December 31 of Calendar Year 2022) Under FINRA Rule 3110 (Supervision)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Years 2020 and 2021, and Through December 31 of Calendar Year 2022) Under FINRA Rule 3110 (Supervision)
Record Date: 11/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,386.07

HISA Assessment Methodology Rule Modification

Title: HISA Assessment Methodology Rule Modification
Record Date: 11/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,386.07

2022-11-03

Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

Title: Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,393.07

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest

Title: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,393.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,393.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Standard Monthly Expirations for NQX

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Standard Monthly Expirations for NQX
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,393.07

Proposed Collection; Comment Request; Extension: Rule 17Ad-22

Title: Proposed Collection; Comment Request; Extension: Rule 17Ad-22
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,393.07

Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,393.07

2022-05-26

Lafayette Square Empire BDC, Inc., et al

Title: Lafayette Square Empire BDC, Inc., et al
Record Date: 05/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,554.07

Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Connectivity Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Connectivity Fees
Record Date: 05/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,554.07

Authority of States To Enforce the Consumer Financial Protection Act of 2010

Title: Authority of States To Enforce the Consumer Financial Protection Act of 2010
Record Date: 05/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,554.07

2022-05-19

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,561.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,561.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,561.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,561.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 05/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,561.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Principal Real Estate Active Opportunities ETF Under NYSE Arca Rule 8.601 (Active Proxy Portfolio Shares)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Principal Real Estate Active Opportunities ETF Under NYSE Arca Rule 8.601 (Active Proxy Portfolio Shares)
Record Date: 05/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,561.07

Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Cash-Settled FLEX ETF Options

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Cash-Settled FLEX ETF Options
Record Date: 05/19/2022
Event Classification: award
Age Or Deadline Days: 1,561.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data
Record Date: 05/19/2022
Event Classification: deadline
Age Or Deadline Days: 1,561.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data
Record Date: 05/19/2022
Event Classification: deadline
Age Or Deadline Days: 1,561.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data
Record Date: 05/19/2022
Event Classification: deadline
Age Or Deadline Days: 1,561.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data
Record Date: 05/19/2022
Event Classification: deadline
Age Or Deadline Days: 1,561.07

Proposed Collection; Comment Request; Extension: Form T-4

Title: Proposed Collection; Comment Request; Extension: Form T-4
Record Date: 05/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,561.07

Proposed Collection; Comment Request; Extension: Rule 15Ba2-5

Title: Proposed Collection; Comment Request; Extension: Rule 15Ba2-5
Record Date: 05/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,561.07

Proposed Collection; Comment Request; Extension: Schedule 14D-1F

Title: Proposed Collection; Comment Request; Extension: Schedule 14D-1F
Record Date: 05/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,561.07

Lions Not Sheep; Analysis of Proposed Consent Order To Aid Public Comment

Title: Lions Not Sheep; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 05/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,561.07

2022-05-12

Fair Lending Report of the Consumer Financial Protection Bureau, May 2022

Title: Fair Lending Report of the Consumer Financial Protection Bureau, May 2022
Record Date: 05/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,568.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 05/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,568.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 7.31-E(h)(3)

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 7.31-E(h)(3)
Record Date: 05/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,568.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 05/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,568.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 05/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,568.07

Self-Regulatory Organizations; MEMX LLC; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program

Title: Self-Regulatory Organizations; MEMX LLC; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program
Record Date: 05/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,568.07

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Title: The Enhancement and Standardization of Climate-Related Disclosures for Investors
Record Date: 05/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,568.07

Reopening of Comment Periods for “Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews” and “Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities”

Title: Reopening of Comment Periods for “Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews” and “Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities”
Record Date: 05/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,568.07

2022-05-05

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 05/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,575.07

Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the CDS Clearing Rule Book, Supplement, and Procedures

Title: Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the CDS Clearing Rule Book, Supplement, and Procedures
Record Date: 05/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,575.07

Supervisory Highlights, Issue 26, Spring 2022

Title: Supervisory Highlights, Issue 26, Spring 2022
Record Date: 05/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,575.07

2022-03-31

Self-Regulatory Organizations; NYSE Arca, 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 List and Trade Shares of the Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Title: Self-Regulatory Organizations; NYSE Arca, 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 List and Trade Shares of the Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Record Date: 03/31/2022
Event Classification: award
Age Or Deadline Days: 1,610.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule
Record Date: 03/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,610.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products
Record Date: 03/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,610.07

Application: Deregistration Under the Investment Company Act

Title: Application: Deregistration Under the Investment Company Act
Record Date: 03/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,610.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons and Move Those Rules From Interpretation and Policy .02 of Rule 2.5 to Proposed Rule 2.16 and To Amend Related Registration Requirements Provided Under Various Interpretations and Policies of Rule 2.5

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons and Move Those Rules From Interpretation and Policy .02 of Rule 2.5 to Proposed Rule 2.16 and To Amend Related Registration Requirements Provided Under Various Interpretations and Policies of Rule 2.5
Record Date: 03/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,610.07

2022-06-30

Advisory Committees Solicitation of Applications for Membership

Title: Advisory Committees Solicitation of Applications for Membership
Record Date: 06/30/2022
Event Classification: alert
Age Or Deadline Days: 1,519.07

Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F

Title: Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Record Date: 06/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,519.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Facility Fees Section in the Fees Schedule in Connection With the Exchange's New Trading Floor

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Facility Fees Section in the Fees Schedule in Connection With the Exchange's New Trading Floor
Record Date: 06/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,519.07

Investment Company Act Release No. 34636

Title: Investment Company Act Release No. 34636
Record Date: 06/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,519.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 6.64P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 6.64P-O
Record Date: 06/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,519.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Temporary Remote Inspection Relief for Trading Permit Holder's Office Inspections for Calendar Years 2020 and 2021 To Include Calendar Year 2022 Through December 31, 2022

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Temporary Remote Inspection Relief for Trading Permit Holder's Office Inspections for Calendar Years 2020 and 2021 To Include Calendar Year 2022 Through December 31, 2022
Record Date: 06/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,519.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 7.31-E(h)(3) Relating to Discretionary Pegged Orders

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 7.31-E(h)(3) Relating to Discretionary Pegged Orders
Record Date: 06/30/2022
Event Classification: award
Age Or Deadline Days: 1,519.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 7.31-E(h)(3) Relating to Discretionary Pegged Orders

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 7.31-E(h)(3) Relating to Discretionary Pegged Orders
Record Date: 06/30/2022
Event Classification: award
Age Or Deadline Days: 1,519.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Certain Non-Substantive Clarifying Changes to Article 7, Rule 12

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Certain Non-Substantive Clarifying Changes to Article 7, Rule 12
Record Date: 06/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,519.07

2022-06-23

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(4) Regarding Directed Orders

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(4) Regarding Directed Orders
Record Date: 06/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,526.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Rule 7.31-E To Add Subparagraph (f)(4) Regarding Directed Orders

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Rule 7.31-E To Add Subparagraph (f)(4) Regarding Directed Orders
Record Date: 06/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,526.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Rule 7.31E To Add Subparagraph (f)(4) Regarding Directed Orders

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Rule 7.31E To Add Subparagraph (f)(4) Regarding Directed Orders
Record Date: 06/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,526.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(1) Regarding Directed Orders

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(1) Regarding Directed Orders
Record Date: 06/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,526.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(4) Regarding Directed Orders

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(4) Regarding Directed Orders
Record Date: 06/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,526.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amendments to the ICE Clear Europe Rules

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amendments to the ICE Clear Europe Rules
Record Date: 06/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,526.07

ARKO/GPM Investments; Analysis of Agreement Containing Consent Orders To Aid Public Comment

Title: ARKO/GPM Investments; Analysis of Agreement Containing Consent Orders To Aid Public Comment
Record Date: 06/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,526.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 06/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,526.07

2022-06-16

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Record Date: 06/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,533.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend ISE Options 4, Section 5, Series of Options Contracts Open for Trading

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend ISE Options 4, Section 5, Series of Options Contracts Open for Trading
Record Date: 06/16/2022
Event Classification: award
Age Or Deadline Days: 1,533.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend the Provisions of NYSE Rule 7.35B

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend the Provisions of NYSE Rule 7.35B
Record Date: 06/16/2022
Event Classification: award
Age Or Deadline Days: 1,533.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ALPS Active REIT ETF of ALPS ETF Trust To Provide for the Use of “Custom Baskets” Applicable to a Series of Proxy Portfolio Shares Listed Pursuant to Nasdaq Rule 5750

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ALPS Active REIT ETF of ALPS ETF Trust To Provide for the Use of “Custom Baskets” Applicable to a Series of Proxy Portfolio Shares Listed Pursuant to Nasdaq Rule 5750
Record Date: 06/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,533.07

Proposed Collection; Comment Request: Extension; Rule 14f-1

Title: Proposed Collection; Comment Request: Extension; Rule 14f-1
Record Date: 06/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,533.07

Proposed Collection; Comment Request: Extension; Rule 701

Title: Proposed Collection; Comment Request: Extension; Rule 701
Record Date: 06/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,533.07

2022-06-09

Joint Industry Plan; Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.

Title: Joint Industry Plan; Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Record Date: 06/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,540.07

Voya Senior Income Fund, et al.

Title: Voya Senior Income Fund, et al.
Record Date: 06/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,540.07

Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.

Title: Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Record Date: 06/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,540.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 06/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,540.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 06/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,540.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees
Record Date: 06/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,540.07

Self-Regulatory Organizations; BOX Exchange LLC.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations) To Expand the List of Violations Eligible for Disposition Under the Exchange's Minor Rule Violation Plan and Update the Fine Schedule Applicable to Certain Minor Rule Violations

Title: Self-Regulatory Organizations; BOX Exchange LLC.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations) To Expand the List of Violations Eligible for Disposition Under the Exchange's Minor Rule Violation Plan and Update the Fine Schedule Applicable to Certain Minor Rule Violations
Record Date: 06/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,540.07

Buckeye/Magellan; Analysis of Agreement Containing Consent Orders To Aid Public Comment

Title: Buckeye/Magellan; Analysis of Agreement Containing Consent Orders To Aid Public Comment
Record Date: 06/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,540.07

2022-06-02

Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation

Title: Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation
Record Date: 06/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,547.07

Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements
Record Date: 06/02/2022
Event Classification: award
Age Or Deadline Days: 1,547.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise
Record Date: 06/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,547.07

Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation

Title: Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation
Record Date: 06/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,547.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees
Record Date: 06/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,547.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees
Record Date: 06/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,547.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Adopt Rules 10.9216(b) and 10.9217 in Connection With a Companion Filing To Adopt Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of Its Affiliates

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Adopt Rules 10.9216(b) and 10.9217 in Connection With a Companion Filing To Adopt Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of Its Affiliates
Record Date: 06/02/2022
Event Classification: award
Age Or Deadline Days: 1,547.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Record Date: 06/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,547.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Record Date: 06/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,547.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice To Introduce Central Clearing for Securities Financing Transaction Clearing Service

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice To Introduce Central Clearing for Securities Financing Transaction Clearing Service
Record Date: 06/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,547.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 06/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,547.07

