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| Result Number | Material Type | Add to My Shelf Action | Record Details and Options |
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Material Type: Reports
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Trinity Capital IncThe Federal Register / FIND, 2022, Vol.87 (222), p.69372Copyright Federal Information & News Dispatch, LLC Nov 18, 2022 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 2 |
Material Type: Reports
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Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Certain Rules To Accommodate the Listing and Trading of Index Options With an Index Multiplier of OneThe Federal Register / FIND, 2021, Vol.86 (6), p.2006Copyright Federal Information & News Dispatch, LLC Jan 11, 2021 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 3 |
Material Type: Reports
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Board Member Meeting, June 26, 2017, 8:30 A.M. (In-Person)The Federal Register / FIND, 2017, Vol.82 (117), p.28065Copyright (c) 2017 Federal Information & News Dispatch, Inc. ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 4 |
Material Type: Reports
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Capital Southwest CorporationThe Federal Register / FIND, 2022, Vol.87 (168), p.53533Copyright Federal Information & News Dispatch, LLC Aug 31, 2022 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 5 |
Material Type: Reports
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Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Cboe Rule 5.4 and Make Corresponding Changes to Other RulesThe Federal Register / FIND, 2021, Vol.86 (227), p.68001Copyright Federal Information & News Dispatch, LLC Nov 30, 2021 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 6 |
Material Type: Reports
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Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Provide Relief Relating to Specified Option Transactions Under FINRA Rule 4210 (Margin Requirements)The Federal Register / FIND, 2023, Vol.88 (191), p.68855Copyright Federal Information & News Dispatch, LLC Oct 4, 2023 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 7 |
Material Type: Reports
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Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend FINRA Rule 2210 (Communications With the Public) To Permit Projections of Performance of Investment Strategies or Single Securities in Institutional CommunicationsThe Federal Register / FIND, 2024, Vol.89 (40), p.14728Copyright Federal Information & News Dispatch, LLC Feb 28, 2024 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 8 |
Material Type: Reports
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Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 10.3 Regarding Margin RequirementsThe Federal Register / FIND, 2023, Vol.88 (45), p.14416Copyright Federal Information & News Dispatch, LLC Mar 8, 2023 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 9 |
Material Type: Reports
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Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 4120The Federal Register / FIND, 2023, Vol.88 (21), p.6793Copyright Federal Information & News Dispatch, LLC Feb 1, 2023 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 10 |
Material Type: Reports
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Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 107BThe Federal Register / FIND, 2023, Vol.88 (20), p.6353Copyright Federal Information & News Dispatch, LLC Jan 31, 2023 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 11 |
Material Type: Reports
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Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 7.31EThe Federal Register / FIND, 2023, Vol.88 (15), p.4263Copyright Federal Information & News Dispatch, LLC Jan 24, 2023 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 12 |
Material Type: Reports
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Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public) To Permit Projections of Performance of Investment Strategies or Single Securities in Institutional CommunicationsThe Federal Register / FIND, 2023, Vol.88 (225), p.82482Copyright Federal Information & News Dispatch, LLC Nov 24, 2023 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 13 |
Material Type: Reports
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Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4753 and Equity 4, Rule 4703The Federal Register / FIND, 2022, Vol.87 (237), p.76095Copyright Federal Information & News Dispatch, LLC Dec 12, 2022 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 14 |
Material Type: Reports
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Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 10.3 Regarding Margin RequirementsThe Federal Register / FIND, 2022, Vol.87 (231), p.74199Copyright Federal Information & News Dispatch, LLC Dec 2, 2022 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 15 |
Material Type: Reports
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Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 104The Federal Register / FIND, 2022, Vol.87 (228), p.73370Copyright Federal Information & News Dispatch, LLC Nov 29, 2022 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 16 |
Material Type: Reports
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Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex OrdersThe Federal Register / FIND, 2022, Vol.87 (228), p.73364Copyright Federal Information & News Dispatch, LLC Nov 29, 2022 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 17 |
Material Type: Reports
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Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 515 to Make a Minor, Non-Substantive EditThe Federal Register / FIND, 2022, Vol.87 (227), p.73059Copyright Federal Information & News Dispatch, LLC Nov 28, 2022 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 18 |
Material Type: Reports
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Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain CommentsThe Federal Register / FIND, 2022, Vol.87 (200), p.63016Copyright Federal Information & News Dispatch, LLC Oct 18, 2022 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 19 |
Material Type: Reports
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Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Rules To Govern FLEX Equity Options and a New Order Type to Trade FLEX Equity Options on the BOX Trading FloorThe Federal Register / FIND, 2023, Vol.88 (180), p.64482Copyright Federal Information & News Dispatch, LLC Sep 19, 2023 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
| 20 |
Material Type: Reports
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Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Exchange To Declare a Regulatory HaltThe Federal Register / FIND, 2022, Vol.87 (192), p.60428Copyright Federal Information & News Dispatch, LLC Oct 5, 2022 ;ISSN: 0097-6326 ;EISSN: 2167-2520Full text available |
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