Rule Filings
Rule Filings. View the Rule Filing Status Report. Status. - Any -, New, Updated ... Proposed Rule Change to Amend FINRA Rules to Conform to Exchange Act Rules ...
NYSE Rule Filings ; SR-NYSEARCA-2024-86, 2024-10-25, NYSE Arca, SEC Release ; SR-NYSEARCA-2024-86, 2024-10-10, NYSE Arca, Initial Filing ...
Regulatory Rule Filings | DTCC Financial Services - DTCC
Explore DTCC's Regulatory Rule Filing section to get details on advance notices, amendments, and more.
Rule Filings | The Nasdaq Stock Market
A proposal to amend its listing rules under Rule 5710(k)(i) related to the criteria for Equity Index-Linked Securities. Approved, Yes, 8/23/2024, 8/2/2024. SR- ...
Rule Filing Number Sort ascending · Title · SR-FINRA-2017-003, Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance ...
File Number, Date, Market, Document Type, Description, Effective Date. SR-NYSE-2024-75, 2024-11-07, NYSE, Initial Filing, Proposal to amend Rule 7.37 to ...
Cboe Options Exchange Rule Filings
Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective.
Rule Filings. CME Group routinely submits new rules, rule amendments, and regulatory guidance that must be documented for regulatory purposes. Use the links ...
Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective.
Rulemaking Activity ; Nov. 7, 2024, Conforming Amendments to Commission Rules and Forms. Investment Management ; Oct. 25, 2024, S7-10-23, Covered Clearing Agency ...
Financial Industry Regulatory Authority (FINRA) Rulemaking
... filings during the comment period. ... Financial Industry Regulatory Authority (FINRA), Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to ...
Rule Filings - BX 2024 - Nasdaq Listing Center
Rule Filing, Description, Status, Noticed by the SEC for Comment, Expiration of the SEC Comment Period, Federal Register Notice Date. SR-BX-2024-046
MIAX Sapphire Options Rule Filings
MIAX Sapphire™ Options Exchange Rule Filings. As a registered national securities exchange, MIAX Sapphire is required to submit to the SEC, pursuant to Section ...
Rule Filings | Regulation | LTSE
Read and download approved, immediate effect, and pending rule changes for the Long-Term Stock Exchange.
Cboe U.S. Equities Exchanges BZX Rule Filings
Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective.
MIAX Options Rule Filings | MIAX
MIAX Options is required to post its rule filings on its website within two business days after submission. Rule filings are not effective until approved by ...
Federal Register Documents Currently on Public Inspection
... RULE 0503-AA39 SORN. Choosing an item from full text search results will ... Combined Filings. Filed on: 11/15/2024 at 8:45 am; Scheduled Pub. Date: 11/18 ...
Rule Filings with the SEC - National Futures Association
News & Notices: Board Update, Videos, Comment Letters, News Releases, Notices to Members, Petitions for Rulemaking, Rule Filings with the SEC, Rule Submissions ...
Administrative Register | Tennessee Secretary of State
filings. Current Filings. Announcements · Emergency Rules · Pending Rules (includes proposed and rulemaking hearing rule filings); Rulemaking Hearing Notices ...
Proposed rule change to establish fees for Industry Members related to reasonably budgeted CAT costs of the National Market System Plan.