2022-07-28

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A and Exchange Rule 518

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A and Exchange Rule 518
Record Date: 07/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,491.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Amend Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to Rule 7.31, Rule 7.35, Rule 7.35B and Rule 104

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Amend Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to Rule 7.31, Rule 7.35, Rule 7.35B and Rule 104
Record Date: 07/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,491.07

Proposed Collection; Comment Request; Extension: Rule 31a-2

Title: Proposed Collection; Comment Request; Extension: Rule 31a-2
Record Date: 07/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,491.07

2022-07-21

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2022

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2022
Record Date: 07/21/2022
Event Classification: deadline
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 952NY

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 952NY
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31-E(a)(2)(B) Regarding Limit Order Price Protection

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31-E(a)(2)(B) Regarding Limit Order Price Protection
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the Route to Primary Auction Routing Option Under Exchange Rule 2617(b)(5)(B)

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the Route to Primary Auction Routing Option Under Exchange Rule 2617(b)(5)(B)
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Connectivity Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Connectivity Fees
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain NOM Market Maker Non-Penny Discounts in Options 7, Section 2

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain NOM Market Maker Non-Penny Discounts in Options 7, Section 2
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

2022-07-14

Sixth Street Specialty Lending, Inc., et al

Title: Sixth Street Specialty Lending, Inc., et al
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail

Title: Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 07/14/2022
Event Classification: award
Age Or Deadline Days: 1,505.07

In the Matter of the: Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail; In the Matter of the: Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Exchange Act and Rule 608(e) of Regulation NMS Under the Exchange Act, From Section 8.1.1 and Section 8.1.2 of Appendix D of the National Market System Plan Governing the Consolidated Audit Trail; Order Denying Stay

Title: In the Matter of the: Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail; In the Matter of the: Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Exchange Act and Rule 608(e) of Regulation NMS Under the Exchange Act, From Section 8.1.1 and Section 8.1.2 of Appendix D of the National Market System Plan Governing the Consolidated Audit Trail; Order Denying Stay
Record Date: 07/14/2022
Event Classification: award
Age Or Deadline Days: 1,505.07

Proposed Collection; Comment Request; Extension: Rule 194

Title: Proposed Collection; Comment Request; Extension: Rule 194
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade FLexible EXchange Index Options With an Index Multiplier of One

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade FLexible EXchange Index Options With an Index Multiplier of One
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.22 To Remove Certain References to the Market-Wide Circuit Breaker Program

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.22 To Remove Certain References to the Market-Wide Circuit Breaker Program
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.20 To Remove Certain References to the Market-Wide Circuit Breaker Program

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.20 To Remove Certain References to the Market-Wide Circuit Breaker Program
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Distributions Guide To Enhance the Tax Event Announcements Feature of the Distributions Service and Make Related Clarifying Changes

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Distributions Guide To Enhance the Tax Event Announcements Feature of the Distributions Service and Make Related Clarifying Changes
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Require Applicants, Participants, and Pledgees To Maintain or Upgrade Their Network or Communications Technology

Title: Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Require Applicants, Participants, and Pledgees To Maintain or Upgrade Their Network or Communications Technology
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

2022-07-07

Proposed Collection; Comment Request; Extension: Rules 17h-1T and 17h-2T

Title: Proposed Collection; Comment Request; Extension: Rules 17h-1T and 17h-2T
Record Date: 07/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,512.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Decommission the Insurance Profile Service, Adjust Fees for Insurance Information Exchange Service and Make Certain Other Corrections in the Rules

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Decommission the Insurance Profile Service, Adjust Fees for Insurance Information Exchange Service and Make Certain Other Corrections in the Rules
Record Date: 07/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,512.07

Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Registration Requirements, Exchange Rule 3103, Continuing Education Requirements, and Exchange Rule 3104, Electronic Filing Requirements for Uniform Forms

Title: Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Registration Requirements, Exchange Rule 3103, Continuing Education Requirements, and Exchange Rule 3104, Electronic Filing Requirements for Uniform Forms
Record Date: 07/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,512.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6120 (Trading Halts) To Conform to Recent Amendments to the SIP Plans and To Make Technical and Clarifying Changes to the Rule

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6120 (Trading Halts) To Conform to Recent Amendments to the SIP Plans and To Make Technical and Clarifying Changes to the Rule
Record Date: 07/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,512.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 07/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,512.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 07/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,512.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 07/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,512.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 07/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,512.07

2022-12-29

Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders

Title: Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Insider Trading Arrangements and Related Disclosures

Title: Insider Trading Arrangements and Related Disclosures
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Touchstone Strategic Trust, et al.

Title: Touchstone Strategic Trust, et al.
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Increase the Position and Exercise Limits for Options on Apple Inc. Stock

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Increase the Position and Exercise Limits for Options on Apple Inc. Stock
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail

Title: Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2 Concerning the NOM Pricing Schedule

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2 Concerning the NOM Pricing Schedule
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rules 900.2NY, 925NY and 993NY

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rules 900.2NY, 925NY and 993NY
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Equity 4, Rule 3100 to Establish Common Criteria and Procedures for Halting and Resuming Trading in Equity Securities in the Event of Regulatory or Operational Issues

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Equity 4, Rule 3100 to Establish Common Criteria and Procedures for Halting and Resuming Trading in Equity Securities in the Event of Regulatory or Operational Issues
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning a Risk Management Framework and Corporate Risk Management Policy

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning a Risk Management Framework and Corporate Risk Management Policy
Record Date: 12/29/2022
Event Classification: award
Age Or Deadline Days: 1,337.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain MBSD Fees

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain MBSD Fees
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023

Title: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2023
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Record Date: 12/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,337.07

Franklin FTSE Russia ETF, a Series of Franklin Templeton ETF Trust, and Franklin Advisory Services, LLC; Notice of Application and Temporary Order

Title: Franklin FTSE Russia ETF, a Series of Franklin Templeton ETF Trust, and Franklin Advisory Services, LLC; Notice of Application and Temporary Order
Record Date: 12/29/2022
Event Classification: alert
Age Or Deadline Days: 1,337.07

2022-12-22

Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers

Title: Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain ISE Complex Order Functionalities in Connection With a Technology Migration

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain ISE Complex Order Functionalities in Connection With a Technology Migration
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Functionality in Connection With a Technology Migration

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Functionality in Connection With a Technology Migration
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Partial Amendment No. 1 to Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Partial Amendment No. 1 to Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees

Title: Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Relating to FINRA Fees
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Make Certain Amendments to the Preamble to Rule 9217 and To Add Rule 2.1210 to the Exchange's Minor Rule Violation Plan for Equities and Options

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Make Certain Amendments to the Preamble to Rule 9217 and To Add Rule 2.1210 to the Exchange's Minor Rule Violation Plan for Equities and Options
Record Date: 12/22/2022
Event Classification: award
Age Or Deadline Days: 1,344.07

Golub Capital BDC, Inc., et al.

Title: Golub Capital BDC, Inc., et al.
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

ACAP Strategic Fund, et al.

Title: ACAP Strategic Fund, et al.
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 12/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,344.07

2022-12-15

Intent To Make Preemption Determination Under the Truth in Lending Act (Regulation Z)

Title: Intent To Make Preemption Determination Under the Truth in Lending Act (Regulation Z)
Record Date: 12/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,351.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 12/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,351.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule
Record Date: 12/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,351.07

MidCap Financial Investment Corporation, et al.

Title: MidCap Financial Investment Corporation, et al.
Record Date: 12/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,351.07

2022-12-08

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 12/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,358.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise
Record Date: 12/08/2022
Event Classification: award
Age Or Deadline Days: 1,358.07

2022-12-01

Google LLC and iHeartMedia, Inc.; Analysis of Proposed Consent Order To Aid Public Comment

Title: Google LLC and iHeartMedia, Inc.; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 12/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,365.07

2022-08-25

Proposed Collection; Comment Request; Extension: Rules 13n-4(b)(9), (b)(10) and (d)

Title: Proposed Collection; Comment Request; Extension: Rules 13n-4(b)(9), (b)(10) and (d)
Record Date: 08/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,463.07

Electrowarmth Products, LLC; Analysis of Proposed Consent Order To Aid Public Comment

Title: Electrowarmth Products, LLC; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 08/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,463.07

Brightwood Capital Corporation I, et al.

Title: Brightwood Capital Corporation I, et al.
Record Date: 08/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,463.07

2022-08-18

Public Company Accounting Oversight Board; Order Granting Approval of Amendments to Auditing Standards Governing the Planning and Supervision of Audits Involving Other Auditors and Dividing Responsibility for the Audit With Another Accounting Firm

Title: Public Company Accounting Oversight Board; Order Granting Approval of Amendments to Auditing Standards Governing the Planning and Supervision of Audits Involving Other Auditors and Dividing Responsibility for the Audit With Another Accounting Firm
Record Date: 08/18/2022
Event Classification: award
Age Or Deadline Days: 1,470.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings
Record Date: 08/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,470.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Nasdaq Equity 6, Section 5

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Nasdaq Equity 6, Section 5
Record Date: 08/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,470.07

Notice of Intention To Cancel Registration of Certain Municipal Advisors

Title: Notice of Intention To Cancel Registration of Certain Municipal Advisors
Record Date: 08/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,470.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Codify Certain Practices and Requirements Related to the Exchange's Port Message Rate Thresholds

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Codify Certain Practices and Requirements Related to the Exchange's Port Message Rate Thresholds
Record Date: 08/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,470.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 7.39 and Delete Current Rules 900-907

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 7.39 and Delete Current Rules 900-907
Record Date: 08/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,470.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rule 7.39E

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rule 7.39E
Record Date: 08/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,470.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 08/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,470.07

2022-08-11

MSD Investment Corp., et al.

