Documents

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19644 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

TRF/ORF/ADF Transaction Data Event (TRF)  24 No. … [FR Doc. 2024-19653 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19654 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Conformed to Federal Register version

Agency decision · Agency decision

10th 20th 25th 50th 55th 60th 65th 70th 75th 80th 85th 90th 95th 100th Individual RAUM of Adviser at Percentile 84 (Millions) Total Number of All Advisers at or below Percentile $33 $96 $125 $324 $399 … 24. Should the Total Assets Threshold be eliminated from rule 0-7?

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

TRF/ORF/ADF Transaction Data Event (TRF)  24 No. … [FR Doc. 2024-19645 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19648 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

TRF/ORF/ADF Transaction Data Event (TRF)  24 No. … [FR Doc. 2024-19649 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19652 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19655 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

FAST Act Modernization and Simplification of Regulation S-K

Federal Register · Rule · Apr 2, 2019

Rule 8b-24 § 270.8b-24. Rule 8b-32 § 270.8b-32. Table of Contents I. Introduction II. Final Amendments A. Adoption of Proposals with Modifications 1. … § 270.8b-24 [Removed and Reserved] 65. Remove and reserve § 270.8b-24. § 270.8b-32 [Removed and Reserved] 66. Remove and reserve § 270.8b-32.

Conformed to Federal Register version

Agency decision · Agency decision

Rule 12b-32 Rule 8b-23 Rule 8b-24 Rule 8b-32 4 § 240.12b-32 § 270.8b-23 § 270.8b-24 § 270.8b-32 Table of Contents I. INTRODUCTION II. FINAL AMENDMENTS A. … § 270.8b-24 [Removed and Reserved] 65. Remove and reserve § 270.8b-24. § 270.8b-32 [Removed and Reserved] 66. Remove and reserve § 270.8b-32.

"Small Business" and "Small Organization" Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act

Federal Register · Proposed Rule · Jan 12, 2026

millions) (percent) 10th $33 2,172 $21,482 0.0 20th 96 4,331 151,003 0.1 25th 125 5,414 271,591 0.2 50th 324 10,827 1,399,259 0.9 55th 399 … 24. Should the Total Assets Threshold be eliminated from rule 0-7?

Self-Regulatory Organizations; Nasdaq GEMX, LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Related to Certain Prospective Costs of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 4, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19774 Filed 9-3-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Related to Certain Prospective Costs of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 5, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19871 Filed 9-4-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 4, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19758 Filed 9-3-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 9, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-20165 Filed 9-6-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 5, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19874 Filed 9-4-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information

Federal Register · Notice · Apr 19, 2023

See Notice at 50172 at n.24. … 399   See id.

Self-Regulatory Organizations; Order Approving Proposed Rule Changes by the National Association of Securities Dealers, Inc. and Amendment Nos. 1, 2, 3, 4, 5, 6, 7 and 8 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 9 Relating to the Establishment of the Nasdaq Order Display Facility and Order Collector Facility and Modifications of the Nasdaq Trading Platform

Federal Register · Notice · Jan 26, 2001

customer orders in SOES and to ensure market maker participation in the system (“1988 SOES modifications”), including making SOES participation mandatory for all market makers in Nasdaq securities. 399 … modifications would enhance market liquidity, improve the accuracy of Nasdaq's pricing systems, promote the timeliness of trade reporting, and help alleviate locked and crossed markets. 400 399

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 4, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19760 Filed 9-3-24; 8:45 am] BILLING CODE 8011-01-P