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SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: ORDER EXTENDING TEMPORARY CONDITIONAL EXEMPTIVE RELIEF, PURSUANT TO SECTION 36(A)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 608(E) OF REGULATION NMS THEREUNDER, FROM CERTAIN REQUIREMENTS OF APPENDIX D, SECTION 3 OF THE NATIONAL MARKET SYSTEM PLAN GOVERNING THE CONSOLIDATED AUDIT TRAIL RELATED TO REPRESENTATIVE ORDERS

WASHINGTON, Jan. 27 -- Securities And Exchange Commission has issued a notice called: Order Extending Temporary Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Ac... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; MIAX SAPPHIRE, LLC; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE TO AMEND EXCHANGE RULE 404, SERIES OF OPTIONS CONTRACTS OPEN FOR TRADING, TO AMEND THE SHORT TERM OPTION SERIES PROGRAM

WASHINGTON, Jan. 27 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; NASDAQ MRX, LLC; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE TO AMEND OPTIONS 3, SECTIONS 7 AND 14

WASHINGTON, Jan. 27 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Chan... 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 THE OPENING AUCTION PROCESS PROVIDED UNDER RULE 11.23(B)(2)(B) TO DELAY THE OPENING AUCTION UNDER CERTAIN MARKET CONDITIONS IN ORDER TO IMPROVE PRICE DISCOVERY AND ALLOW EXECUTIONS TO OCCUR AT PRICES THAT BETTER REFLECT CURRENT MARKET CONDITIONS

WASHINGTON, Jan. 27 -- 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 the Op... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; MIAX PEARL, LLC; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE TO AMEND THE MIAX PEARL OPTIONS EXCHANGE FEE SCHEDULE TO REFLECT CERTAIN CRD FEES COLLECTED BY FINRA

WASHINGTON, Jan. 27 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Ch... 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 EXCHANGE RULE 404, SERIES OF OPTIONS CONTRACTS OPEN FOR TRADING, TO AMEND THE SHORT TERM OPTION SERIES PROGRAM

WASHINGTON, Jan. 27 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effect... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; CBOE BZX EXCHANGE, INC.; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE TO AMEND RULE 21.16 WITH RESPECT TO ITS RISK MONITOR MECHANISM, TO PROVIDE MEMBERS WITH ADDITIONAL FLEXIBILITY IN ESTABLISHING HOW THEIR TRADING ACTIVITY COUNTS TOWARDS CERTAIN RISK PARAMETERS

WASHINGTON, Jan. 27 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; MIAX PEARL, LLC; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE TO AMEND EXCHANGE RULE 404, SERIES OF OPTIONS CONTRACTS OPEN FOR TRADING, TO AMEND THE SHORT TERM OPTION SERIES PROGRAM

WASHINGTON, Jan. 27 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Ch... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: ORDER GRANTING EXEMPTIVE RELIEF, PURSUANT TO SECTION 36(A)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 608(E) OF REGULATION NMS THEREUNDER, RELATING TO THE REPORTING OF RESPONSES TO REQUESTS FOR QUOTES AND OTHER SOLICITATION RESPONSES PROVIDED IN A STANDARD ELECTRONIC FORMAT, AS REQUIRED BY SECTION 6.4(D) OF THE NATIONAL MARKET SYSTEM PLAN GOVERNING THE CONSOLIDATED AUDIT TRAIL

WASHINGTON, Jan. 27 -- Securities And Exchange Commission has issued a notice called: Order Granting Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 ("Exchange Ac... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: INVESTMENT COMPANY ACT RELEASE NO. 35910; FILE NO. 812-15867; THE PRE-IPO AND GROWTH FUND, ET AL.

WASHINGTON, Jan. 27 -- Securities And Exchange Commission has issued a notice called: Investment Company Act Release No. 35910; File No. 812-15867; The Pre-IPO and Growth Fund, et al. The notice was ... Read More