Title: MSD Investment Corp., et al.
Record Date: 08/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,477.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 08/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,477.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Exempt Non-Convertible Bonds Listed Under Rule 5702 From Certain Corporate Governance Requirements

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Exempt Non-Convertible Bonds Listed Under Rule 5702 From Certain Corporate Governance Requirements
Record Date: 08/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,477.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Record Date: 08/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,477.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Record Date: 08/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,477.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance National Securities Clearing Corporation Automated Customer Account Transfer Service

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance National Securities Clearing Corporation Automated Customer Account Transfer Service
Record Date: 08/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,477.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities
Record Date: 08/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,477.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Equities Proprietary Market Data Fees To Adopt a Professional User Fee Cap and an Enterprise Fee for Broker-Dealer Subscribers of NYSE OpenBook

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Equities Proprietary Market Data Fees To Adopt a Professional User Fee Cap and an Enterprise Fee for Broker-Dealer Subscribers of NYSE OpenBook
Record Date: 08/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,477.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 08/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,477.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 08/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,477.07

2022-08-04

Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 4.13

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 4.13
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program
Record Date: 08/04/2022
Event Classification: award
Age Or Deadline Days: 1,484.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Exchange Rule 13.4(a) Regarding the Exchange's Usage of Data Feeds

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Exchange Rule 13.4(a) Regarding the Exchange's Usage of Data Feeds
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program
Record Date: 08/04/2022
Event Classification: award
Age Or Deadline Days: 1,484.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Outsourcing Policy

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Outsourcing Policy
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Proposed Collection; Comment Request: Extension: Form F-1

Title: Proposed Collection; Comment Request: Extension: Form F-1
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Proposed Collection; Comment Request: Extension: Industry Guides

Title: Proposed Collection; Comment Request: Extension: Industry Guides
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Proposed Collection; Comment Request: Extension: Form 10

Title: Proposed Collection; Comment Request: Extension: Form 10
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Proposed Collection; Comment Request: Extension: Rule 12d1-3

Title: Proposed Collection; Comment Request: Extension: Rule 12d1-3
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Proposed Collection; Comment Request: Extension: Form S-4

Title: Proposed Collection; Comment Request: Extension: Form S-4
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Proposed Collection; Comment Request: Extension: Form F-4

Title: Proposed Collection; Comment Request: Extension: Form F-4
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Proposed Collection; Comment Request: Extension: Form F-7

Title: Proposed Collection; Comment Request: Extension: Form F-7
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

Proposed Collection; Comment Request: Extension: Form 20-F

Title: Proposed Collection; Comment Request: Extension: Form 20-F
Record Date: 08/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,484.07

2022-04-28

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICC Clearing Rules

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICC Clearing Rules
Record Date: 04/28/2022
Event Classification: award
Age Or Deadline Days: 1,582.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 04/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,582.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 04/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,582.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize Various Fees Within the Exchange Fee Schedule

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize Various Fees Within the Exchange Fee Schedule
Record Date: 04/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,582.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E
Record Date: 04/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,582.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report, Modify the Name of Rule 13.8 to “Data Products”, and Add a Preamble to Rule 13.8

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report, Modify the Name of Rule 13.8 to “Data Products”, and Add a Preamble to Rule 13.8
Record Date: 04/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,582.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report, Modify the Name of Rule 13.8 to “Data Products”, and Add a Preamble to Rule 13.8

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report, Modify the Name of Rule 13.8 to “Data Products”, and Add a Preamble to Rule 13.8
Record Date: 04/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,582.07

2022-04-21

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations), To Expand the List of Violations Eligible for Disposition Under the Exchange's Minor Rule Violation Plan and Update the Fine Schedule Applicable to Certain Minor Rule Violations

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations), To Expand the List of Violations Eligible for Disposition Under the Exchange's Minor Rule Violation Plan and Update the Fine Schedule Applicable to Certain Minor Rule Violations
Record Date: 04/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,589.07

Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers

Title: Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers
Record Date: 04/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,589.07

2022-04-14

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 2360 (Options) To Increase the Position and Exercise Limits for Conventional Options on Certain Exchange-Traded Funds

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 2360 (Options) To Increase the Position and Exercise Limits for Conventional Options on Certain Exchange-Traded Funds
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Weekly Options and Short Term Options

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Weekly Options and Short Term Options
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Operational Risk Management Policy and Risk Identification Framework

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Operational Risk Management Policy and Risk Identification Framework
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule

Title: Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Information Disseminated in the MEMOIR Top Data Feed

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Information Disseminated in the MEMOIR Top Data Feed
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend Certain FINRA Rules To Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend Certain FINRA Rules To Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

Stellus Capital Investment Corporation, et al.

Title: Stellus Capital Investment Corporation, et al.
Record Date: 04/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,596.07

2022-04-07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Extend the SPIKES Options Market Maker Incentive Program Until June 30, 2022

Title: Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Extend the SPIKES Options Market Maker Incentive Program Until June 30, 2022
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 of the Pricing Schedule

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 of the Pricing Schedule
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Settlement Timing

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Settlement Timing
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Revisions to OCC's Partial Tear-Up Rules

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Revisions to OCC's Partial Tear-Up Rules
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Changes to Rule 52 to Support Processing of Interval Fund Repurchase Orders, Remove Underwriting Tender Offer Provisions and Make Certain Other Clarifications

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Changes to Rule 52 to Support Processing of Interval Fund Repurchase Orders, Remove Underwriting Tender Offer Provisions and Make Certain Other Clarifications
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges
Record Date: 04/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,603.07

2022-09-26

Proposed Collection; Comment Request; Extension: Rule 302

Title: Proposed Collection; Comment Request; Extension: Rule 302
Record Date: 09/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,431.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 09/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,431.07

Self-Regulatory Organizations; the Options Clearing Corporation Notice of Filing of Proposed Rule Change by the Options Clearing Corporation Concerning a Risk Management Framework and Corporate Risk Management Policy

Title: Self-Regulatory Organizations; the Options Clearing Corporation Notice of Filing of Proposed Rule Change by the Options Clearing Corporation Concerning a Risk Management Framework and Corporate Risk Management Policy
Record Date: 09/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,431.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Clarifications to the DTC Rules Concerning the Admission of Participants to DTC's Premises and DTC's Authority To Impose Fines

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Clarifications to the DTC Rules Concerning the Admission of Participants to DTC's Premises and DTC's Authority To Impose Fines
Record Date: 09/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,431.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 09/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,431.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend the Short Term Option Series Program

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend the Short Term Option Series Program
Record Date: 09/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,431.07

Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Update Exchange Rule 13.4(a) Regarding the Exchange's Usage of Data Feeds

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Update Exchange Rule 13.4(a) Regarding the Exchange's Usage of Data Feeds
Record Date: 09/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,431.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 09/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,431.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,431.07

2022-09-19

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the iShares® Gold Trust Micro

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the iShares® Gold Trust Micro
Record Date: 09/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,438.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MEMX Rule 11.15, Clearly Erroneous Executions

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MEMX Rule 11.15, Clearly Erroneous Executions
Record Date: 09/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,438.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges
Record Date: 09/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,438.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Record Date: 09/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,438.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 09/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,438.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 09/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,438.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,438.07

2022-09-12

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating To Providing Clearing Services for Additional Index and Single Name CDS

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating To Providing Clearing Services for Additional Index and Single Name CDS
Record Date: 09/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,445.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the BX Retail Price Improvement Program

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the BX Retail Price Improvement Program
Record Date: 09/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,445.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2614, Orders and Order Instructions, To Adopt the Primary Peg Order Type

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2614, Orders and Order Instructions, To Adopt the Primary Peg Order Type
Record Date: 09/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,445.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,445.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,445.07

2022-10-31

Submission for OMB Review; Comment Request; Extension: Regulation S-AM

Title: Submission for OMB Review; Comment Request; Extension: Regulation S-AM
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Submission for OMB Review; Comment Request; Extension: Rule 17a-13

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-13
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend Commentary .01 of NYSE National Rule 2.1210

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend Commentary .01 of NYSE National Rule 2.1210
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4757 To Enhance the Anti-Internalization Functionality Available on the Exchange

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4757 To Enhance the Anti-Internalization Functionality Available on the Exchange
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 of Article 6, Rule 13

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 of Article 6, Rule 13
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 of NYSE Arca Rule 2.1210

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 of NYSE Arca Rule 2.1210
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Relating To Providing Clearing Services for Additional Index and Single Name CDS

Title: Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Relating To Providing Clearing Services for Additional Index and Single Name CDS
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3307 To Enhance the Anti-Internalization Functionality Available on the Exchange

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3307 To Enhance the Anti-Internalization Functionality Available on the Exchange
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

2022-10-24

Proposed Collection; Comment Request; Extension: Rule 602

Title: Proposed Collection; Comment Request; Extension: Rule 602
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Proposed Collection; Comment Request; Extension: Rule 18f-1 and Form N-18f-1

Title: Proposed Collection; Comment Request; Extension: Rule 18f-1 and Form N-18f-1
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Proposed Collection; Comment Request; Extension: Rule 201 and Rule 200(g) of Regulation SHO

Title: Proposed Collection; Comment Request; Extension: Rule 201 and Rule 200(g) of Regulation SHO
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., BOX Exchange, LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, NYSE American LLC, NYSE Arca, Inc., The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Nasdaq GEMX, LLC, Cboe EDGX Exchange, Inc., Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC and MEMX LLC Concerning Options-Related Sales Practice Matters

Title: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., BOX Exchange, LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, NYSE American LLC, NYSE Arca, Inc., The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Nasdaq GEMX, LLC, Cboe EDGX Exchange, Inc., Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC and MEMX LLC Concerning Options-Related Sales Practice Matters
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC

Title: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Joint Industry Plan; Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail

Title: Joint Industry Plan; Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

2022-10-17

Trade Regulation Rule on Impersonation of Government and Businesses

Title: Trade Regulation Rule on Impersonation of Government and Businesses
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Main Street Capital Corporation, et al.

Title: Main Street Capital Corporation, et al.
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Sections 140 and 141 of the NYSE American Company Guide To Waive Initial Listing Fees and Annual Listing Fees for the Remainder of the Year the Listing Occurs for an Issuer Listing Upon Closing of Its Acquisition of an Exchange-Listed Special Purpose Acquisition Company

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Sections 140 and 141 of the NYSE American Company Guide To Waive Initial Listing Fees and Annual Listing Fees for the Remainder of the Year the Listing Occurs for an Issuer Listing Upon Closing of Its Acquisition of an Exchange-Listed Special Purpose Acquisition Company
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 11.190(g) To Provide an Alternative Calculation for Pegged Order Types for Determining Whether a Quote Instability Condition Exists

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 11.190(g) To Provide an Alternative Calculation for Pegged Order Types for Determining Whether a Quote Instability Condition Exists
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

2022-10-03

Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees
Record Date: 10/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,424.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fee Provisions of the Listed Company Manual Applicable to Companies Listing Upon Emergence From Bankruptcy

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fee Provisions of the Listed Company Manual Applicable to Companies Listing Upon Emergence From Bankruptcy
Record Date: 10/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,424.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise
Record Date: 10/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,424.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule
Record Date: 10/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,424.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity Fees
Record Date: 10/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,424.07

2022-11-28

Listing Standards for Recovery of Erroneously Awarded Compensation

Title: Listing Standards for Recovery of Erroneously Awarded Compensation
Record Date: 11/28/2022
Event Classification: award
Age Or Deadline Days: 1,368.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 515 to Make a Minor, Non-Substantive Edit

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 515 to Make a Minor, Non-Substantive Edit
Record Date: 11/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,368.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading To Amend the Short Term Option Series Program

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading To Amend the Short Term Option Series Program
Record Date: 11/28/2022
Event Classification: award
Age Or Deadline Days: 1,368.07

Prospect Floating Rate and Alternative Income Fund, Inc. and Prospect Capital Management L.P.

