Exclusive

Publication

Byline

Location

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: [SELF-REGULATORY ORGANIZATIONS; FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.; NOTICE OF FILING OF A PROPOSED RULE CHANGE TO ADOPT FINRA RULE 3290 (OUTSIDE ACTIVITIES REQUIREMENTS)

WASHINGTON, Feb. 3 -- Securities And Exchange Commission has issued a notice called: [Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule ... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; MIAMI INTERNATIONAL SECURITIES EXCHANGE, LLC; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE TO AMEND RULE 307, POSITION LIMITS, AND RULE 309, EXERCISE LIMITS, REGARDING POSITION AND EXERCISE LIMITS ON OPTIONS OVERLYING CERTAIN CRYPTO ASSETS

WASHINGTON, Feb. 3 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effecti... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; THE DEPOSITORY TRUST COMPANY; ORDER APPROVING PROPOSED RULE CHANGE TO MODIFY THE DTC SETTLEMENT SERVICE GUIDE AND DTC RULES AS THEY RELATE TO THE DTC NET DEBIT CAP

WASHINGTON, Feb. 3 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Modify the DTC... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: NOTICE OF AN APPLICATION OF THE FIXED INCOME CLEARING CORPORATION AND CHICAGO MERCANTILE EXCHANGE INC. FOR AN EXEMPTION PURSUANT TO SECTION 36 OF THE SECURITIES EXCHANGE ACT OF 1934 IN CONNECTION WITH THE CROSS-MARGINING OF U.S. TREASURY SECURITIES AND RELATED FUTURES

WASHINGTON, Feb. 3 -- Securities And Exchange Commission has issued a notice called: Notice of an Application of the Fixed Income Clearing Corporation and Chicago Mercantile Exchange Inc. for an Exemp... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; CBOE BZX EXCHANGE, INC.; NOTICE OF FILING OF A PROPOSED RULE CHANGE TO AMEND EXCHANGE RULE 14.12

WASHINGTON, Feb. 3 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchang... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; NASDAQ BX, INC.; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE TO AMEND ITS RULES TO REFLECT A LEGAL NAME CHANGE

WASHINGTON, Feb. 3 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Chang... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: 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 A NEW METHODOLOGY FOR ASSESSMENT AND COLLECTION OF THE OPTIONS REGULATORY FEE (ORF)

WASHINGTON, Feb. 3 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To ... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; NASDAQ BX, INC.; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE TO REPEAL THE RESTATED CERTIFICATE OF INCORPORATION AND ADOPT A CERTIFICATE OF FORMATION AND COMPANY AGREEMENT

WASHINGTON, Feb. 3 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Chang... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: 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 11.23(D)(2)(B) (EXTENDING THE QUOTE-ONLY PERIOD FOR INITIAL PUBLIC OFFERING ("IPO") AUCTIONS)

WASHINGTON, Feb. 3 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Act... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: JOINT INDUSTRY PLAN; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF AMENDMENT TO THE NATIONAL MARKET SYSTEM PLAN FOR THE SELECTION AND RESERVATION OF SECURITIES SYMBOLS TO ADD TEXAS STOCK EXCHANGE LLC AS A PARTY THERETO

WASHINGTON, Feb. 3 -- Securities And Exchange Commission has issued a notice called: Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan f... Read More