Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19

by the Securities and Exchange Commission on 12/19/2022.

Beneficial Ownership Information Access and Safeguards, and Use of FinCEN Identifiers for Entities

by the Financial Crimes Enforcement Network on 12/16/2022.

FinCEN is promulgating proposed regulations regarding access by authorized recipients to beneficial ownership information (BOI) that will be reported to FinCEN pursuant to Section 6403 of the Corporate Transparency Act (CTA), enacted into law as part of the Anti-Money Laundering Act of 2020 (AML Act), which is itself part of the National Defense...

Reporting and Information Requirements for Derivatives Clearing Organizations

by the Commodity Futures Trading Commission on 12/15/2022.

The Commodity Futures Trading Commission (CFTC or Commission) is proposing to amend certain reporting and information regulations applicable to derivatives clearing organizations (DCOs). These proposed amendments would, among other things, update information requirements associated with commingling customer funds and positions in futures and...

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

by the Securities and Exchange Commission on 12/14/2022.

Notice of Proposed Order and Request for Comment on an Application for a Capital Comparability Determination Submitted on Behalf of Nonbank Swap Dealers Subject to Regulation by the Mexican Comision Nacional Bancaria y de Valores

by the Commodity Futures Trading Commission on 12/13/2022.

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is soliciting public comment on a joint request submitted by Morgan Stanley Mexico, Casa de Bolsa, S.A. de C.V., Goldman Sachs Mexico, Casa de Bolsa, S.A. de C.V., and Casa de Bolsa Finamex, S.A. de C.V. requesting that the Commission determine that the capital and financial...

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

by the Securities and Exchange Commission on 12/07/2022.

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

by the Securities and Exchange Commission on 12/06/2022.

Submission for OMB Review; Comment Request; Extension: Rule 302

by the Securities and Exchange Commission on 12/05/2022.

List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act

by the Securities and Exchange Commission on 12/02/2022.

The Securities and Exchange Commission is publishing a list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on whether the rules should be continued without change, or...

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

by the Securities and Exchange Commission on 12/02/2022.

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

by the Securities and Exchange Commission on 11/30/2022.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 104

by the Securities and Exchange Commission on 11/29/2022.

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

by the Securities and Exchange Commission on 11/29/2022.

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)

by the Securities and Exchange Commission on 11/29/2022.

Listing Standards for Recovery of Erroneously Awarded Compensation

by the Securities and Exchange Commission on 11/28/2022.

We are adopting a new rule and rule amendments to implement Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), which added Section 10D to the Securities Exchange Act of 1934 (``Exchange Act''). In accordance with Section 10D of the Exchange Act, the final rules direct the national...

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

by the Securities and Exchange Commission on 11/25/2022.

Sunshine Act Meetings

by the Securities and Exchange Commission on 11/25/2022.

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)

by the Securities and Exchange Commission on 11/23/2022.

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2617 Order Execution and Routing

by the Securities and Exchange Commission on 11/22/2022.

Request for Nominations for the Energy Infrastructure Subcommittee and the Role of Metals Markets in Transitional Energy Subcommittee Under the Energy and Environmental Markets Advisory Committee

by the Commodity Futures Trading Commission on 11/21/2022.

The Commodity Futures Trading Commission (CFTC or Commission) is requesting nominations for membership on the Energy Infrastructure Subcommittee (Infrastructure Subcommittee) and the Role of Metals Markets in Transitional Energy Subcommittee (Metals Market Subcommittee) under the Energy and Environmental Markets Advisory Committee (EEMAC). The...