Title: Prospect Floating Rate and Alternative Income Fund, Inc. and Prospect Capital Management L.P.
Record Date: 11/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,368.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 11/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,368.07

2022-11-21

Supervisory Authority Over Certain Nonbank Covered Persons Based on Risk Determination; Public Release of Decisions and Orders

Title: Supervisory Authority Over Certain Nonbank Covered Persons Based on Risk Determination; Public Release of Decisions and Orders
Record Date: 11/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,375.07

Proposed Collection; Comment Request; Extension: Notice of Exempt Preliminary Roll-Up Communication

Title: Proposed Collection; Comment Request; Extension: Notice of Exempt Preliminary Roll-Up Communication
Record Date: 11/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,375.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 4.5(d)

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 4.5(d)
Record Date: 11/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,375.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05 and a Related Definition in Rule 16.1

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05 and a Related Definition in Rule 16.1
Record Date: 11/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,375.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 11/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,375.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05 and a Related Definition in Rule 16.1

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05 and a Related Definition in Rule 16.1
Record Date: 11/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,375.07

Energy Labeling Rule; Correction

Title: Energy Labeling Rule; Correction
Record Date: 11/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,375.07

2022-11-14

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Corrections to Its By-Laws

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Corrections to Its By-Laws
Record Date: 11/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,382.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Legacy Disciplinary Rules 475, 476, 476A, and 477; Adopt New Rule 2050; and Make Conforming Changes to Rules 2A, 27, 36, 600A, 619, 637, 3170, 8001, 8130, 8320, 9001 and 9217

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Legacy Disciplinary Rules 475, 476, 476A, and 477; Adopt New Rule 2050; and Make Conforming Changes to Rules 2A, 27, 36, 600A, 619, 637, 3170, 8001, 8130, 8320, 9001 and 9217
Record Date: 11/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,382.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify an Implementation Timeframe for the Introduction of Enhanced Anti-Internalization Functionality

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify an Implementation Timeframe for the Introduction of Enhanced Anti-Internalization Functionality
Record Date: 11/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,382.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove a Monthly Credit Associated With Trading Permit Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove a Monthly Credit Associated With Trading Permit Fees
Record Date: 11/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,382.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove the Monthly Volume Credit

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove the Monthly Volume Credit
Record Date: 11/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,382.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits
Record Date: 11/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,382.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Record Date: 11/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,382.07

Chegg, Inc.; Analysis of Proposed Consent Order To Aid Public Comment

Title: Chegg, Inc.; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 11/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,382.07

2022-11-07

Bulletin 2022-06: Unfair Returned Deposited Item Fee Assessment Practices

Title: Bulletin 2022-06: Unfair Returned Deposited Item Fee Assessment Practices
Record Date: 11/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.07

Consumer Financial Protection Circular 2022-06: Unanticipated Overdraft Fee Assessment Practices

Title: Consumer Financial Protection Circular 2022-06: Unanticipated Overdraft Fee Assessment Practices
Record Date: 11/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Standard Monthly Expirations for XND

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Standard Monthly Expirations for XND
Record Date: 11/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule
Record Date: 11/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.07

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule
Record Date: 11/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 6 To Adopt a New Qualified Contingent Cross Rebate Program and Increase the Crossing Fee Cap

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 6 To Adopt a New Qualified Contingent Cross Rebate Program and Increase the Crossing Fee Cap
Record Date: 11/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.07

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Remove the Fill-Or-Kill (“FOK”) Order Type and Fill Or Kill (“FOK”) eQuotes From the Exchange

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Remove the Fill-Or-Kill (“FOK”) Order Type and Fill Or Kill (“FOK”) eQuotes From the Exchange
Record Date: 11/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2614, Orders and Order Instructions and Rule 2618, Risk Settings and Trading Risk Metrics To Enhance Existing Risk Controls

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2614, Orders and Order Instructions and Rule 2618, Risk Settings and Trading Risk Metrics To Enhance Existing Risk Controls
Record Date: 11/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.07

Notice and Request for Comment Regarding the CFPB's Inquiry Into Big Tech Payment Platforms

Title: Notice and Request for Comment Regarding the CFPB's Inquiry Into Big Tech Payment Platforms
Record Date: 11/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.07

2022-05-23

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation
Record Date: 05/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,557.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation
Record Date: 05/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,557.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Record Date: 05/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,557.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation
Record Date: 05/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,557.07

Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule

Title: Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule
Record Date: 05/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,557.07

Allianz Global Investors U.S. LLC, et al.; Notice of Application and Temporary Order

Title: Allianz Global Investors U.S. LLC, et al.; Notice of Application and Temporary Order
Record Date: 05/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,557.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 4.3.06 To Allow the Exchange To List and Trade Options on the Goldman Sachs Physical Gold ETF

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 4.3.06 To Allow the Exchange To List and Trade Options on the Goldman Sachs Physical Gold ETF
Record Date: 05/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,557.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 05/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,557.07

2022-05-16

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the Midpoint Price Constraint on Non-Displayed Limit Orders and Make Conforming Changes

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the Midpoint Price Constraint on Non-Displayed Limit Orders and Make Conforming Changes
Record Date: 05/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,564.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3 To Add a New Transaction Credit

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3 To Add a New Transaction Credit
Record Date: 05/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,564.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Codify Certain Practices and Requirements Related to the Exchange's Port Message Rate Thresholds

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Codify Certain Practices and Requirements Related to the Exchange's Port Message Rate Thresholds
Record Date: 05/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,564.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,564.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 05/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,564.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 05/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,564.07

2022-05-09

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

AFC BDC Inc., et al;

Title: AFC BDC Inc., et al;
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend NYSE Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend NYSE Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC to Amend Exchange Rule 518, Complex Orders and Exchange Rule 515, Execution of Orders and Quotes, To Permit Pricing of Stock-Option Complex Strategies in any Decimal Price the Exchange Determines

Title: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC to Amend Exchange Rule 518, Complex Orders and Exchange Rule 515, Execution of Orders and Quotes, To Permit Pricing of Stock-Option Complex Strategies in any Decimal Price the Exchange Determines
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(4) Regarding Directed Orders

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(4) Regarding Directed Orders
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Modify Equity 4, Section 4120 To Add Categories of Regulatory and Operational Halts, To Reorganize the Remaining Text of the Rule, and To Make Conforming Changes to Related Rules

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Modify Equity 4, Section 4120 To Add Categories of Regulatory and Operational Halts, To Reorganize the Remaining Text of the Rule, and To Make Conforming Changes to Related Rules
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(1) Regarding Directed Orders

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Modify Rule 7.31 To Add Subparagraph (f)(1) Regarding Directed Orders
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Modify Rule 7.31E To Add Subparagraph (f)(4) Regarding Directed Orders

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Modify Rule 7.31E To Add Subparagraph (f)(4) Regarding Directed Orders
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Exchange's Fee Schedule to Adopt Connectivity Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Exchange's Fee Schedule to Adopt Connectivity Fees
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 05/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,571.07

2022-05-02

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-2040-3, IM-2040-5 and Establish BOX Rule 2130 (Continuing Education Program for Persons Maintaining Their Qualification Following the Termination of a Registration Category) and IM-2130-1

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-2040-3, IM-2040-5 and Establish BOX Rule 2130 (Continuing Education Program for Persons Maintaining Their Qualification Following the Termination of a Registration Category) and IM-2130-1
Record Date: 05/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,578.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual
Record Date: 05/02/2022
Event Classification: deadline
Age Or Deadline Days: 1,578.07

2022-03-28

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Provisions of NYSE Rule 7.35B

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Provisions of NYSE Rule 7.35B
Record Date: 03/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,613.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt a New Trading Session That Will Operate After the Close of the Regular Trading Hours Session

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt a New Trading Session That Will Operate After the Close of the Regular Trading Hours Session
Record Date: 03/28/2022
Event Classification: deadline
Age Or Deadline Days: 1,613.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Delivery Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Delivery Procedures
Record Date: 03/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,613.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Columbia Seligman Semiconductor and Technology ETF Under NYSE Arca Rule 8.601 (Active Proxy Portfolio Shares)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Columbia Seligman Semiconductor and Technology ETF Under NYSE Arca Rule 8.601 (Active Proxy Portfolio Shares)
Record Date: 03/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,613.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.31E(h)(3)

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.31E(h)(3)
Record Date: 03/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,613.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Formatting Change to Exchange Rule 531, Reports, Market Data Products and Services

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Formatting Change to Exchange Rule 531, Reports, Market Data Products and Services
Record Date: 03/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,613.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31-E(h)(3)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31-E(h)(3)
Record Date: 03/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,613.07

Submission for OMB Review; Comment Request; Extension for Generic ICR: Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery

Title: Submission for OMB Review; Comment Request; Extension for Generic ICR: Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery
Record Date: 03/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,613.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 03/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,613.07

Bulletin 2022-05: Unfair and Deceptive Acts or Practices That Impede Consumer Reviews

Title: Bulletin 2022-05: Unfair and Deceptive Acts or Practices That Impede Consumer Reviews
Record Date: 03/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,613.07

Sunshine Act Meeting

Title: Sunshine Act Meeting
Record Date: 03/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,613.07

2022-06-27

JAB/SAGE Veterinary; Analysis of Agreement Containing Consent Orders To Aid Public Comment

Title: JAB/SAGE Veterinary; Analysis of Agreement Containing Consent Orders To Aid Public Comment
Record Date: 06/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,522.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.
Record Date: 06/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,522.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.
Record Date: 06/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,522.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. (“ICE”)

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. (“ICE”)
Record Date: 06/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,522.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.
Record Date: 06/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,522.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.
Record Date: 06/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,522.07

Self-Regulatory Organizations; NYSE American, LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 902NY To Remove an Obsolete Reference

Title: Self-Regulatory Organizations; NYSE American, LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 902NY To Remove an Obsolete Reference
Record Date: 06/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,522.07

Proposed Collection; Comment Request; Extension: Customer Account Statements

Title: Proposed Collection; Comment Request; Extension: Customer Account Statements
Record Date: 06/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,522.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,522.07

2022-06-13

Submission for OMB Review; Comment Request: Extension; Rules 17h-1T and 17h-2T

Title: Submission for OMB Review; Comment Request: Extension; Rules 17h-1T and 17h-2T
Record Date: 06/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,536.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules Regarding Continuing Education Requirements

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules Regarding Continuing Education Requirements
Record Date: 06/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,536.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules Regarding Continuing Education Requirements

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules Regarding Continuing Education Requirements
Record Date: 06/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,536.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List
Record Date: 06/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,536.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 06/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,536.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements
Record Date: 06/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,536.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule of Amendments to the Exchange's Rules Regarding Continuing Education Requirements

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule of Amendments to the Exchange's Rules Regarding Continuing Education Requirements
Record Date: 06/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,536.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 06/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,536.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements
Record Date: 06/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,536.07

2022-06-06

Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Introduce Central Clearing for Securities Financing Transaction Clearing Service

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Introduce Central Clearing for Securities Financing Transaction Clearing Service
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

24X National Exchange LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934

Title: 24X National Exchange LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Self-Regulatory Organizations; The Depository Trust Company; Order Approving the Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation

Title: Self-Regulatory Organizations; The Depository Trust Company; Order Approving the Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding Complex Orders

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding Complex Orders
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Submission for OMB Review; Comment Request; Extension: Form N-MFP and Rule 30b1-7

Title: Submission for OMB Review; Comment Request; Extension: Form N-MFP and Rule 30b1-7
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Submission for OMB Review; Comment Request; Extension: Rule 17j-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 17j-1
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Proposed Collection; Comment Request; Extension: Rule 17Ad-17

Title: Proposed Collection; Comment Request; Extension: Rule 17Ad-17
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Submission for OMB Review; Comment Request; Extension: Rule 204A-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 204A-1
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Agency Information Collection Activities: Submission for OMB Review: Comment Request

Title: Agency Information Collection Activities: Submission for OMB Review: Comment Request
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,543.07

2022-07-25

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Record Date: 07/25/2022
Event Classification: award
Age Or Deadline Days: 1,494.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 (Clearly Erroneous Executions)

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 (Clearly Erroneous Executions)
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding Complex Orders

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding Complex Orders
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 10.3 Regarding Margin Requirements

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 10.3 Regarding Margin Requirements
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

Proposed Collection; Comment Request; Extension: Rule 7d-2

Title: Proposed Collection; Comment Request; Extension: Rule 7d-2
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

Submission for OMB Review; Comment Request: Extension: Form T-4

Title: Submission for OMB Review; Comment Request: Extension: Form T-4
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

Submission for OMB Review; Comment Request: Extension: Rule 15Ba2-5

Title: Submission for OMB Review; Comment Request: Extension: Rule 15Ba2-5
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

Submission for OMB Review; Comment Request: Extension: Form Custody

Title: Submission for OMB Review; Comment Request: Extension: Form Custody
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

Submission for OMB Review; Comment Request: Extension: Form S-11

Title: Submission for OMB Review; Comment Request: Extension: Form S-11
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

Submission for OMB Review; Comment Request Extension: Rule 15Ba2-1 and Form MSD

Title: Submission for OMB Review; Comment Request Extension: Rule 15Ba2-1 and Form MSD
Record Date: 07/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,494.07

2022-07-18

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7 To Assess Membership, Port and Market Data Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7 To Assess Membership, Port and Market Data Fees
Record Date: 07/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,501.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend BZX Rule 11.17, Clearly Erroneous Executions

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend BZX Rule 11.17, Clearly Erroneous Executions
Record Date: 07/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,501.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 7 To Add Fees for Market Data

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 7 To Add Fees for Market Data
Record Date: 07/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,501.07

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Extend the Waiver Period for Certain Non-Transaction Fees and To Extend the SPIKES Options Market Maker Incentive Program Until September 30, 2022

Title: Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Extend the Waiver Period for Certain Non-Transaction Fees and To Extend the SPIKES Options Market Maker Incentive Program Until September 30, 2022
Record Date: 07/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,501.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership Fees
Record Date: 07/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,501.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 6 To Add Port Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 6 To Add Port Fees
Record Date: 07/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,501.07

Submission for OMB Review; Comment Request; Extension: Rule 7d-2

Title: Submission for OMB Review; Comment Request; Extension: Rule 7d-2
Record Date: 07/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,501.07

Credit Card Late Fees and Late Payments

Title: Credit Card Late Fees and Late Payments
Record Date: 07/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,501.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 07/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,501.07

2022-07-11

The Fair Credit Reporting Act's Limited Preemption of State Laws

Title: The Fair Credit Reporting Act's Limited Preemption of State Laws
Record Date: 07/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,508.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide
Record Date: 07/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,508.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Stress Testing Framework and the Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Stress Testing Framework and the Liquidity Risk Management Framework
Record Date: 07/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,508.07

Proposed Collection; Comment Request; Extension: Rule 18a-1

Title: Proposed Collection; Comment Request; Extension: Rule 18a-1
Record Date: 07/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,508.07

Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Withdrawal of Proposed Rule Changes To Amend Their Respective Fee Schedules To Offer Colocation Users Wireless Connectivity to CME Group Data and Establish Associated Fees

Title: Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Withdrawal of Proposed Rule Changes To Amend Their Respective Fee Schedules To Offer Colocation Users Wireless Connectivity to CME Group Data and Establish Associated Fees
Record Date: 07/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,508.07

Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F

Title: Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Record Date: 07/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,508.07

2022-12-19

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address an Erroneous Reference in Equity 4, Rule 4780(e)

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address an Erroneous Reference in Equity 4, Rule 4780(e)
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 17, Rule 5

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 17, Rule 5
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market

Title: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 12/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,347.07

2022-12-12

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Record Date: 12/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,354.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4753 and Equity 4, Rule 4703

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4753 and Equity 4, Rule 4703
Record Date: 12/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,354.07

Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees
Record Date: 12/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,354.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee
Record Date: 12/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,354.07

Reopening of Comment Period for Share Repurchase Disclosure Modernization

Title: Reopening of Comment Period for Share Repurchase Disclosure Modernization
Record Date: 12/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,354.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 12/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,354.07

Privacy Act of 1974; System of Records

Title: Privacy Act of 1974; System of Records
Record Date: 12/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,354.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Concerning the Options Regulatory Fee
Record Date: 12/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,354.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 12/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,354.07

2022-12-05

Varagon Capital Corporation, et al.

Title: Varagon Capital Corporation, et al.
Record Date: 12/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,361.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19E

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19E
Record Date: 12/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,361.07

Submission for OMB Review; Comment Request; Extension: Rule 302

Title: Submission for OMB Review; Comment Request; Extension: Rule 302
Record Date: 12/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,361.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 12/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,361.07

2022-08-29

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Change the Name of Its Business Conduct Committee

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Change the Name of Its Business Conduct Committee
Record Date: 08/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,459.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 6.64P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 6.64P-O
Record Date: 08/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,459.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E
Record Date: 08/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,459.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,459.07

2022-08-22

Trade Regulation Rule on Commercial Surveillance and Data Security

Title: Trade Regulation Rule on Commercial Surveillance and Data Security
Record Date: 08/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,466.07

Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Clearing of Markit iTraxx® Australia Indices and the Associated Single-Name Constituents and Remediation of WWR Margin Instability

Title: Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Clearing of Markit iTraxx® Australia Indices and the Associated Single-Name Constituents and Remediation of WWR Margin Instability
Record Date: 08/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,466.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Stress Testing Framework and the Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Stress Testing Framework and the Liquidity Risk Management Framework
Record Date: 08/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,466.07

Submission for OMB Review; Comment Request; Extension: Rule 14f-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 14f-1
Record Date: 08/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,466.07

Submission for OMB Review; Comment Request; Extension: Rule 701

Title: Submission for OMB Review; Comment Request; Extension: Rule 701
Record Date: 08/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,466.07

Proposed Collection; Comment Request; Extension: Rule 17a-13

Title: Proposed Collection; Comment Request; Extension: Rule 17a-13
Record Date: 08/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,466.07

Submission for OMB Review; Comment Request; Extension: Form F-8

Title: Submission for OMB Review; Comment Request; Extension: Form F-8
Record Date: 08/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,466.07

Submission for OMB Review; Comment Request; Extension: Schedule 14D-9F

Title: Submission for OMB Review; Comment Request; Extension: Schedule 14D-9F
Record Date: 08/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,466.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,466.07

2022-08-15

Rand Capital Corporation, et al.

Title: Rand Capital Corporation, et al.
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Article 4 of the Exchange's Bylaws To Establish a Staggered Board

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Article 4 of the Exchange's Bylaws To Establish a Staggered Board
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical and Other Non-Substantive Changes Within FINRA Rules

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical and Other Non-Substantive Changes Within FINRA Rules
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 114(f)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 114(f)
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Temporary Reduction in the Annual Listing Fee

Title: Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Temporary Reduction in the Annual Listing Fee
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits, at Equity 7, Section 118

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits, at Equity 7, Section 118
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,473.07

2022-08-08

Semiannual Regulatory Agenda

Title: Semiannual Regulatory Agenda
Record Date: 08/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,480.07

Regulatory Flexibility Agenda

Title: Regulatory Flexibility Agenda
Record Date: 08/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,480.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Record Date: 08/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,480.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)
Record Date: 08/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,480.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report; Correction

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report; Correction
Record Date: 08/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,480.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,480.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,480.07

2022-08-01

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning One Multiplier Options

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning One Multiplier Options
Record Date: 08/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,487.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading
Record Date: 08/01/2022
Event Classification: award
Age Or Deadline Days: 1,487.07

Proposed Collection; Comment Request; Extension: Rule 237

Title: Proposed Collection; Comment Request; Extension: Rule 237
Record Date: 08/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,487.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,487.07

2022-04-25

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 04/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,585.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 04/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,585.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend BZX Rule 11.17, Clearly Erroneous Executions

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend BZX Rule 11.17, Clearly Erroneous Executions
Record Date: 04/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,585.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise the MBSD Clearing Rules To Move Certain DRC Items (Mark-to-Market Items, Cash Obligation Items and Accrued Principal and Interest) From the Required Fund Deposit Calculation to Cash Settlement, Revise Certain Thresholds and Parameters in the Intraday Mark-to-Market Charge, Establish a New Intraday VaR Charge and Make Certain Other Clarifications

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise the MBSD Clearing Rules To Move Certain DRC Items (Mark-to-Market Items, Cash Obligation Items and Accrued Principal and Interest) From the Required Fund Deposit Calculation to Cash Settlement, Revise Certain Thresholds and Parameters in the Intraday Mark-to-Market Charge, Establish a New Intraday VaR Charge and Make Certain Other Clarifications
Record Date: 04/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,585.07

Self-Regulatory Organizations; NYSE Arca, 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 List and Trade Shares of the Franklin Responsibly Sourced Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Title: Self-Regulatory Organizations; NYSE Arca, 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 List and Trade Shares of the Franklin Responsibly Sourced Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Record Date: 04/25/2022
Event Classification: award
Age Or Deadline Days: 1,585.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on July 20, 2022

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on July 20, 2022
Record Date: 04/25/2022
Event Classification: deadline
Age Or Deadline Days: 1,585.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on July 20, 2022

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on July 20, 2022
Record Date: 04/25/2022
Event Classification: deadline
Age Or Deadline Days: 1,585.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on July 20, 2022

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on July 20, 2022
Record Date: 04/25/2022
Event Classification: deadline
Age Or Deadline Days: 1,585.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on July 20, 2022

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on July 20, 2022
Record Date: 04/25/2022
Event Classification: deadline
Age Or Deadline Days: 1,585.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 04/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,585.07

2022-04-18

Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer

Title: Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

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 Expand the Nonstandard Expirations Pilot Program To Include P.M.-Settled S&P 500 Index Options That Expire on Tuesday or Thursday

Title: 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 Expand the Nonstandard Expirations Pilot Program To Include P.M.-Settled S&P 500 Index Options That Expire on Tuesday or Thursday
Record Date: 04/18/2022
Event Classification: award
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until July 20, 2022

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until July 20, 2022
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt Fees for the High Precision Network Time Signal Service

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt Fees for the High Precision Network Time Signal Service
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 5.20.01

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 5.20.01
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 11.16

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 11.16
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 11.16

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 11.16
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 11.18

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 11.18
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Nasdaq's Post-Trade Risk Management Product to Q2 2022

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Nasdaq's Post-Trade Risk Management Product to Q2 2022
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 11.18

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 11.18
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 5.22

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers, Currently Codified in Rule 5.22
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Order Granting Application by The Nasdaq Stock Market LLC and Five Affiliated National Securities Exchanges for Exemption, Pursuant to Section 36(a) of the Exchange Act, From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference

Title: Order Granting Application by The Nasdaq Stock Market LLC and Five Affiliated National Securities Exchanges for Exemption, Pursuant to Section 36(a) of the Exchange Act, From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
Record Date: 04/18/2022
Event Classification: award
Age Or Deadline Days: 1,592.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 04/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,592.07

2022-04-11

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Title: The Enhancement and Standardization of Climate-Related Disclosures for Investors
Record Date: 04/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,599.07

Staff Accounting Bulletin No. 121

Title: Staff Accounting Bulletin No. 121
Record Date: 04/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,599.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Futures & Options Guaranty Fund Policy

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Futures & Options Guaranty Fund Policy
Record Date: 04/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,599.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress-Testing Policy and CDS Clearing Back-Testing Policy

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress-Testing Policy and CDS Clearing Back-Testing Policy
Record Date: 04/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,599.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule for Market Data Fees

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule for Market Data Fees
Record Date: 04/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,599.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Record Date: 04/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,599.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Record Date: 04/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,599.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees
Record Date: 04/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,599.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 04/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,599.07

2022-04-04

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Withdrawal of an Advance Notice To Establish the Securities Financing Transaction Clearing Service and Make Other Changes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Withdrawal of an Advance Notice To Establish the Securities Financing Transaction Clearing Service and Make Other Changes
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Cash-Settled FLEX ETF Options

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Cash-Settled FLEX ETF Options
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Withdrawal of a Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Withdrawal of a Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Withdrawal of Proposed Rule Changes To Amend Open Outcry Options Transaction Charges

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Withdrawal of Proposed Rule Changes To Amend Open Outcry Options Transaction Charges
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Withdrawal of a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Withdrawal of a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade Nanos S&P 500 Index Options

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade Nanos S&P 500 Index Options
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Submission for OMB Review; Comment Request; Extension: Rule 17a-8

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-8
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Submission for OMB Review; Comment Request; Extension: Rule 6a-3

Title: Submission for OMB Review; Comment Request; Extension: Rule 6a-3
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 04/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,606.07

2022-09-30

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.270 (Cleary Erroneous Executions)

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.270 (Cleary Erroneous Executions)
Record Date: 09/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,427.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.6 Concerning the Clearing Editor

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.6 Concerning the Clearing Editor
Record Date: 09/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,427.07

Submission for OMB Review; Comment Request; Extension: Rule 15c3-5

Title: Submission for OMB Review; Comment Request; Extension: Rule 15c3-5
Record Date: 09/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,427.07

Submission for OMB Review; Comment Request; Extension: Rule 7d-2

Title: Submission for OMB Review; Comment Request; Extension: Rule 7d-2
Record Date: 09/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,427.07

Privacy Act of 1974; System of Records

Title: Privacy Act of 1974; System of Records
Record Date: 09/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,427.07

2022-09-23

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges
Record Date: 09/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,434.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10
Record Date: 09/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,434.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10E

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10E
Record Date: 09/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,434.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10
Record Date: 09/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,434.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10-E
Record Date: 09/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,434.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend Rule 7.10

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend Rule 7.10
Record Date: 09/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,434.07

2022-09-16

Submission for OMB Review; Comment Request; Extension: Rule 139b

Title: Submission for OMB Review; Comment Request; Extension: Rule 139b
Record Date: 09/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,441.07

Proposed Collection; Comment Request; Extension: Rule 17Ad-10

Title: Proposed Collection; Comment Request; Extension: Rule 17Ad-10
Record Date: 09/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,441.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data
Record Date: 09/16/2022
Event Classification: deadline
Age Or Deadline Days: 1,441.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data
Record Date: 09/16/2022
Event Classification: deadline
Age Or Deadline Days: 1,441.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data
Record Date: 09/16/2022
Event Classification: deadline
Age Or Deadline Days: 1,441.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data
Record Date: 09/16/2022
Event Classification: deadline
Age Or Deadline Days: 1,441.07

Order Granting Application by NYSE Chicago, Inc., for an Exemption, Pursuant to Section 36(a) of the Exchange Act, From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference

Title: Order Granting Application by NYSE Chicago, Inc., for an Exemption, Pursuant to Section 36(a) of the Exchange Act, From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
Record Date: 09/16/2022
Event Classification: award
Age Or Deadline Days: 1,441.07

Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Connectivity Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Connectivity Fees
Record Date: 09/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,441.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule
Record Date: 09/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,441.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE National Schedule of Fees and Rebates

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE National Schedule of Fees and Rebates
Record Date: 09/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,441.07

2022-09-09

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 09/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,448.07

2022-09-02

Whistleblower Program Rules

Title: Whistleblower Program Rules
Record Date: 09/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,455.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 09/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,455.07

John Hancock Asset-Based Lending Fund, et al.

Title: John Hancock Asset-Based Lending Fund, et al.
Record Date: 09/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,455.07

Submission for OMB Review; Comment Request; Extension: Rule 204-3

Title: Submission for OMB Review; Comment Request; Extension: Rule 204-3
Record Date: 09/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,455.07

Submission for OMB Review; Comment Request; Extension: Rule 7d-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 7d-1
Record Date: 09/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,455.07

Submission for OMB Review; Comment Request; Extension: Rule 607

Title: Submission for OMB Review; Comment Request; Extension: Rule 607
Record Date: 09/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,455.07

Submission for OMB Review; Comment Request; Extension: Display of Customer Limit Orders (17 CFR 242.604)

Title: Submission for OMB Review; Comment Request; Extension: Display of Customer Limit Orders (17 CFR 242.604)
Record Date: 09/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,455.07

Submission for OMB Review; Comment Request; Extension: Rule 18a-2

Title: Submission for OMB Review; Comment Request; Extension: Rule 18a-2
Record Date: 09/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,455.07

Proposed Collection; Comment Request; Extension: Rule 17a-4

Title: Proposed Collection; Comment Request; Extension: Rule 17a-4
Record Date: 09/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,455.07

Request for Information Regarding Employer-Driven Debt

Title: Request for Information Regarding Employer-Driven Debt
Record Date: 09/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,455.07

2022-10-28

HISA Anti-Doping and Medication Control Rule

Title: HISA Anti-Doping and Medication Control Rule
Record Date: 10/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,399.07

Submission for OMB Review; Comment Request; Extension: Rule 17a-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-1
Record Date: 10/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,399.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 10/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,399.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Equity 2, Section 3

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Equity 2, Section 3
Record Date: 10/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,399.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Membership Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Membership Procedures
Record Date: 10/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,399.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Increase the Minimum Required Fund Deposit for Government Securities Division Netting Members and Sponsoring Members, and Make Other Changes

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Increase the Minimum Required Fund Deposit for Government Securities Division Netting Members and Sponsoring Members, and Make Other Changes
Record Date: 10/28/2022
Event Classification: award
Age Or Deadline Days: 1,399.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 7

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 7
Record Date: 10/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,399.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,399.07

2022-10-21

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq 100 Micro Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq 100 Micro Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program
Record Date: 10/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,406.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Schedule of Credits at Equity 7, Section 118(a)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Schedule of Credits at Equity 7, Section 118(a)
Record Date: 10/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,406.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Exempt Non-Convertible Bonds Listed Under Rule 5702 From Certain Corporate Governance Requirements

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Exempt Non-Convertible Bonds Listed Under Rule 5702 From Certain Corporate Governance Requirements
Record Date: 10/21/2022
Event Classification: award
Age Or Deadline Days: 1,406.07

Proposed Collection; Comment Request; Extension: Rule 17a-1

Title: Proposed Collection; Comment Request; Extension: Rule 17a-1
Record Date: 10/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,406.07

Proposed Collection; Comment Request; Extension: Rule 19b-4 and Form 19b-4

Title: Proposed Collection; Comment Request; Extension: Rule 19b-4 and Form 19b-4
Record Date: 10/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,406.07

Proposed Collection; Comment Request; Extension: Rule 15Fi-2

Title: Proposed Collection; Comment Request; Extension: Rule 15Fi-2
Record Date: 10/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,406.07

Emerald Strategic Innovation Interval Fund and Emerald Mutual Fund Advisers Trust

Title: Emerald Strategic Innovation Interval Fund and Emerald Mutual Fund Advisers Trust
Record Date: 10/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,406.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,406.07

2022-10-14

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 10/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,413.07

2022-10-07

Submission for OMB Review; Comment Request; Extension: Rule 17a-3

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-3
Record Date: 10/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,420.07

Submission for OMB Review; Comment Request; Extension: Rule 237

Title: Submission for OMB Review; Comment Request; Extension: Rule 237
Record Date: 10/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,420.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Operational Risk and Resilience Policy

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Operational Risk and Resilience Policy
Record Date: 10/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,420.07

PennantPark Investment Advisers, LLC, et al.

Title: PennantPark Investment Advisers, LLC, et al.
Record Date: 10/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,420.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,420.07

2022-11-25

Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

Title: Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Business Opportunity Rule

Title: Business Opportunity Rule
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to ICE Clear Europe Operational Risk and Resilience Policy

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to ICE Clear Europe Operational Risk and Resilience Policy
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Modify IEX Rule 11.190(b)(7)

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Modify IEX Rule 11.190(b)(7)
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position and Exercise Limits for Options on Apple Inc. Stock (“AAPL”)

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position and Exercise Limits for Options on Apple Inc. Stock (“AAPL”)
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Order Cancelling Registrations of Certain Transfer Agents

Title: Order Cancelling Registrations of Certain Transfer Agents
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-5050-6 (Short Term Option Series Program)

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-5050-6 (Short Term Option Series Program)
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934

Title: In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Record Date: 11/25/2022
Event Classification: award
Age Or Deadline Days: 1,371.07

Supervisory Highlights, Issue 28, Fall 2022

Title: Supervisory Highlights, Issue 28, Fall 2022
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Fair Credit Reporting Act Disclosures

Title: Fair Credit Reporting Act Disclosures
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,371.07

2022-11-18

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend the NYSE Arca Equities Fees and Charges

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend the NYSE Arca Equities Fees and Charges
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Proposed Collection; Comment Request; Extension: Rule 10b-10

Title: Proposed Collection; Comment Request; Extension: Rule 10b-10
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Proposed Collection; Comment Request; Extension: Rule 3a71-3(d)

Title: Proposed Collection; Comment Request; Extension: Rule 3a71-3(d)
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Submission for OMB Review; Comment Request; Extension: Rule 6c-11

Title: Submission for OMB Review; Comment Request; Extension: Rule 6c-11
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Submission for OMB Review; Comment Request; Extension: Rule 204-5

Title: Submission for OMB Review; Comment Request; Extension: Rule 204-5
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Submission for OMB Review; Comment Request; Extension: Rule 22c-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 22c-1
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Submission for OMB Review; Comment Request; Extension: Rules 13n-4(b)(9), (b)(10) and (d)

Title: Submission for OMB Review; Comment Request; Extension: Rules 13n-4(b)(9), (b)(10) and (d)
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Submission for OMB Review; Comment Request; Extension: Rule 17a-6

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-6
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Submission for OMB Review; Comment Request; Extension: Rule 17Ab2-2

Title: Submission for OMB Review; Comment Request; Extension: Rule 17Ab2-2
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Proposed Collection; Comment Request; Extension: 7a-15 Through 7a-37

Title: Proposed Collection; Comment Request; Extension: 7a-15 Through 7a-37
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Proposed Collection; Comment Request; Extension: Schedule 13E-4F

Title: Proposed Collection; Comment Request; Extension: Schedule 13E-4F
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Trinity Capital Inc.

Title: Trinity Capital Inc.
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Proposed Collection; Comment Request; Extension: Rule 155

Title: Proposed Collection; Comment Request; Extension: Rule 155
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118(a)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118(a)
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Initial and Annual Fees for Exchange Traded Products

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Initial and Annual Fees for Exchange Traded Products
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,378.07

2022-11-04

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees
Record Date: 11/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,392.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership and Trading Rights Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership and Trading Rights Fees
Record Date: 11/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,392.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110
Record Date: 11/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,392.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(e) To Expand the Availability of the Exchange's Existing Anti-Internalization Functionality to More Members

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(e) To Expand the Availability of the Exchange's Existing Anti-Internalization Functionality to More Members
Record Date: 11/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,392.07

HISA Anti-Doping and Medication Control Rule; Correction

Title: HISA Anti-Doping and Medication Control Rule; Correction
Record Date: 11/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,392.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees
Record Date: 11/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,392.07

SES Performance Review Board

Title: SES Performance Review Board
Record Date: 11/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,392.07

Proposed Collection; Comment Request; Extension: Rule 17f-1(g)

Title: Proposed Collection; Comment Request; Extension: Rule 17f-1(g)
Record Date: 11/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,392.07

2022-05-27

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,553.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 6.64P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 6.64P-O
Record Date: 05/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,553.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Use of Custom Baskets by Certain Series of Active Proxy Portfolio Shares Listed and Traded on the Exchange Pursuant to NYSE Arca Rule 8.601-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Use of Custom Baskets by Certain Series of Active Proxy Portfolio Shares Listed and Traded on the Exchange Pursuant to NYSE Arca Rule 8.601-E
Record Date: 05/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,553.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule
Record Date: 05/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,553.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation
Record Date: 05/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,553.07

2022-05-20

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt Fees for the High Precision Network Time Signal Service

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt Fees for the High Precision Network Time Signal Service
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt Fees for the High Precision Network Time Signal Service

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt Fees for the High Precision Network Time Signal Service
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Amended and Restated Certificate of Incorporation
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7350 To Provide for the New “Liquidity Taker Event Report-Complex Orders”

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7350 To Provide for the New “Liquidity Taker Event Report-Complex Orders”
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the GEMX Pricing Schedule at Options 7, Section 3

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the GEMX Pricing Schedule at Options 7, Section 3
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Connectivity Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Connectivity Fees
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Submission for OMB Review; Comment Request; Extension: Regulation S-ID

Title: Submission for OMB Review; Comment Request; Extension: Regulation S-ID
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Submission for OMB Review; Comment Request; Extension: Rule 12b-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 12b-1
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Submission for OMB Review; Comment Request; Extension: Rules 400-404 of Regulation Crowdfunding (Intermediaries)

Title: Submission for OMB Review; Comment Request; Extension: Rules 400-404 of Regulation Crowdfunding (Intermediaries)
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Medtronic/Intersect ENT; Analysis of Agreement Containing Consent Orders To Aid Public Comment

Title: Medtronic/Intersect ENT; Analysis of Agreement Containing Consent Orders To Aid Public Comment
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 05/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,560.07

2022-05-13

Special Purpose Acquisition Companies, Shell Companies, and Projections

Title: Special Purpose Acquisition Companies, Shell Companies, and Projections
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 7.31-E(h)(3)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 7.31-E(h)(3)
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC and MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC and MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Increase Certain Connectivity Fees

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Increase Certain Connectivity Fees
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Increase Certain Connectivity Fees

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Increase Certain Connectivity Fees
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase Certain Connectivity Fees

Title: Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase Certain Connectivity Fees
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Port

Title: Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Port
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for the Priority Customer Rebate Program

Title: Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for the Priority Customer Rebate Program
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Proposed Collection; Comment Request

Title: Proposed Collection; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

Submission for OMB Review; Comment Request

Title: Submission for OMB Review; Comment Request
Record Date: 05/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,567.07

2022-05-06

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 05/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,574.07

Proposed Collection; Comment Request; Extension: Rule 17Ad-16

Title: Proposed Collection; Comment Request; Extension: Rule 17Ad-16
Record Date: 05/06/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,574.07

2022-06-24

List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act

Title: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Record Date: 06/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,525.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fee Schedule To Establish a New NBBO Setter Program

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fee Schedule To Establish a New NBBO Setter Program
Record Date: 06/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,525.07

Prohibition on Inclusion of Adverse Information in Consumer Reporting in Cases of Human Trafficking (Regulation V)

Title: Prohibition on Inclusion of Adverse Information in Consumer Reporting in Cases of Human Trafficking (Regulation V)
Record Date: 06/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,525.07

2022-06-17

Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices

Title: Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
Record Date: 06/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,532.07

Investment Company Names

Title: Investment Company Names
Record Date: 06/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,532.07

Request for Information Regarding Employer-Driven Debt

Title: Request for Information Regarding Employer-Driven Debt
Record Date: 06/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,532.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Record Date: 06/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,532.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 6.40P-O and 6.41P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 6.40P-O and 6.41P-O
Record Date: 06/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,532.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to Certain Administrative Rules and Articles of the By-Laws of the Municipal Securities Rulemaking Board Relating to the MSRB's Officers

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to Certain Administrative Rules and Articles of the By-Laws of the Municipal Securities Rulemaking Board Relating to the MSRB's Officers
Record Date: 06/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,532.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual
Record Date: 06/17/2022
Event Classification: deadline
Age Or Deadline Days: 1,532.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part HH of the ICE Clear Europe Delivery Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part HH of the ICE Clear Europe Delivery Procedures
Record Date: 06/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,532.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm
Record Date: 06/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,532.07

Submission for OMB Review; Comment Request Extension: Rule 19d-3

Title: Submission for OMB Review; Comment Request Extension: Rule 19d-3
Record Date: 06/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,532.07

Submission for OMB Review; Comment Request Extension: Rule 19d-1

Title: Submission for OMB Review; Comment Request Extension: Rule 19d-1
Record Date: 06/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,532.07

2022-06-10

Updating EDGAR Filing Requirements and Form 144 Filings

Title: Updating EDGAR Filing Requirements and Form 144 Filings
Record Date: 06/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,539.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule
Record Date: 06/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,539.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules 4111 (Restricted Firm Obligations) and 9561 (Procedures for Regulating Activities Under Rule 4111)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules 4111 (Restricted Firm Obligations) and 9561 (Procedures for Regulating Activities Under Rule 4111)
Record Date: 06/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,539.07

Proposed Collection; Comment Request; Extension: Rule 17a-10

Title: Proposed Collection; Comment Request; Extension: Rule 17a-10
Record Date: 06/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,539.07

Proposed Collection; Comment Request; Extension: Rule 17a-25

Title: Proposed Collection; Comment Request; Extension: Rule 17a-25
Record Date: 06/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,539.07

2022-06-03

Telemarketing Sales Rule

Title: Telemarketing Sales Rule
Record Date: 06/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,546.07

Telemarketing Sales Rule

Title: Telemarketing Sales Rule
Record Date: 06/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,546.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Pearl Order Monitor (“MOM”)

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Pearl Order Monitor (“MOM”)
Record Date: 06/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,546.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor
Record Date: 06/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,546.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Model Validation Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Model Validation Framework
Record Date: 06/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,546.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6730 To Enhance TRACE Reporting Obligations for U.S. Treasury Securities

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6730 To Enhance TRACE Reporting Obligations for U.S. Treasury Securities
Record Date: 06/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,546.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Operational Risk Management Policy and Risk Identification Framework

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Operational Risk Management Policy and Risk Identification Framework
Record Date: 06/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,546.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 06/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,546.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,546.07

2022-07-29

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearing Rules

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearing Rules
Record Date: 07/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,490.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Related to Colocation

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Related to Colocation
Record Date: 07/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,490.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule
Record Date: 07/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,490.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges
Record Date: 07/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,490.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule
Record Date: 07/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,490.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates
Record Date: 07/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,490.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of a Proposed Rule Change Relating to Complex Orders In Connection With a Technology Migration

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of a Proposed Rule Change Relating to Complex Orders In Connection With a Technology Migration
Record Date: 07/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,490.07

Submission for OMB Review; Comment Request: Extension: Rule 15Bc3-1 and Form MDSW, Withdrawal From Registration of Municipal Securities Dealers

Title: Submission for OMB Review; Comment Request: Extension: Rule 15Bc3-1 and Form MDSW, Withdrawal From Registration of Municipal Securities Dealers
Record Date: 07/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,490.07

2022-07-22

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Record Date: 07/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,497.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 (Clearly Erroneous Executions)

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 (Clearly Erroneous Executions)
Record Date: 07/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,497.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E (Clearly Erroneous Executions)

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E (Clearly Erroneous Executions)
Record Date: 07/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,497.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E (Clearly Erroneous Executions)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E (Clearly Erroneous Executions)
Record Date: 07/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,497.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 (Clearly Erroneous Executions)

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 (Clearly Erroneous Executions)
Record Date: 07/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,497.07

Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2613, Usage of Data Feeds

Title: Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2613, Usage of Data Feeds
Record Date: 07/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,497.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 07/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,497.07

2022-07-15

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits in Equity 7, Section 118(e)

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits in Equity 7, Section 118(e)
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Risk Management Framework and the Risk Management Model Description

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Risk Management Framework and the Risk Management Model Description
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits, at Equity 7, Section 118

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits, at Equity 7, Section 118
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Revise the Excess Capital Premium Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Revise the Excess Capital Premium Charge
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4A, Section 12 and Options 7, Section 3

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4A, Section 12 and Options 7, Section 3
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce a New Data Product To Be Known as the Short Volume Report
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Submission for OMB Review; Comment Request Extension: Rule 17a-7

Title: Submission for OMB Review; Comment Request Extension: Rule 17a-7
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Submission for OMB Review; Comment Request Extension: Rule 6h-1

Title: Submission for OMB Review; Comment Request Extension: Rule 6h-1
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Cypress Creek Private Strategies Master Fund, L.P., et al.

Title: Cypress Creek Private Strategies Master Fund, L.P., et al.
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change to Revise the Formula Used to Calculate the VaR Charge for Repo Interest Volatility

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change to Revise the Formula Used to Calculate the VaR Charge for Repo Interest Volatility
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 07/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,504.07

2022-07-08

Prospect Capital Corporation, et al.

Title: Prospect Capital Corporation, et al.
Record Date: 07/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,511.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 07/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,511.07

2022-07-01

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Planning and Supervision of Audits Involving Other Auditors and Dividing Responsibility for the Audit With Another Accounting Firm

Title: Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Planning and Supervision of Audits Involving Other Auditors and Dividing Responsibility for the Audit With Another Accounting Firm
Record Date: 07/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,518.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees Concerning Enterprise Licenses at Equity 7, Section 123(c)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees Concerning Enterprise Licenses at Equity 7, Section 123(c)
Record Date: 07/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,518.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities
Record Date: 07/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,518.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities
Record Date: 07/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,518.07

Goldman Sachs Trust II, et al

Title: Goldman Sachs Trust II, et al
Record Date: 07/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,518.07

2022-12-30

Truth in Lending Act (Regulation Z) Adjustment to Asset-Size Exemption Threshold

Title: Truth in Lending Act (Regulation Z) Adjustment to Asset-Size Exemption Threshold
Record Date: 12/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,336.07

Home Mortgage Disclosure (Regulation C) Adjustment to Asset-Size Exemption Threshold

Title: Home Mortgage Disclosure (Regulation C) Adjustment to Asset-Size Exemption Threshold
Record Date: 12/30/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,336.07

2022-12-23

Proposed Collection; Comment Request; Extension: Rule 32a-4

Title: Proposed Collection; Comment Request; Extension: Rule 32a-4
Record Date: 12/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,343.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Increase Certain Annual Fees Set Forth in Section 141 of the NYSE American Company Guide

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Increase Certain Annual Fees Set Forth in Section 141 of the NYSE American Company Guide
Record Date: 12/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,343.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Entry and All-Inclusive Annual Fees for Certain Companies

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Entry and All-Inclusive Annual Fees for Certain Companies
Record Date: 12/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,343.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit
Record Date: 12/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,343.07

PCM Fund, Inc., et al.

Title: PCM Fund, Inc., et al.
Record Date: 12/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,343.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Nasdaq's Post-Trade Risk Management Product to Q2 2023

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Nasdaq's Post-Trade Risk Management Product to Q2 2023
Record Date: 12/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,343.07

Order Scheduling Filing of Statements on Review; In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008)

Title: Order Scheduling Filing of Statements on Review; In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008)
Record Date: 12/23/2022
Event Classification: award
Age Or Deadline Days: 1,343.07

Truth in Lending (Regulation Z) Annual Threshold Adjustments (Credit Cards, HOEPA, and Qualified Mortgages)

Title: Truth in Lending (Regulation Z) Annual Threshold Adjustments (Credit Cards, HOEPA, and Qualified Mortgages)
Record Date: 12/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,343.07

2022-12-16

Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting

Title: Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
Record Date: 12/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,350.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 (Registration Requirements and Restrictions on Membership)

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 (Registration Requirements and Restrictions on Membership)
Record Date: 12/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,350.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Article 17, Rule 5

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Article 17, Rule 5
Record Date: 12/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,350.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees
Record Date: 12/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,350.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees
Record Date: 12/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,350.07

Silver Spike Investment Corp., et al.

Title: Silver Spike Investment Corp., et al.
Record Date: 12/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,350.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 12/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,350.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 12/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,350.07

Agency Information Collection Activities; Comment Request

Title: Agency Information Collection Activities; Comment Request
Record Date: 12/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,350.07

Notice of Availability of Revised Consumer Information Publication

Title: Notice of Availability of Revised Consumer Information Publication
Record Date: 12/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,350.07

2022-12-09

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 17, Rule 5

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 17, Rule 5
Record Date: 12/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,357.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 12/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,357.07

Submission for OMB Review; Comment Request; Extension: Form N-17D-1

Title: Submission for OMB Review; Comment Request; Extension: Form N-17D-1
Record Date: 12/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,357.07

Submission for OMB Review; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)

Title: Submission for OMB Review; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)
Record Date: 12/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,357.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 12/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,357.07

2022-12-02

List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act

Title: List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Record Date: 12/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,364.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees
Record Date: 12/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,364.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees
Record Date: 12/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,364.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 10.3 Regarding Margin Requirements

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 10.3 Regarding Margin Requirements
Record Date: 12/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,364.07

Joint Industry Plan; Notice of Filing of Partial Amendment No. 1 to an Amendment to the National Market System Plan Governing the Consolidated Audit Trail

Title: Joint Industry Plan; Notice of Filing of Partial Amendment No. 1 to an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 12/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,364.07

Petition for Rulemaking of the Center for Digital Democracy, Fairplay, et al.

Title: Petition for Rulemaking of the Center for Digital Democracy, Fairplay, et al.
Record Date: 12/02/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,364.07

2022-08-26

Submission for OMB Review; Comment Request; Extension: Rule 13e-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 13e-1
Record Date: 08/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,462.07

Proposed Collection; Comment Request; Extension: Exchange Act Rule 3a71-3

Title: Proposed Collection; Comment Request; Extension: Exchange Act Rule 3a71-3
Record Date: 08/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,462.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request
Record Date: 08/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,462.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 08/26/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,462.07

2022-08-19

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.64P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.64P-O
Record Date: 08/19/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,469.07

2022-08-12

Exemption for Certain Exchange Members

Title: Exemption for Certain Exchange Members
Record Date: 08/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,476.07

Submission for OMB Review; Comment Request: Extension; Rule 19b-4(e) and Form 19b-4(e)

Title: Submission for OMB Review; Comment Request: Extension; Rule 19b-4(e) and Form 19b-4(e)
Record Date: 08/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,476.07

Submission for OMB Review; Comment Request: Extension; Rule 17Ad-17

Title: Submission for OMB Review; Comment Request: Extension; Rule 17Ad-17
Record Date: 08/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,476.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 08/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,476.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules To Govern the Trading of Options on the Exchange for a New Facility Called MEMX Options

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules To Govern the Trading of Options on the Exchange for a New Facility Called MEMX Options
Record Date: 08/12/2022
Event Classification: award
Age Or Deadline Days: 1,476.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 08/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,476.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 08/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,476.07

2022-08-05

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4.5

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4.5
Record Date: 08/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,483.07

Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Market Data Fees
Record Date: 08/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,483.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6
Record Date: 08/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,483.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6
Record Date: 08/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,483.07

JAB Consumer Partners/Ethos Veterinary Health; Analysis of Agreement Containing Consent Orders To Aid Public Comment

Title: JAB Consumer Partners/Ethos Veterinary Health; Analysis of Agreement Containing Consent Orders To Aid Public Comment
Record Date: 08/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,483.07

Proposed Collection; Comment Request; Extension: Rule 18a-4

Title: Proposed Collection; Comment Request; Extension: Rule 18a-4
Record Date: 08/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,483.07

Submission for OMB Review; Comment Request: Extension: Rule 12d3-1

Title: Submission for OMB Review; Comment Request: Extension: Rule 12d3-1
Record Date: 08/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,483.07

Submission for OMB Review; Comment Request: Extension: Rule 206(4)-2

Title: Submission for OMB Review; Comment Request: Extension: Rule 206(4)-2
Record Date: 08/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,483.07

Regulatory Review Schedule

Title: Regulatory Review Schedule
Record Date: 08/05/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,483.07

2022-04-29

Supervisory Authority Over Certain Nonbank Covered Persons Based on Risk Determination; Public Release of Decisions and Orders

Title: Supervisory Authority Over Certain Nonbank Covered Persons Based on Risk Determination; Public Release of Decisions and Orders
Record Date: 04/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,581.07

2022-04-22

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2600, Hours of Trading and Trading Days, and Exchange Rule 2615, Opening Process for Equity Securities

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2600, Hours of Trading and Trading Days, and Exchange Rule 2615, Opening Process for Equity Securities
Record Date: 04/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,588.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Minimum Price Variance Provisions of Exchange Rule 14.11(i) (Managed Fund Shares), (l) (Exchange-Traded Fund Shares), and (m) (Tracking Fund Shares)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Minimum Price Variance Provisions of Exchange Rule 14.11(i) (Managed Fund Shares), (l) (Exchange-Traded Fund Shares), and (m) (Tracking Fund Shares)
Record Date: 04/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,588.07

Capital Southwest Corporation

Title: Capital Southwest Corporation
Record Date: 04/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,588.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 04/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,588.07

2022-04-15

Technical Amendments to Commission Rules and Forms

Title: Technical Amendments to Commission Rules and Forms
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Port

Title: Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Port
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees

Title: Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC and MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC and MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 518, Complex Orders

Title: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 518, Complex Orders
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees

Title: Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees
Record Date: 04/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,595.07

2022-04-08

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)
Record Date: 04/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,602.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 4.3.06 To Allow the Exchange To List and Trade Options on the Goldman Sachs Physical Gold ETF

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 4.3.06 To Allow the Exchange To List and Trade Options on the Goldman Sachs Physical Gold ETF
Record Date: 04/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,602.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise
Record Date: 04/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,602.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Volume Calculations for Transaction Pricing Tiers

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Volume Calculations for Transaction Pricing Tiers
Record Date: 04/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,602.07

IndexIQ Active ETF Trust and IndexIQ Advisors LLC

Title: IndexIQ Active ETF Trust and IndexIQ Advisors LLC
Record Date: 04/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,602.07

Prohibition on Inclusion of Adverse Information in Consumer Reporting in Cases of Human Trafficking (Regulation V)

Title: Prohibition on Inclusion of Adverse Information in Consumer Reporting in Cases of Human Trafficking (Regulation V)
Record Date: 04/08/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,602.07

2022-04-01

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons and Move Those Rules From Interpretation and Policy .02 of Rule 2.5 to Proposed Rule 2.16 and To Amend Related Registration Requirements Provided Under Various Interpretations and Policies of Rule 2.5

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons and Move Those Rules From Interpretation and Policy .02 of Rule 2.5 to Proposed Rule 2.16 and To Amend Related Registration Requirements Provided Under Various Interpretations and Policies of Rule 2.5
Record Date: 04/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,609.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons and Move Those Rules From Interpretation and Policy .02 of Rule 2.5 to Proposed Rule 2.16 and To Amend Related Registration Requirements Provided Under Various Interpretations and Policies of Rule 2.5

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons and Move Those Rules From Interpretation and Policy .02 of Rule 2.5 to Proposed Rule 2.16 and To Amend Related Registration Requirements Provided Under Various Interpretations and Policies of Rule 2.5
Record Date: 04/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,609.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons and Move Those Rules From Interpretation and Policy .02 of Rule 2.5 to Proposed Rule 2.16 and To Amend Related Registration Requirements Provided Under Various Interpretations and Policies of Rule 2.5

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons and Move Those Rules From Interpretation and Policy .02 of Rule 2.5 to Proposed Rule 2.16 and To Amend Related Registration Requirements Provided Under Various Interpretations and Policies of Rule 2.5
Record Date: 04/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,609.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Implementation Date Related to the Launch of Options on the Nasdaq-100 Volatility Index

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Implementation Date Related to the Launch of Options on the Nasdaq-100 Volatility Index
Record Date: 04/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,609.07

EnCap/EP Energy; Analysis of Agreement Containing Consent Orders To Aid Public Comment

Title: EnCap/EP Energy; Analysis of Agreement Containing Consent Orders To Aid Public Comment
Record Date: 04/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,609.07

Sunshine Act Meeting

Title: Sunshine Act Meeting
Record Date: 04/01/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,609.07